34-81970
Oct. 27, 2017
SR-GEMX-2017-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Optional Kill Switch Protection Comments Due: Exhibit 5 Federal Register version (82 FR 50910)
34-81972
Oct. 27, 2017
SR-NASDAQ-2017-115
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove References to Nasdaq Options Services Comments Due: Exhibit 5 Federal Register version (82 FR 50926)
34-81969
Oct. 27, 2017
SR-MRX-2017-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Optional Kill Switch Protection Comments Due: Exhibit 5 Federal Register version (82 FR 50924)
34-81967
Oct. 27, 2017
SR-MIAX-2017-44
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule 518 Relating to Derived Orders Comments Due: Exhibit 5 Federal Register version (82 FR 50916)
34-81971
Oct. 27, 2017
SR-ISE-2017-94
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Optional Kill Switch Protection Comments Due: Exhibit 5 Federal Register version (82 FR 50907)
34-81957
Oct. 26, 2017
SR-BatsEDGA-2017-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fee Schedule, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name Comments Due: Exhibit 5 Federal Register version (82 FR 50716)
34-81950
Oct. 26, 2017
SR-BatsBZX-2017-71
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 21.1 To Adopt a New Time in Force Applicable to the Exchange's Equity Options Platform Comments Due: Exhibit 5 Federal Register version (82 FR 50705)
34-81962
Oct. 26, 2017
SR-BatsBZX-2017-70
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name Comments Due: Exhibit 5 Federal Register version (82 FR 50711)
34-81952
Oct. 26, 2017
SR-BatsBYX-2017-27
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fee Schedule, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name Comments Due: Exhibit 5 Federal Register version (82 FR 50725)
34-81949
Oct. 26, 2017
SR-OCC-2017-009
Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Counterparty Credit Risk Management Policy Comments Due: Rel. No. 34-82312 , Rel. No. 34-82312 Federal Register version (82 FR 50719)
34-81955
Oct. 26, 2017
SR-OCC-2017-010
Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Default Management Policy Comments Due: Rel. No. 34-82310 , Rel. No. 34-82310 Federal Register version (82 FR 50707)
34-81956
Oct. 26, 2017
SR-OCC-2017-017
Notice of Filing of Proposed Rule Change Concerning Liquidity for Same Day Settlement Comments Due: Rel. No. 34-82309 , Rel. No. 34-82309 Federal Register version (82 FR 50703)
34-81953
Oct. 26, 2017
SR-BX-2017-044
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove References To Surrender Feature for Auto-Match Submissions in the Price Improvement Auction Comments Due: Exhibit 5 Federal Register version (82 FR 50714)
34-81963
Oct. 26, 2017
SR-BatsEDGX-2017-41
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name Comments Due: Exhibit 5 Federal Register version (82 FR 50697)
34-81943
Oct. 25, 2017
SR-NYSEAMER-2017-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE American Equities Rules 7.31E To Establish a Minimum Dollar Threshold Into the Price Protection Mechanisms Comments Due: Exhibit 5 Federal Register version (82 FR 50475)
34-81947
Oct. 25, 2017
SR-BatsBZX-2017-46
Notice of Filing of Amendments No. 2 and No. 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 2 and No. 3, To List and Trade Shares of the Aptus Fortified Value ETF, a Series of ETF Series Solutions, Under Rule 14.11(c) Comments Due: View Received Comments Rel. No. 34-81558 , Rel. No. 34-81191 Federal Register version (82 FR 50472)
34-81944
Oct. 25, 2017
SR-NYSEArca-2017-99
Notice of Filing of Proposed Rule Change To List and Trade Shares of the Hartford Schroders Tax-Aware Bond ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Rel. No. 34-82323 Federal Register version (82 FR 50461)
34-81948
Oct. 25, 2017
SR-BX-2017-046
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Name Change Comments Due: Exhibit 5 Federal Register version (82 FR 50468)
34-81941
Oct. 25, 2017
SR-ISE-2017-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules for Excluding Days From the Exchange's ADV and Market Maker Plus Tier Calculations in the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (82 FR 50469)
34-81927
Oct. 24, 2017
SR-NYSEAMER-2017-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Users With Access to Five Additional Third Party Systems and Connectivity to Two Additional Third Party Data Feeds Comments Due: Exhibit 5 Federal Register version (82 FR 50190)
34-81928
Oct. 24, 2017
SR-NYSEAMER-2017-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 964.2NY Regarding the Participation Entitlement Formula for Specialists and e-Specialists Comments Due: Exhibit 5 Federal Register version (82 FR 50205)
34-81936
Oct. 24, 2017
SR-BatsEDGA-2017-27
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical Corrections to Its Second Amended and Restated Certificate of Incorporation Comments Due: Federal Register version (82 FR 50175)
34-81938
Oct. 24, 2017
SR-Phlx-2017-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Name Change Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 50185)
34-81929
Oct. 24, 2017
SR-NYSEARCA-2017-122
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Users With Access to Five Additional Third Party Systems and Connectivity to Two Additional Third Party Data Feeds Comments Due: Exhibit 5 Federal Register version (82 FR 50177)
34-81926
Oct. 24, 2017
SR-NYSE-2017-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Users With Access to Five Additional Third Party Systems and Connectivity to Two Additional Third Party Data Feeds Comments Due: Exhibit 5 Federal Register version (82 FR 50186)
34-81935
Oct. 24, 2017
SR-GEMX-2017-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 723 To Remove Obsolete Rule Text Comments Due: Exhibit 5 Federal Register version (82 FR 50196)
34-81930
Oct. 24, 2017
SR-NASDAQ-2017-107
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Closing Cross Rules Comments Due: Exhibit 5 Federal Register version (82 FR 50198)
34-81934
Oct. 24, 2017
SR-MRX-2017-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 723 To Remove Obsolete Rule Text Comments Due: Exhibit 5 Federal Register version (82 FR 50201)
34-81932
Oct. 24, 2017
SR-PEARL-2017-35
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 50181)
34-81933
Oct. 24, 2017
SR-MIAX-2017-42
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 50171)
34-81931
Oct. 24, 2017
SR-FINRA-2017-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Permanent an Exception to TRACE Reporting for Certain Bond Transactions Effected on the New York Stock Exchange Comments Due: Exhibit 5 Federal Register version (82 FR 50194)
34-81937
Oct. 24, 2017
SR-BatsEDGX-2017-40
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical Corrections to Its Second Amended and Restated Certificate of Incorporation Comments Due: Federal Register version (82 FR 50203)
34-81919
Oct. 23, 2017
SR-BatsBZX-2017-68
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1, Definitions, To Modify Stop Orders and Stop Limit Orders Applicable to the Exchange's Equity Options Platform in Preparation for the C2 Options Exchange, Incorporated Technology Migration Comments Due: Exhibit 5 Federal Register version (82 FR 49905)
34-81924
Oct. 23, 2017
SR-BatsBZX-2017-69
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Its Amended and Restated Certificate of Incorporation Comments Due: Federal Register version (82 FR 49877)
34-81925
Oct. 23, 2017
SR-BatsBYX-2017-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Its Amended and Restated Certificate of Incorporation Comments Due: Federal Register version (82 FR 49899)
34-81917
Oct. 23, 2017
SR-NASDAQ-2017-111
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Name Change Comments Due: Federal Register version (82 FR 49879)
34-81921
Oct. 23, 2017
SR-MSRB-2017-08
Notice of Filing of a Proposed Rule Change To Amend MSRB Form G-45 To Collect Additional Data About the Transactional Fees Primarily Assessed by Programs Established To Implement the ABLE Act Comments Due: View Received Comments Exhibit 3 , Rel. No. 34-82238 Federal Register version (82 FR 49908)
34-81922
Oct. 23, 2017
SR-IEX-2017-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.152 To Add Provisions Related to Market Maker Withdrawals of Quotations in Securities Listed on the Investors Exchange Comments Due: Exhibit 5 Federal Register version (82 FR 49914)
34-81920
Oct. 23, 2017
SR-BatsEDGX-2017-39
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1, Definitions, To Modify Stop Orders and Stop Limit Orders Applicable to the Exchange's Equity Options Platform in Preparation for the C2 Options Exchange, Incorporated Technology Migration Comments Due: Exhibit 5 Federal Register version (82 FR 49912)
34-81923
Oct. 23, 2017
SR-BatsEDGX-2017-38
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.10, Order Execution Comments Due: Exhibit 5 Federal Register version (82 FR 49904)
34-81915
Oct. 20, 2017
SR-NYSEArca-2017-90
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the Hartford Municipal Opportunities ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments rel. No. 34-82166 , Rel. No. 34-81505 Federal Register version (82 FR 49691)
34-81914
Oct. 20, 2017
SR-NYSE-2017-32
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Section 202.06 of the NYSE Listed Company Manual To Prohibit Listed Companies From Issuing Material News After the Official Closing Time for the Exchange's Trading Session Until the Earlier of Publication of Such Company's Official Closing Price on the Exchange or Five Minutes After the Official Closing Time Comments Due: View Received Comments Rel. No. 34-81494 , Rel. No. 34-82213 Federal Register version (82 FR 49690)
34-81906
Oct. 19, 2017
SR-BatsBZX-2017-67
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees for the Exchange's Equity Platform Comments Due: Exhibit 5 Federal Register version (82 FR 49431)
34-81913
Oct. 19, 2017
SR-CHX-2017-04
Notice of Filing of Amendments No. 1 and No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, To Adopt the CHX Liquidity Enhancing Access Delay on a Pilot Basis Comments Due: View Received Comments 2017 providing notice of Commission review of delegated action and stay of order , Rel. No. 34-81415 , Rel. No. 34-80740 , Rel. No. 34-80364 , Rel. No. 34-80041 Federal Register version (82 FR 49433)
34-81909
Oct. 19, 2017
SR-OCC-2017-005
Notice of Filing of Proposed Rule Change Related to a Comprehensive Risk Management Framework Comments Due: Rel. No. 34-82232 , Rel. No. 34-82232 Federal Register version (82 FR 49456)
34-81901
Oct. 19, 2017
SR-NYSEArca-2017-121
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges Comments Due: Exhibit 5 Federal Register version (82 FR 49426)
34-81899
Oct. 19, 2017
SR-OPRA-2017-01
Notice of Filing and Immediate Effectiveness of Proposed Amendment To Modify the OPRA Fee Schedule To Amend the Professional Subscriber Device-Based Fee Comments Due: Federal Register version (82 FR 49429)
34-81900
Oct. 19, 2017
SR-OPRA-2017-02
Notice of Filing and Immediate Effectiveness of Proposed Amendment To Modify the OPRA Fee Schedule To Eliminate the Enterprise Rate Non-Professional Subscriber Fee and Amend the Non-Professional Subscriber Fee Comments Due: Federal Register version (82 FR 49428)
34-81902
Oct. 19, 2017
SR-GEMX-2017-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees Comments Due: Exhibit 5 Federal Register version (82 FR 49453)
34-81907
Oct. 19, 2017
SR-MRX-2017-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees Comments Due: Exhibit 5 Federal Register version (82 FR 49447)
34-81903
Oct. 19, 2017
SR-ISE-2017-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees Comments Due: Exhibit 5 Federal Register version (82 FR 49450)
34-81895
Oct. 18, 2017
SR-BatsBZX-2017-56
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of Specified Series of the Innovator Shield Strategy S&P 500 Monthly Index Series and Innovator Ultra Shield Strategy S&P 500 Monthly Index Series Under Rule 14.11(c)(3) Comments Due: Rel. No. 34-81495 , Rel. No. 34-82078 Federal Register version (82 FR 49252)
34-81894
Oct. 18, 2017
SR-NYSEArca-2017-119
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rule 1.1 and Rule 7.35-E To Make Technical and Conforming Updates in Connection With the Recent Merger of NYSE Arca Equities, Inc. Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (82 FR 49253)
34-81893
Oct. 18, 2017
4-443
Notice of Filing of the Fourth Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options Comments Due: View Received Comments Federal Register version (82 FR 49249)
34-81887
Oct. 17, 2017
SR-NYSEAMER-2017-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 964NY To Adopt Additional Self-Trade Prevention Modifiers Comments Due: Exhibit 5 Federal Register version (82 FR 49068)
34-81888
Oct. 17, 2017
SR-NYSEArca-2017-118
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.76A-O To Adopt Additional Self-Trade Prevention Modifiers Comments Due: Exhibit 5 Federal Register version (82 FR 49050)
34-81890
Oct. 17, 2017
SR-NYSEArca-2017-120
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to Certain Representations Relating to Five PIMCO Exchange-Traded Funds Currently Listed Under NYSE Arca Rule 8.600-E Comments Due: Federal Register version (82 FR 49046)
34-81889
Oct. 17, 2017
SR-IEX-2017-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect Name Changes of NYSE MKT to NYSE American LLC and the National Stock Exchange to NYSE National, Inc. Comments Due: Exhibit 5 Federal Register version (82 FR 49054)
34-81892
Oct. 17, 2017
SR-ICC-2017-013
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Changes to the ICC Clearing Rules Comments Due: Federal Register version (82 FR 49055)
34-81891
Oct. 17, 2017
SR-BatsEDGX-2017-29
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt New Rules Governing the Trading of Complex Orders on the Exchange Comments Due: View Received Comments Rel. No. 34-81468 , Rel. No. 34-81137 Federal Register version (82 FR 49058)
34-81880
Oct. 16, 2017
SR-NYSE-2017-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 80C, 104, 107B, and 128 Comments Due: Exhibit 5 Federal Register version (82 FR 48870)
34-81881
Oct. 16, 2017
SR-GEMX-2017-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees To Increase the Monthly Cap on the Fees Assessed for Specialized Quote Feed and SQF Purge Ports That Market Makers Utilize To Connect to the Exchange Comments Due: Exhibit 5 Federal Register version (82 FR 48869)
34-81878
Oct. 16, 2017
SR-ISE-2017-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Increase the Crossing Fee Cap Comments Due: Exhibit 5 Federal Register version (82 FR 48867)
34-81882
Oct. 16, 2017
SR-ISE-2017-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Assess Fees for Specialized Quote Feed and SQF Purge Ports Comments Due: Exhibit 5 Federal Register version (82 FR 48865)
34-81883
Oct. 16, 2017
SR-DTC-2017-005
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt the Clearing Agency Stress Testing Framework (Market Risk) File Nos.: Comments Due: Rel No. 34-82368 , Rel. No.34-81192 , Rel. No. 34-80876 , Rel. No. 34-80485 Federal Register version (82 FR 48858)
34-81885
Oct. 16, 2017
SR-DTC-2017-004
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1 and No. 3, To Adopt the Clearing Agency Liquidity Risk Management Framework File Nos.: Comments Due: Rel. No. 34-82377 , Rel. No. 34-81194 , Rel. No. 34-80877 , Rel. No. 34-80489 Federal Register version (82 FR 48857)
34-81879
Oct. 16, 2017
SR-CBOE-2017-065
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade S&P Select Sector Index Options Comments Due: Exhibit 5 Federal Register version (82 FR 48858)
34-81871
Oct. 13, 2017
SR-DTC-2017-018
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Distributions Guide Relating to Announcements and Tax Treatment of Certain Corporate Action Events and To Amend the DTC Fee Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 48734)
34-81859
Oct. 12, 2017
SR-BatsEDGA-2017-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules To Add New Optional Functionality to Orders With a Minimum Quantity Instruction Comments Due: Exhibit 5 Federal Register version (82 FR 48545)
34-81864
Oct. 12, 2017
SR-BatsBZX-2017-61
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Interpretation With Respect to the Meaning, Administration, or Enforcement of Rule 14.11, Other Securities, and Rule 14.12, Failure To Meet Listing Standards Comments Due: Federal Register version (82 FR 48560)
34-81866
Oct. 12, 2017
SR-BatsBZX-2017-65
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform Comments Due: Exhibit 5 Federal Register version (82 FR 48552)
34-81860
Oct. 12, 2017
SR-Phlx-2017-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Decrease the Qualification Criteria of a Credit Tier and Make Related Changes Comments Due: Exhibit 5 Federal Register version (82 FR 48556)
34-81870
Oct. 12, 2017
SR-NASDAQ-2017-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Rule 7030 That Apply to Use of the Nasdaq Testing Facility Comments Due: Exhibit 5 Federal Register version (82 FR 48554)
34-81863
Oct. 12, 2017
SR-ISE-2017-86
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 723 and Rule 1614 Comments Due: Exhibit 5 Federal Register version (82 FR 48542)
34-81862
Oct. 12, 2017
SR-CBOE-2017-064
Notice of Filing of a Proposed Rule Change Relating to the Creation of an Electronic-Only Order Type Comments Due: Exhibit 5 , Rel. No. 34-82196 Federal Register version (82 FR 48550)
34-81848
Oct. 11, 2017
SR-NYSEArca-2017-88
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade the Shares of the U.S. Equity Cumulative Dividends Fund-Series 2027 and the U.S. Equity Ex-Dividend Fund-Series 2027 Under NYSE Arca Equities Rule 8.200, Commentary .02 Comments Due: View Received Comments Rel. No. 34-82138 , Rel. No. 34-81453 Federal Register version (82 FR 48289)
34-81856
Oct. 11, 2017
SR-NYSE-2017-31
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Listed Company Manual To Adopt Initial and Continued Listing Standards for Subscription Receipts Comments Due: View Received Comments Rel. No. 34-81478 , Rel. No. 34-81102 Federal Register version (82 FR 48296)
34-81855
Oct. 11, 2017
SR-NASDAQ-2017-103
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Postpone Implementation of a New Attribute for Designated Retail Orders Comments Due: Federal Register version (82 FR 48301)
34-81854
Oct. 11, 2017
SR-DTC-2017-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate a Surcharge for Eligibility Requests Submitted to DTC Two Days Prior to Closing Date Comments Due: Exhibit 5 Federal Register version (82 FR 48287)
34-81853
Oct. 11, 2017
SR-CBOE-2017-057
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Interpretation and Policy .07 of Exchange Rule 4.11, Position Limits, To Increase the Position Limits for Options on Certain ETFs Comments Due: View Received Comments Rel. No. 34-82770 , Rel. No. 34-81483 Federal Register version (82 FR 48300)
34-81850
Oct. 11, 2017
SR-BOX-2017-31
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Update Certain Fees Assessed Under Section VI.A (Connectivity Fees) Comments Due: Exhibit 5 Federal Register version (82 FR 48304)
34-81852
Oct. 11, 2017
SR-BOX-2017-32
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Adopt a Strategy QOO Order Fee Cap Comments Due: Exhibit 5 Federal Register version (82 FR 48302)
34-81842
Oct. 10, 2017
SR-NYSEArca-2017-87
Notice of Filing of Proposed Rule Change To List and Trade Shares of the JPMorgan Equity Long/Short ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Rel. No. 34-82176 Federal Register version (82 FR 48127)
34-81841
Oct. 10, 2017
SR-MSRB-2017-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, To Amend the Annual Municipal Advisor Professional Fee Comments Due: Exhibit 5 Federal Register version (82 FR 48135)
34-81844
Oct. 10, 2017
SR-PEARL-2017-34
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 48140)
34-81837
Oct. 6, 2017
SR-NASDAQ-2017-096
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive Nasdaq's Entry Fee When a New Entity Lists in Connection With Certain Transactions Between Two or More Nasdaq-Listed Companies Comments Due: Federal Register version (82 FR 47780)
34-81838
Oct. 6, 2017
SR-NASDAQ-2017-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce the Fees for Certain Investment Management Entities and Eligible Portfolio Companies Comments Due: Federal Register version (82 FR 47784)
34-81836
Oct. 6, 2017
SR-C2-2017-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 47782)
34-81828
Oct. 5, 2017
SR-NYSEAMER-2017-22
Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 47588)
34-81825
Oct. 5, 2017
SR-BatsBYX-2017-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees Comments Due: Exhibit 5 Federal Register version (82 FR 47591)
34-81824
Oct. 5, 2017
SR-FINRA-2017-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6121 To Reflect Recent Amendments to the Regulation NMS Plan To Address Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (82 FR 47586)
34-81827
Oct. 5, 2017
SR-CBOE-2017-063
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 47590)
34-81815
Oct. 4, 2017
SR-BatsBZX-2017-58
Notice of Filing of a Proposed Rule Change To List and Trade Shares of the CBOE S&P 500 Dividend Aristocrats Target Income Index ETF Under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares Comments Due: View Received Comments Rel. No. 34-82115 Federal Register version (82 FR 47265)
34-81814
Oct. 4, 2017
SR-Phlx-2017-75
Notice of Filing of Proposed Rule Change To Amend Rule 1009 To Modify the Criteria for Listing an Option on an Underlying Covered Security Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-82147 Federal Register version (82 FR 47254)
34-81816
Oct. 4, 2017
SR-NASDAQ-2017-087
Notice of Filing of Proposed Rule Change To Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards To Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing From 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing, and Impose a Deadline To Demonstrate Compliance With Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-82142 Federal Register version (82 FR 47269)
34-81818
Oct. 4, 2017
SR-LCHSA-2017-007
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Options on Index Credit Default Swaps Comments Due: Rel. No. 34-81399 , Rel. No. 34-82109 Federal Register version (82 FR 47277)
34-81819
Oct. 4, 2017
SR-LCHSA-2017-006
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Options on Index Credit Default Swaps Comments Due: Rel. No. 34-81487 , Rel. No. 34-82109 Federal Register version (82 FR 47257)
34-81807
Oct. 3, 2017
SR-BatsBZX-2017-62
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers, To Add New Optional Functionality to Minimum Quantity Orders Comments Due: Exhibit 5 Federal Register version (82 FR 47065)
34-81806
Oct. 3, 2017
SR-BatsBYX-2017-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers, To Add New Optional Functionality to Minimum Quantity Orders Comments Due: Exhibit 5 Federal Register version (82 FR 47047)
34-81804
Oct. 3, 2017
SR-BX-2017-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Obsolete Text From Options Regulatory Fee Rule Comments Due: Federal Register version (82 FR 47064)
