34-81150
July 14, 2017
SR-NYSE-2016-71
Order Disapproving Proposed Rule Changes Amending Exchange Rule 104 to Delete Subsection (g)(i)(A)(III), Which Prohibits Designated Market Makers from Engaging in Transactions, During the Last Ten Minutes of Trading Before the Close, that Establish a New High (Low) Price for the Day on the Exchange in an Assigned Security in Which the DMM Has a Long (Short) Position File Nos.: Rel. No. 34-80552 , Order Rel. No. 34-80044 , Rel. No. 34-79612 , Rel. No. 34-79284 , Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending Rule 104 – Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from E , Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending Rule 104 – Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchan , Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 104 – Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Secu , Notice of Filing of Proposed Rule Change Amending Rule 104 – Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Security the DMM has a Long (Short) Position Durin Federal Register version (82 FR 33534)
34-81150
July 14, 2017
SR-NYSE-2016-71
Order Disapproving Proposed Rule Changes Amending Exchange Rule 104 to Delete Subsection (g)(i)(A)(III), Which Prohibits Designated Market Makers from Engaging in Transactions, During the Last Ten Minutes of Trading Before the Close, that Establish a New High (Low) Price for the Day on the Exchange in an Assigned Security in Which the DMM Has a Long (Short) Position File Nos.: Comments Due: Rel. No. 34-80552 , Order Rel. No. 34-80044 , Rel. No. 34-79612 , Rel. No. 34-79284 , Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending Rule 104 – Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from E , Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending Rule 104 – Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchan , Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 104 – Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Secu , Notice of Filing of Proposed Rule Change Amending Rule 104 – Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Security the DMM has a Long (Short) Position Durin Federal Register version (82 FR 33534)
34-81131
July 12, 2017
SR-MIAX-2017-19
Order Granting Approval of a Proposed Rule Change To Amend MIAX Options Rules 515, Execution of Orders and Quotes; 515A, MIAX Price Improvement Mechanism ("PRIME") and PRIME Solicitation Mechanism; and 518, Complex Orders Comments Due: Rel. No. 34-80768 Federal Register version (82 FR 32900)
34-81114
July 11, 2017
SR-FINRA-2017-015
Order Granting Approval of Proposed Rule Change To Make Available a New End-of-Day TRACE Transaction File Rel. No. 34-80805 Federal Register version (82 FR 32728)
34-81103
July 7, 2017
SR-NYSEMKT-2017-16
Order Granting Approval of Proposed Rule Changes, as Modified by Amendment No. 1, Amending NYSE Rule 36 and NYSE MKT Rule 36-Equities To Permit Exchange Floor Brokers To Use Non-Exchange Provided Telephones on the Floor File Nos.: Comments Due: View Received Comments Rel. No. 34-80753 , Rel. No. 34-80374 , Rel. No. 34-80375 Federal Register version (82 FR 32396)
34-81103
July 7, 2017
SR-NYSE-2017-07
Order Granting Approval of Proposed Rule Changes, as Modified by Amendment No. 1, Amending NYSE Rule 36 and NYSE MKT Rule 36-Equities To Permit Exchange Floor Brokers To Use Non-Exchange Provided Telephones on the Floor File Nos.: Comments Due: View Received Comments Rel. No. 34-80753 , Rel. No. 34-80374 , Rel. No. 34-80375 Federal Register version (82 FR 32396)
34-81097
July 7, 2017
SR-NASDAQ-2016-161
Order Attribute Under Rule 4703, and To Make Related Changes to Rules 4702, 4752, 4753, 4754, and 4757 Comments Due: View Received Comments Rel. No. 34-80149 , Rel. No. 34-79810 , Rel. No. 34-79428 Federal Register version (82 FR 32386)
34-81098
July 7, 2017
SR-FINRA-2017-007
Order Approving Proposed Rule Change To Adopt Consolidated Registration Rules, Restructure the Representative-Level Qualification Examination Program, Allow Permissive Registration, Establish Exam Waiver Process for Persons Working for Financial Services Affiliate of Member, and Amend the Continuing Education Requirements Rel. No. 34-80371 Federal Register version (82 FR 32419)
34-81105
July 7, 2017
SR-DTC-2017-003
Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan File Nos.: Comments Due: Rel. No. 34-80878 , Rel. No. 34-80491 Federal Register version (82 FR 32399)
34-81084
July 6, 2017
SR-BatsBZX-2017-35
Order Granting Approval of a Proposed Rule Change To Amend Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors, and Rule 20.3, Trading Halts Comments Due: Rel. No. 34-80709 Federal Register version (82 FR 32216)
34-81077
July 5, 2017
SR-NYSEArca-2017-55
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the GraniteShares Gold Trust Under NYSE Arca Equities Rule 8.201 Comments Due: View Received Comments Rel. No. 34-80730 Federal Register version (82 FR 32024)
34-81076
July 5, 2017
SR-ICEEU-2017-005
Order Approving Proposed Rule Change Relating to Clearing House Contributions to CDS Default Resources Comments Due: Rel. No. 34-80706 Federal Register version (82 FR 32037)
34-81070
June 30, 2017
SR-BatsBZX-2017-26
Order Approving a Proposed Rule Change, To Amend BZX Rule 14.11 To Provide for the Inclusion of Cash in an Index Underlying a Series of Index Fund Shares Comments Due: Exhibit 5 , Rel. No. 34-80728 Federal Register version (82 FR 31650)
34-81056
June 30, 2017
SR-LCHSA-2017-005
Order Approving Proposed Rule Change, as Amended by Amendment No. 1 Thereto, To Add Rules Related to the Clearing of CDX.NA.HY CDS Comments Due: Rel. No. 34-80666 Federal Register version (82 FR 31364)
34-81068
June 30, 2017
SR-ICEEU-2017-007
Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Limited Articles of Association Comments Due: Rel. No. 34-80674 Federal Register version (82 FR 31648)
34-81067
June 30, 2017
SR-PHLX-2017-37
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-NYSEArca-2017-52
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-GEMX-2017-17
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-NASDAQ-2017-046
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-PEARL-2017-20
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-ISE-2017-45
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-FINRA-2017-011
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-BatsBZX-2017-38
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-C2-2017-017
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-CHX-2017-08
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-BatsEDGX-2017-22
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-NYSEMKT-2017-26
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-NYSE-2017-22
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-BX-2017-023
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-MRX-2017-04
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-MIAX-2017-18
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-IEX-2017-16
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-BatsEDGA-2017-13
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-CBOE-2017-040
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-BatsBYX-2017-11
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81067
June 30, 2017
SR-BOX-2017-16
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Rel. No. 34-82049 , Rel. No. 34-80821 , Rel. No. 34-80721 , Rel. No. 34-80786 , Rel. No. 34-80785 , Rel. No. 34-82253 , Rel. No. 34-80715 , Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail , Rel. No. 34-82255 , Rel. No. 34-80726 , Rel. No. 34-80696 , Rel. No. 34-80697 , Rel. No. 34-80713 , Rel. No. 34-80693 , Rel. No. 34-80698 , Rel. No. 34-80694 , Rel. No. 34-80725 , Rel. No. 34-82252 , Rel. No. 34-80809 , Rel. No. 34-80822 , Rel. No. 34-80784 , Rel. No. 34-80675 , Rel. No. 34-82254 , Rel.No. 34-82251 , Rel. No. 34-82270 , Rel. No. 34-82272 , Rel. No. 34-80710 , Rel. No. 34-80676 , Rel. No. 34-82287 , Rel. No. 34-82286 , Rel. No. 34-82260 , Rel. No. 34-82264 , Rel. No. 34-82262 , 34-82771.pdf , Rel. No. 34-82273 , Rel. No. 34-82256 , Rel. No. 34-82261 , Rel. No. 34-82265 , Rel. No. 34-82263 , Rel. No. 34-80691 , Rel. No. 34-82257 Federal Register version (82 FR 31656)
34-81051
June 29, 2017
SR-FICC-2017-012
Order Approving a Proposed Rule Change to the Mortgage-Backed Securities Division Clearing Rules Regarding Fixed Income Clearing Corporation's (1) Time of Novation, (2) Treatment of Itself as the Settlement Counterparty for Certain Transaction Types, and (3) Proposal to Implement New Processes to Promote Operational Efficiencies for Its Clearing Members Comments Due: Rel. No. 34-80716 Federal Register version (82 FR 31378)
34-81038
June 28, 2017
SR-NYSEMKT-2016-103
Order Granting Approval of Proposed Rule Change, as Modified by Amendments No. 1, 2, and 3, To Allow the Exchange To Trade, Pursuant to Unlisted Trading Privileges, any NMS Stock Listed on Another National Securities Exchange; Establish Rules for the Trading Pursuant to UTP of Exchange-Traded Products; and Adopt New Equity Trading Rules Relating To Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform Comments Due: View Received Comments Rel. No. 34-80746 , Rel. No. 34-80500 , Rel. No. 34-80097 , Rel. No. 34-79738 , Rel. No. 34-79400 Federal Register version (82 FR 31118)
34-81031
June 27, 2017
SR-ICEEU-2017-006
Order Approving Proposed Rule Changes Relating to the CDS End-of-Day Price Discovery Policy and Price Submission Disciplinary Framework Comments Due: Rel. No. 34-80631 Federal Register version (82 FR 30918)
34-81016
June 23, 2017
SR-NYSEMKT-2017-23
Order Granting Approval of Proposed Rule Change To Harmonize the Requirements of the NYSE MKT Company Guide With the Periodic and Semi-Annual Reporting Requirements of the NYSE Comments Due: Rel. No. 34-80619 Federal Register version (82 FR 29592)
34-80973
June 19, 2017
SR-FINRA-2017-009
Order Approving a Proposed Rule Change Relating to Expediting List Selection in Arbitration Rel. No. 34-80634 Federal Register version (82 FR 28724)
34-80940
June 15, 2017
SR-MIAX-2017-16
Order Approving a Proposed Rule Change Relating to the Exposure Periods of the MIAX Price Improvement Mechanism and Solicitation Mechanism Comments Due: Rel. No. 34-80570 Federal Register version (82 FR 28369)
34-80885
June 8, 2017
SR-NYSEArca-2017-44
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade of Shares of the IQ Municipal Insured ETF, IQ Municipal Short Duration ETF, and IQ Municipal Intermediate ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-80584 Federal Register version (82 FR 27302)
34-80865
June 6, 2017
SR-NYSEArca-2017-48
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of the Franklin Liberty Intermediate Municipal Opportunities ETF and Franklin Liberty Municipal Bond ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-80541 Federal Register version (82 FR 26970)
34-80848
June 2, 2017
SR-LCHSA-2017-003
Order Approving Proposed Rule Change Relating to Recovery Risk Margin Comments Due: Rel. No. 34-80450 Federal Register version (82 FR 26728)
34-80849
June 2, 2017
SR-LCHSA-2017-004
Order Approving Proposed Rule Change Relating to LCH SA's CDS Margin and Extreme Credit Spread Curves Comments Due: Rel. No. 34-80451 Federal Register version (82 FR 26721)
34-80854
June 2, 2017
SR-CBOE-2017-010
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Related to Unusual Market Conditions and the Duty To Systemize Non-Electronic Orders Prior to Representation Comments Due: Rel. No. 34-81065 , Rel. No. 34-80481 , Rel. No. 34-80123 Federal Register version (82 FR 26724)
34-80840
June 1, 2017
SR-NYSEArca-2017-33
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To List and Trade Shares of the Euro Gold Trust, Pound Gold Trust, and the Yen Gold Trust Under NYSE Arca Equities Rule 8.201 Comments Due: View Received Comments Rel. No. 34-80457 Federal Register version (82 FR 26534)
34-80825
May 31, 2017
SR-CHX-2017-06
Order Granting Approval of a Proposed Rule Change To Shorten the Standard Settlement Cycle From Three Business Days After the Trade Date to Two Business Days After the Trade Date Comments Due: Rel. No. 34-80467 Federal Register version (82 FR 26147)
34-80812
May 30, 2017
SR-FICC-2017-002
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook Comments Due: View Received Comments Rel. No. 34-80524 , Rel. No. 34-80234 , Rel. No. 34-81638 , Rel. No. 34-82090 Federal Register version (82 FR 25642)
34-80770
May 25, 2017
SR-NYSEArca-2016-120
Order Scheduling Filing of Statements on Review Comments Due: View Received Comments Order No. 34-80579 , Order No. 34-79914 , Rel. No. 34-79550 , Rel. No. 34-79201
34-80777
May 25, 2017
SR-NYSEArca-2017-30
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Commentary .01 and Commentary .02 to NYSE Arca Equities Rule 5.2(j)(3) To Provide for the Inclusion of Cash in an Index Underlying a Series of Investment Company Unit Comments Due: View Received Comments Rel. No. 34-80415 Federal Register version (82 FR 25378)
34-80752
May 24, 2017
SR-NYSENAT-2017-01
Order Approving Proposed Rule Changes To Amend the Certificate and Bylaws of Their Ultimate Parent Company, Intercontinental Exchange, Inc. File Nos.: Comments Due: View Received Comments Rel. No. 34-80420 , Rel. No. 34-80418 , Rel. No. 34-80419 , Rel. No. 34-80417 Federal Register version (82 FR 25018)
34-80752
May 24, 2017
SR-NYSEArca-2017-29
Order Approving Proposed Rule Changes To Amend the Certificate and Bylaws of Their Ultimate Parent Company, Intercontinental Exchange, Inc. File Nos.: Comments Due: View Received Comments Rel. No. 34-80420 , Rel. No. 34-80418 , Rel. No. 34-80419 , Rel. No. 34-80417 Federal Register version (82 FR 25018)
34-80752
May 24, 2017
SR-NYSEMKT-2017-17
Order Approving Proposed Rule Changes To Amend the Certificate and Bylaws of Their Ultimate Parent Company, Intercontinental Exchange, Inc. File Nos.: Comments Due: View Received Comments Rel. No. 34-80420 , Rel. No. 34-80418 , Rel. No. 34-80419 , Rel. No. 34-80417 Federal Register version (82 FR 25018)
34-80752
May 24, 2017
SR-NYSE-2017-13
Order Approving Proposed Rule Changes To Amend the Certificate and Bylaws of Their Ultimate Parent Company, Intercontinental Exchange, Inc. File Nos.: Comments Due: View Received Comments Rel. No. 34-80420 , Rel. No. 34-80418 , Rel. No. 34-80419 , Rel. No. 34-80417 Federal Register version (82 FR 25018)
34-80745
May 23, 2017
SR-NASDAQ-2017-033
Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To List and Trade Shares of the First Trust California Municipal High Income ETF Comments Due: View Received Comments Rel. No. 34-80369 Federal Register version (82 FR 24755)
34-80740
May 22, 2017
SR-CHX-2017-04
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt the CHX Liquidity Enhancing Access Delay Comments Due: View Received Comments Rel. No. 34-81415 , Rel. No. 34-80364 , Rel. No. 34-80041 , Rel. No. 34-81913 Federal Register version (82 FR 24412)
34-80738
May 22, 2017
SR-CBOE-2017-029
Order Approving a Proposed Rule Change Relating to the Exposure Periods of the Automated Improvement Mechanism and the Solicitation Auction Mechanism Comments Due: Rel. No. 34-80421 Federal Register version (82 FR 24417)
34-80734
May 19, 2017
SR-FICC-2017-006
Order Approving Proposed Rule Changes To Enhance the Credit Risk Rating Matrix and Make Other Changes File Nos.: Comments Due: Rel. No. 34-80382 , Rel. No. 34-80381 , Rel. No. 34-80383 Federal Register version (82 FR 24177)
34-80734
May 19, 2017
SR-NSCC-2017-002
Order Approving Proposed Rule Changes To Enhance the Credit Risk Rating Matrix and Make Other Changes File Nos.: Comments Due: Rel. No. 34-80382 , Rel. No. 34-80381 , Rel. No. 34-80383 Federal Register version (82 FR 24177)
34-80734
May 19, 2017
SR-DTC-2017-002
Order Approving Proposed Rule Changes To Enhance the Credit Risk Rating Matrix and Make Other Changes File Nos.: Comments Due: Rel. No. 34-80382 , Rel. No. 34-80381 , Rel. No. 34-80383 Federal Register version (82 FR 24177)
34-80700
May 16, 2017
SR-NYSEMKT-2017-05
Order Approving Proposed Rule Change Amending Rules 7.29E and 1.1E To Provide for a Delay Mechanism Comments Due: View Received Comments Rel. No. 34-80268 , Rel. No. 34-79998 Federal Register version (82 FR 23381)
34-80699
May 16, 2017
SR-MSRB-2017-02
Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, To Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements Comments Due: View Received Comments Rel. No. 34-80327 Federal Register version (82 FR 23394)
34-80664
May 11, 2017
SR-BatsBZX-2017-07
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust Under BZX Rule 14.11(c)(4) Comments Due: View Received Comments Rel. No. 34-81363 , Rel. No. 34-80350 , Rel. No. 34-79989 , Rel. No. 34-81715 Federal Register version (82 FR 22680)
34-80640
May 10, 2017
SR-BX-2017-013
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Shorten the Settlement Cycle From T+3 to T+2 Comments Due: Rel. No. 34-80282 Federal Register version (82 FR 22598)
34-80606
May 5, 2017
SR-NYSEArca-2017-05
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of Direxion Daily Crude Oil Bull 3x Shares and Direxion Daily Crude Oil Bear 3x Shares Under NYSE Arca Equities Rule 8.200 Comments Due: View Received Comments Rel. No. 34-81686 , Rel. No. 34-81224 , Rel. No. 34-79916 Federal Register version (82 FR 22042)
34-80614
May 5, 2017
SR-NASDAQ-2017-029
Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2, 3, and 4, to List and Trade Shares of the Gabelli Small Cap Growth Fund and the Gabelli RBI Fund Under Nasdaq Rule 5745 Comments Due: View Received Comments Rel. No. 34-80315 Federal Register version (82 FR 22038)
34-80590
May 4, 2017
SR-NYSEMKT-2017-01
Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt New Equity Trading Rules To Transition Trading on the Exchange From a Floor-Based Market With a Parity Allocation Model to a Fully Automated Market With a Price-Time Priority Model on the Exchange's New Trading Technology Platform, Pillar Comments Due: View Received Comments Rel. No. 34-80337 , Rel. No. 34-79993 Federal Register version (82 FR 21843)
34-80597
May 4, 2017
SR-NSCC-2017-001
Order Approving Proposed Rule Change To Describe the Illiquid Charge That May Be Imposed on Members Comments Due: Rel. No. 34-80260 Federal Register version (82 FR 21863)
34-80591
May 4, 2017
SR-NASDAQ-2017-025
Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 3 and 4, To List and Trade Shares of the Hartford Global Impact NextSharesTM Comments Due: View Received Comments Rel. No. 34-80237 Federal Register version (82 FR 21839)
34-80598
May 4, 2017
SR-DTC-2017-001
Order Granting Approval of Proposed Rule Change To Establish a Sub-Account for Use With the DTCC Euroclear Global Collateral Ltd Collateral Management Service and Provide for the Authorization of a Representative To Receive Information About the Sub-Account Comments Due: Rel. No. 34-80280 Federal Register version (82 FR 21837)
34-80577
May 2, 2017
SR-NYSEMKT-2017-04
Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Market Makers Applicable When the Exchange Transitions Trading to Pillar, the Exchange's New Trading Technology Platform Comments Due: View Received Comments Rel. No. 34-79982 , Rel. No. 34-80336 Federal Register version (82 FR 21446)
34-80579
May 2, 2017
SR-NYSEArca-2016-120
Order Approving a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the ForceShares Daily 4X US Market Futures Long Fund and ForceShares Daily 4X US Market Futures Short Fund Under Commentary .02 to NYSE Arca Equities Rule 8.200 Comments Due: View Received Comments Rel. No. 34-80770 , Order No. 34-79914 , Rel. No. 34-79550 , Rel. No. 34-79201 Federal Register version (82 FR 21443)
34-80574
May 2, 2017
SR-FICC-2017-005
Order Granting Approval of Proposed Rule Change To Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes Comments Due: View Received Comments Rel. No. 34-80303 Federal Register version (82 FR 21439)
34-80563
May 1, 2017
SR-FICC-2017-003
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Expand the Types of Entities That Are Eligible To Participate in Fixed Income Clearing Corporation as Sponsored Members and Make Other Changes Comments Due: View Received Comments Rel. No. 34-80236 Federal Register version (82 FR 21284)
34-80555
April 28, 2017
SR-OCC-2017-004
Order Approving Proposed Rule Change Concerning Enhancements to OCC's Stock Loan Programs Comments Due: Rel. No. 34-80171 , Rel. No. 34-80171 Federal Register version (82 FR 20945)
34-80551
April 28, 2017
SR-FINRA-2017-006
Order Granting Approval of a Proposed Rule Change To Amend Rule 6191 To Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection With Web Site Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program Rel. No. 34-80193 Federal Register version (82 FR 20948)
34-80529
April 26, 2017
SR-BatsBZX-2017-14
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 3 and 5, To List and Trade Shares of the Amplify YieldShares Oil Hedged MLP Fund, a Series of the Amplify ETF Trust, Under BZX Rule 14.11(i), Managed Fund Shares Comments Due: View Received Comments Rel. No. 34-80505 , Rel. No. 34-80136 Federal Register version (82 FR 20506)
34-80531
April 26, 2017
SR-OCC-2017-002
Order Approving Proposed Rule Change Concerning Changes to the Options Clearing Corporation's Management Structure Comments Due: Rel. No. 34-80168 , Rel. No. 34-80168 Federal Register version (82 FR 20502)
34-80523
April 25, 2017
SR-CBOE-2017-017
Order Approving a Proposed Rule Change To Amend the Bylaws and Certificate of Incorporation Comments Due: Rel. No. 34-80167 Federal Register version (82 FR 20399)
34-80522
April 25, 2017
SR-C2-2017-009
Order Approving a Proposed Rule Change To Amend the Bylaws and Certificate of Incorporation Comments Due: Rel. No. 34-80166 Federal Register version (82 FR 20409)
34-80501
April 21, 2017
SR-NYSEARCA-2016-176
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of Shares of the EtherIndex Ether Trust Under NYSE Arca Equities Rule 8.201 Comments Due: View Received Comments Rel. No. 34-81538 , Rel. No. 34-81155 , Rel. No. 34-80094 , Rel. No. 34-79792 Federal Register version (82 FR 19397)
34-80486
April 19, 2017
SR-NYSEArca-2016-177
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of Shares of the USCF Canadian Crude Oil Index Fund Under NYSE Arca Equities Rule 8.200 Comments Due: View Received Comments Rel. No. 34-81177 , Rel. No. 34-80180 , Rel. No. 34-79793 , Rel. No. 34-81655 Federal Register version (82 FR 19115)
34-80455
April 13, 2017
4-631
Order Approving the Thirteenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Comments Due: View Received Comments Rel. No. 34-80549 , Rel. No. 34-80203 , Rel. No. 34-79845 Federal Register version (82 FR 18519)
34-80427
April 11, 2017
SR-NYSEArca-2016-173
Order Approving a Proposed Rule Change, as Modified by Amendments No. 2 and No. 3 Thereto, To List and Trade Shares of the United States 3x Oil Fund and United States 3x Short Oil Fund Under NYSE Arca Equities Rule 8.200, Commentary .02 Comments Due: View Received Comments Rel. No. 34-80079 , Rel. No. 34-79742 Federal Register version (82 FR 18058)
34-80432
April 11, 2017
SR-ISE-2017-03
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Amend Various Rules in Connection With a System Migration to Nasdaq INET Technology Comments Due: View Received Comments Rel. No. 34-80075 Federal Register version (82 FR 18191)
34-80399
April 7, 2017
SR-BatsBZX-2017-10
Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, To List and Trade Shares of the iShares iBonds Dec 2024 AMT-Free Muni Bond ETF, iShares iBonds Dec 2025 AMT-Free Muni Bond ETF, and iShares iBonds Dec 2026 AMT-Free Muni Bond ETF of the iShares U.S. ETF Trust Under Exchange Rule 14.11(i) Comments Due: View Received Comments Rel. No. 34-80036 Federal Register version (82 FR 17913)
34-80385
April 6, 2017
SR-CBOE-2017-014
Order Approving Proposed Rule Change Related to Rule 24.9(e) Comments Due: Rel. No. 34-80037 Federal Register version (82 FR 17708)
34-80388
April 6, 2017
4-709
Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BOX Optio Rel. No. 34-80240 Federal Register version (82 FR 17712)
34-80349
March 30, 2017
SR-FICC-2017-001
Order Approving a Proposed Rule Change To (1) Implement the Margin Proxy, (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies, and (3) Make Certain Technical Corrections Comments Due: View Received Comments Rel. No. 34-80235 , Rel. No. 34-79958 Federal Register version (82 FR 16638)
34-80330
March 29, 2017
SR-NYSEMKT-2017-08
Order Approving Proposed Rule Change To Amend Rule 925.1NY Regarding Market Maker Quotations, Including To Adopt a Market Maker Light Only Quotation Comments Due: Rel. No. 34-80073 Federal Register version (82 FR 16447)
34-80329
March 29, 2017
SR-NYSEArca-2017-17
Order Approving Proposed Rule Change To Amend Rule 6.37B Regarding Market Maker Quotations, Including To Adopt a Market Maker Light Only Quotation Comments Due: Rel. No. 34-80072 Federal Register version (82 FR 16443)
34-80334
March 29, 2017
SR-NYSE-2017-03
Order Approving Proposed Rule Change Amending Rule 98 Comments Due: Rel. No. 34-80019 Federal Register version (82 FR 16458)
34-80319
March 28, 2017
SR-NYSEArca-2016-101
Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the SolidX Bitcoin Trust Under NYSE Arca Equities Rule 8.201 Comments Due: Rel. No. 34-80099 , Rel. No. 34-79726 , Rel. No. 34-79171 , Rel. No. 34-78770 , Rel. No. 34-78426 Federal Register version (82 FR 16247)
34-80324
March 28, 2017
SR-ICC-2017-002
Order Approving Proposed Rule Change To Revise Liquidity Thresholds for Euro Denominated Products Comments Due: Rel. No. 34-79988 Federal Register version (82 FR 16244)
34-80296
March 22, 2017
SR-NYSEArca-2017-07
Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1, 3, and 4 Thereto, To List and Trade Shares of the ProShares UltraPro 3x Crude Oil ETF and ProShares UltraPro 3x Short Crude Oil ETF Under NYSE Arca Equities Rule 8.200 Comments Due: View Received Comments Rel. No. 34-79917 Federal Register version (82 FR 15400)
34-80270
March 17, 2017
SR-CBOE-2016-082
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Related to Rules Regarding the Responsibility for Ensuring Compliance With Priority and Allocation Requirements and Trade-Through Prohibitions in Open Outcry Trading Comments Due: View Received Comments Rel. No. 34-80859 , Rel. No. 34-79540 , Rel. No. 34-79910 Federal Register version (82 FR 14926)
34-80255
March 15, 2017
SR-FINRA-2017-003
Order Approving Proposed Rule Change To Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) Rel. No. 34-79961 Federal Register version (82 FR 14563)
34-80256
March 15, 2017
SR-MIAX-2017-03
Order Approving Proposed Rule Changes To Adopt Consolidated Audit Trail Compliance Rules File Nos.: Comments Due: Rel. No. 34-79949 , Rel. No. 34-79932 , Rel. No. 34-79953 , Rel. No. 34-79950 , Rel. No. 34-79967 , Rel. No. 34-79937 , Rel. No. 34-79938 , Rel. No. 34-79935 , Rel. No. 34-79960 , Rel. No. 34-79907 , Rel. No. 34-79909 , Rel. No. 34-79911 , Rel. No. 34-79945 , Rel. No. 34-79948 , Rel. No. 34-79944 , Rel. No. 34-79927 , Rel. No. 34-79962 , Rel. No. 34-79933 , Rel. No. 34-79965 , Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Liability Caps and Related Reimbursement Requirements Federal Register version (82 FR 14526)
