34-81361
Aug. 9, 2017
SR-NASDAQ-2017-080
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees Comments Due: Exhibit 5 Federal Register version (82 FR 38749)
34-81359
Aug. 9, 2017
SR-MRX-2017-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Quotations Comments Due: Exhibit 5 Federal Register version (82 FR 38726)
34-81365
Aug. 9, 2017
SR-IEX-2017-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Nonsubstantive Conflicting Rule Text in Rule 11.190 Comments Due: Exhibit 5 Federal Register version (82 FR 38723)
34-81337
Aug. 8, 2017
SR-NYSEAMER-2017-02
Notice of Filing and Immediate Effectiveness of Proposed Change in Connection With Its Recent Name Change From NYSE MKT LLC to NYSE American LLC and the Related Rebranding of NYSE Amex Options to NYSE American Options Comments Due: Exhibit 5a-5b Federal Register version (82 FR 37969)
34-81340
Aug. 8, 2017
SR-NYSEAMER-2017-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01 and .02 to NYSE American Rule 5.2E(j)(3) To Provide for the Inclusion of Cash in an Index Underlying a Series of Investment Company Units Comments Due: Exhibit 5 Federal Register version (82 FR 37936)
34-81343
Aug. 8, 2017
SR-Phlx-2017-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule With Respect to the Options Regulatory Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 37964)
34-81352
Aug. 8, 2017
SR-Phlx-2017-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1092, Nullification and Adjustment of Options Transactions Including Obvious Errors Comments Due: Exhibit 5 Federal Register version (82 FR 37949)
34-81339
Aug. 8, 2017
SR-NSCC-2017-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Adjustments, Clarifications and Corrections to the Fee Provisions for Insurance and Retirement Processing Services Comments Due: Exhibit 5 Federal Register version (82 FR 37932)
34-81342
Aug. 8, 2017
SR-GEMX-2017-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Schedule of Fees With Respect to the Options Regulatory Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 37971)
34-81354
Aug. 8, 2017
SR-GEMX-2017-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 720, Nullification and Adjustment of Options Transactions Including Obvious Errors Comments Due: Exhibit 5 Federal Register version (82 FR 37958)
34-81341
Aug. 8, 2017
SR-BX-2017-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Rules Regarding the Exchange's Options Regulatory Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 37946)
34-81348
Aug. 8, 2017
SR-BX-2017-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions Including Obvious Errors Comments Due: Exhibit 5 Federal Register version (82 FR 37910)
34-81344
Aug. 8, 2017
SR-NASDAQ-2017-068
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the NASDAQ Options Market LLC Rules Regarding the Options Regulatory Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 37955)
34-81353
Aug. 8, 2017
SR-MRX-2017-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 720, Nullification and Adjustment of Options Transactions Including Obvious Errors Comments Due: Exhibit 5 Federal Register version (82 FR 37926)
34-81345
Aug. 8, 2017
SR-ISE-2017-71
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE's Schedule of Fees With Respect to the Options Regulatory Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 37939)
34-81350
Aug. 8, 2017
SR-ISE-2017-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees Comments Due: Exhibit 5 Federal Register version (82 FR 37966)
34-81346
Aug. 8, 2017
SR-IEX-2017-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Correction to the Exchange Fee Schedule Related to Fees for Executions That Involve Taking Resting Interest With Non-Displayed Priority With a Displayable Order Comments Due: Exhibit 5 Federal Register version (82 FR 37973)
34-81338
Aug. 8, 2017
SR-DTC-2017-014
Notice of Filings of Proposed Rule Changes To Adopt the Clearing Agency Operational Risk Management Framework File Nos.: Comments Due: Rel. No. 34-81745 Federal Register version (82 FR 37942)
34-81351
Aug. 8, 2017
SR-BOX-2017-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7170 (Nullification and Adjustment of Options Transactions Including Obvious Errors) Comments Due: Exhibit 5 Federal Register version (82 FR 37920)
34-81328
Aug. 7, 2017
SR-BatsBZX-2017-51
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.'s Options Platform Comments Due: Exhibit 5 Federal Register version (82 FR 37472)
34-81326
Aug. 7, 2017
SR-BatsBYX-2017-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (82 FR 37645)
34-81325
Aug. 7, 2017
SR-NYSEARCA-2017-82
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the September 5, 2017 Compliance Date for the Shortening of the Standard Settlement Cycle From Three Business Days After the Trade Date to Two Business Days After the Trade Date Comments Due: Exhibit 5 Federal Register version (82 FR 37625)
34-81323
Aug. 7, 2017
SR-NASDAQ-2017-078
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions Including Obvious Errors Comments Due: Exhibit 5 Federal Register version (82 FR 37639)
34-81324
Aug. 7, 2017
SR-PEARL-2017-33
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rules 504, Trading Halts, and 521, Nullification and Adjustment of Options Transactions Including Obvious Errors Comments Due: Exhibit 5 Federal Register version (82 FR 37618)
34-81321
Aug. 7, 2017
SR-MIAX-2017-38
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rules 504, Trading Halts, and 521, Nullification and Adjustment of Options Transactions Including Obvious Errors Comments Due: Exhibit 5 Federal Register version (82 FR 37633)
34-81322
Aug. 7, 2017
SR-ISE-2017-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 720, Nullification and Adjustment of Options Transactions Including Obvious Errors Comments Due: Exhibit 5 Federal Register version (82 FR 37627)
34-81327
Aug. 7, 2017
SR-C2-2017-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 6.49, C2 Trade Match System Comments Due: Exhibit 5 Federal Register version (82 FR 37647)
34-81315
Aug. 4, 2017
SR-CHX-2017-12
Notice of Filing of Proposed Rule Change Regarding Qualified Contingent Trades and Related Information Recording Obligations by Certain Participants Comments Due: Exhibit 5 , Rel. No. 34-81683 Federal Register version (82 FR 37479)
34-81316
Aug. 4, 2017
SR-IEX-2017-10
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, Relating to Auctions in IEX-Listed Securities, Dissemination of Auction-Related Market Data, and Trading Halts and Pauses Comments Due: View Received Comments Rel. No. 34-80998 , Rel. No. 34-80583 Federal Register version (82 FR 37474)
34-81304
Aug. 3, 2017
SR-BatsBZX-2017-48
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.'s Equity Options Platform Comments Due: Exhibit 5 Federal Register version (82 FR 37272)
34-81303
Aug. 3, 2017
SR-NYSEArca-2017-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.37 Comments Due: Exhibit 5 Federal Register version (82 FR 37245)
34-81309
Aug. 3, 2017
SR-NYSE-2017-30
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Section 102.01B of the NYSE Listed Company Manual To Provide for the Listing of Companies That List Without a Prior Exchange Act Registration and That Are Not Listing in Connection With an Underwritten Initial Public Offering and Related Changes to Rules 15, 104, and 123D Comments Due: View Received Comments Rel. No. 34-82332 , Rel. No. 34-81440 , Rel. No. 34-80933 , Rel. No. 34-81640 Federal Register version (82 FR 37244)
34-81310
Aug. 3, 2017
SR-NYSE-2017-36
Notice of Filing of Proposed Rule Change for Trading UTP Securities on Pillar, the Exchange's New Trading Technology Platform, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 37257)
34-81306
Aug. 3, 2017
SR-NSCC-2017-014
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Effective Date of the Settlement Cycle Rule Changes Comments Due: Exhibit 5 Federal Register version (82 FR 37256)
34-81311
Aug. 3, 2017
SR-NASDAQ-2017-074
Notice of Filing of Proposed Rule Change To Adopt the Midpoint Extended Life Order Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 37248)
34-81312
Aug. 3, 2017
SR-MRX-2017-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Ports That Members Use To Connect to the Exchange Comments Due: Exhibit 5 Federal Register version (82 FR 37253)
34-81305
Aug. 3, 2017
SR-DTC-2017-015
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Effective Date of the Settlement Cycle Rule Changes Comments Due: Exhibit 5 Federal Register version (82 FR 37274)
34-81291
Aug. 2, 2017
SR-BatsEDGA-2017-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGA Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (82 FR 37154)
34-81289
Aug. 2, 2017
SR-BatsBZX-2017-47
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc. and Bats BZX Exchange, Inc.'s Equity Options Platform Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (82 FR 37135)
34-81288
Aug. 2, 2017
SR-BatsBYX-2017-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (82 FR 37156)
34-81294
Aug. 2, 2017
SR-NYSEArca-2017-40
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change in Connection With the Proposed Merger of Its Wholly Owned Subsidiary NYSE Arca Equities, Inc. With and Into the Exchange Comments Due: View Received Comments 34-81419.pdf , Rel. No. 34-81294 Federal Register version (82 FR 37158)
34-81286
Aug. 2, 2017
SR-NSCC-2017-804
Notice of Filing of Advance Notice to Expand the Application of the Family-Issued Securities Charge Comments Due: Exhibit 5 , Rel. No. 34-81545 Federal Register version (82 FR 37141)
34-81290
Aug. 2, 2017
SR-BatsEDGX-2017-31
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc. and Bats EDGX Exchange, Inc.'s Equity Options Platform Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (82 FR 37136)
34-81278
Aug. 1, 2017
SR-IEX-2017-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Policy Relating to Its Treatment of Trade Reports That It Determines To Be Inconsistent With the Prevailing Market Comments Due: Federal Register version (82 FR 36837)
34-81275
Aug. 1, 2017
SR-CHX-2017-11
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt FINRA Rule 6898 (Consolidated Audit Trail-Fee Dispute Resolution) Rel. No. 34-81053 , Rel. No. 34-81616 Federal Register version (82 FR 36836)
34-81270
July 31, 2017
SR-Phlx-2017-56
Notice of Filing of Proposed Rule Change to a Proposal To Amend Rule 1027, Discretionary Accounts, To Conform It More Closely to a Comparable Rule of the Chicago Board Options Exchange ("CBOE") and To Make Minor Corrections and Clarifications Comments Due: Exhibit 5 , Rel. No. 34-81630 Federal Register version (82 FR 36469)
34-81269
July 31, 2017
SR-NYSENAT-2017-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 11.26 To Modify the Date of Appendix B Web site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (82 FR 36508)
34-81268
July 31, 2017
SR-NYSEARCA-2017-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 36516)
34-81260
July 31, 2017
SR-OCC-2017-804
Notice of No Objection to Advance Notices Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation File Nos.: Comments Due: Rel. No. 34-81039 , Rel. No. 34-81040 Federal Register version (82 FR 36476)
34-81260
July 31, 2017
SR-NSCC-2017-803
Notice of No Objection to Advance Notices Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation File Nos.: Comments Due: Rel. No. 34-81039 , Rel. No. 34-81040 Federal Register version (82 FR 36476)
34-81265
July 31, 2017
SR-NASDAQ-2017-038
Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, Relating to the First Trust Municipal High Income ETF Comments Due: View Received Comments Rel. No. 34-81123 , Rel. No. 34-80802 Federal Register version (82 FR 36460)
34-81264
July 31, 2017
SR-MSRB-2017-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Assess an Underwriting Fee on Dealers That Are Underwriters of Primary Offerings of Plans Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 36472)
34-81263
July 31, 2017
SR-ISE-2017-32
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Harmonize the Corporate Governance Framework of Nasdaq ISE, LLC With That of The NASDAQ Stock Market LLC, NASDAQ PHLX LLC, and NASDAQ BX, Inc. Comments Due: View Received Comments Rel. No. 34-80923 , Rel. No. 34-80530 Federal Register version (82 FR 36497)
34-81262
July 31, 2017
SR-CBOE-2017-056
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.1, Days and Hours of Business, To Clarify the Trading Hours for Options on Exchange-Traded Funds and Exchange-Traded Notes Comments Due: Federal Register version (82 FR 36468)
34-81261
July 31, 2017
SR-C2-2017-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.1, Days and Hours of Business, To Clarify the Trading Hours for Options on Index-Linked Exchangeable Notes Comments Due: Federal Register version (82 FR 36176)
34-81247
July 28, 2017
SR-BatsBZX-2017-30
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Permit the Listing and Trading of Managed Portfolio Shares; and To List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF; ClearBridge Large Cap ETF; ClearBridge MidCap Growth ETF; ClearBridge Select ETF; and ClearBridge All Cap Value ETF Comments Due: View Received Comments Rel. No. 34-82301 , Rel. No. 34-80911 , Rel. No. 34-81599 Federal Register version (82 FR 36031)
34-81246
July 28, 2017
SR-Phlx-2017-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1012 Comments Due: Federal Register version (82 FR 36020)
34-81251
July 28, 2017
SR-BX-2017-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Rules at Chapter IV, Section 6 Comments Due: Federal Register version (82 FR 36046)
34-81245
July 28, 2017
SR-NASDAQ-2017-073
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Market Rules at Chapter IV, Section 6 Comments Due: Federal Register version (82 FR 36017)
34-81250
July 28, 2017
SR-NASDAQ-2017-075
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Effective Date of the TotalView and OpenView Depth-of-Book Products Comments Due: Federal Register version (82 FR 36037)
34-81256
July 28, 2017
SR-NASDAQ-2017-077
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter the Exchange's Fee Schedule for the Short Interest Report Comments Due: Exhibit 5 Federal Register version (82 FR 36168)
34-81252
July 28, 2017
SR-MIAX-2017-36
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Type of MIAX Express Interface Port Known as a Purge Port, To Amend MIAX Options Rule 519C, Mass Cancellation of Trading Interest, To Adopt a New Purge Message, and To Amend Its Fee Schedule To Adopt Fees for Purge Ports Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (82 FR 36172)
34-81255
July 28, 2017
SR-FICC-2017-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees in the Mortgage-Backed Securities Division Clearing Rules and the EPN Rules Comments Due: Exhibit 5 Federal Register version (82 FR 36165)
34-81248
July 28, 2017
SR-DTC-2017-013
Notice of Filings of Proposed Rule Changes To Adopt the Clearing Agency Risk Management Framework File Nos.: Comments Due: Rel. No. 34-81635 Federal Register version (82 FR 36049)
34-81249
July 28, 2017
SR-DTC-2017-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the DTC Operational Arrangements Necessary for Securities To Become and Remain Eligible for DTC Services in Order To Clarify and Update Provisions Relating to the Processing of Eligibility Requests and Servicing of Assets on Deposit at DTC Comments Due: Exhibit 5 Federal Register version (82 FR 36057)
34-81232
July 27, 2017
SR-NYSEAMER-2017-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the September 5, 2017 Compliance Date for the Shortening of the Standard Settlement Cycle From Three Business Days After the Trade Date to Two Business Days After the Trade Date Comments Due: Exhibit 5 Federal Register version (82 FR 36010)
34-81230
July 27, 2017
SR-Phlx-2017-34
Notice of Filing of Proposed Rule Change To Add Functionality to the Options Floor Broker Management System Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-81567 , Rel. No. 34-81980 Federal Register version (82 FR 35858)
34-81228
July 27, 2017
SR-NYSEMKT-2017-43
Notice of Filing and Immediate Effectiveness of Proposed Change To Adopt Transaction Fees in Connection With the Exchange's Transition to a Fully-Automated Cash Equities Market Comments Due: Exhibit 5 Federal Register version (82 FR 36012)
34-81224
July 27, 2017
SR-NYSEArca-2017-05
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, 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. 34-80606 , Rel. No. 34-79916 Federal Register version (82 FR 36030)
34-81225
July 27, 2017
SR-NYSE-2017-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Trading UTP Securities on Pillar, the Exchange's New Trading Technology Platform Comments Due: Exhibit 5 Federal Register version (82 FR 36033)
34-81226
July 27, 2017
SR-NYSE-2017-08
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Listing Standards for Closed-End Funds Comments Due: View Received Comments Rel. No. 34-80867 Federal Register version (82 FR 36054)
34-81231
July 27, 2017
SR-NYSE-2017-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the September 5, 2017 Compliance Date for the Shortening of the Standard Settlement Cycle From Three Business Days After the Trade Date to Two Business Days After the Trade Date Comments Due: Exhibit 5 Federal Register version (82 FR 36008)
34-81233
July 27, 2017
SR-MSRB-2017-03
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to MSRB Rule G-26, on Customer Account Transfers, To Modernize the Rule and Promote a Uniform Customer Account Transfer Standard Comments Due: View Received Comments Rel. No. 34-80890 Federal Register version (82 FR 36039)
34-81229
July 27, 2017
SR-MIAX-2017-34
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule 515A, MIAX Price Improvement Mechanism ("PRIME") and PRIME Solicitation Mechanism, Rule 518, Complex Orders, and Rule 519A, Risk Protection Monitor Comments Due: Exhibit 5 Federal Register version (82 FR 36023)
34-81212
July 26, 2017
SR-ISE-2017-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date in Rule 723(b) Comments Due: Exhibit 5 Federal Register version (82 FR 35864)
34-81213
July 26, 2017
SR-ISE-2017-73
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 35855)
34-81211
July 26, 2017
SR-FICC-2017-010
Notice of Withdrawal of a Proposed Rule Change To Amend the Mortgage-Backed Securities Division Rules Concerning Use of Clearing Fund for Losses, Liabilities or Temporary Needs for Funds Incident to the Clearance and Settlement Business and Make Other Related Changes Comments Due: Rel. No. 34-80879 , Rel. No. 34-80517 Federal Register version (82 FR 35864)
34-81206
July 25, 2017
SR-BatsBZX-2017-44
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (82 FR 35573)
34-81201
July 25, 2017
SR-NYSEArca-2017-06
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, Relating to the Listing and Trading of Shares of the Bitcoin Investment Trust Under NYSE Arca Equities Rule 8.201 Comments Due: View Received Comments Rel. No. 34-80729 , Rel. No. 34-80502 , Rel. No. 34-80297 , Rel. No. 34-79955 , Rel. No. 34-81747 Federal Register version (82 FR 35557)
34-81203
July 25, 2017
SR-NSCC-2017-010
Notice of Filing of a Proposed Rule Change To Expand the Application of the Family-Issued Securities Charge Comments Due: Exhibit 5 , Rel. No. 34-81550 Federal Register version (82 FR 35563)
34-81198
July 25, 2017
S7-24-89
Notice of Filing and Immediate Effectiveness of the Thirty-Ninth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Comments Due: Federal Register version (82 FR 35571)
34-81199
July 25, 2017
SR-CTA/CQ-2017-03
Notice of Filing and Immediate Effectiveness of the Twenty-Eight Substantive Amendment to the Second Restatement of the CTA Plan and the Twentieth Amendment to the Restated CQ Plan Comments Due: Federal Register version (82 FR 35562)
34-81191
July 24, 2017
SR-BatsBZX-2017-46
Notice of Filing of a Proposed Rule Change to Rule 14.11(c), Index Fund Shares, To List and Trade Shares of the Aptus Fortified Value ETF, a Series of ETF Series Solutions Comments Due: View Received Comments Rel. No. 34-81947 , Rel. No. 34-81558 Federal Register version (82 FR 35256)
34-81193
July 24, 2017
SR-MIAX-2017-35
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rules 404, 506, 806, and 1701 Comments Due: Exhibit 5 Federal Register version (82 FR 35254)
34-81195
July 24, 2017
SR-IEX-2017-11
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, To Modify the Manner in Which the Exchange Opens Trading for Non-IEX-Listed Securities Comments Due: View Received Comments Rel. No. 34-80514 , Rel. No. 34-81052 Federal Register version (82 FR 35250)
34-81196
July 24, 2017
SR-FINRA-2017-025
Notice of Filing of a Proposed Rule Change Relating to the Definition of Non-Public Arbitrator Comments Due: View Received Comments Rel. No. 34-34-81572 Federal Register version (82 FR 35248)
34-81192
July 24, 2017
SR-DTC-2017-005
Notice of Filing Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk) File Nos.: Comments Due: Rel No. 34-82368 , Rel. No. 34-80876 , Rel. No. 34-80485 , Rel. No. 34-81883 Federal Register version (82 FR 35245)
34-81194
July 24, 2017
SR-FICC-2017-008
Notice of Filing Amendment No. 2, Notice of Filing Amendment No. 3, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Previously Modified by Amendment No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework File Nos.: Comments Due: Rel. No. 34-82377 , Rel. No. 34-80877 , Rel. No. 34-80489 Federal Register version (82 FR 35241)
34-81185
July 21, 2017
SR-NYSEArca-2017-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Change in the Size of a Creation Unit Applicable to Shares of the PIMCO Low Duration Active Exchange-Traded Fund Comments Due: Federal Register version (82 FR 35019)
34-81188
July 21, 2017
SR-NASDAQ-2017-061
Notice of Filing of Proposed Rule Change To Amend Exchange Rules 4702 and 4754 To Enhance the Nasdaq Closing Cross Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-81556 Federal Register version (82 FR 35014)
34-81184
July 21, 2017
SR-PEARL-2017-32
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 404, Series of Option Contracts Open for Trading Comments Due: Exhibit 5 Federal Register version (82 FR 35002)
34-81183
July 21, 2017
SR-MIAX-2017-33
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule 404, Series of Option Contracts Open for Trading Comments Due: Exhibit 5 Federal Register version (82 FR 34998)
34-81177
July 20, 2017
SR-NYSEArca-2016-177
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 3, 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. 34-80486 , Rel. No. 34-80180 , Rel. No. 34-79793 , Rel. No. 34-81655 Federal Register version (82 FR 34716)
34-81176
July 20, 2017
SR-NYSE-2017-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Non-Regular Way Trading on the Exchange Comments Due: Exhibit 5 Federal Register version (82 FR 34728)
34-81174
July 20, 2017
SR-GEMX-2017-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Quotations Comments Due: Exhibit 5 Federal Register version (82 FR 34723)
34-81180
July 20, 2017
SR-GEMX-2017-24
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 912 Comments Due: View Received Comments Rel. No. 34-81500 , Rel. No. 34-80970 Federal Register version (82 FR 34728)
34-81179
July 20, 2017
SR-BX-2017-029
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 6896 and Chapter IX, Section 9 Comments Due: View Received Comments Rel. No. 34-81500 , Rel. No. 34-80968 Federal Register version (82 FR 34716)
34-81182
July 20, 2017
SR-NASDAQ-2017-070
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Qualification Criteria Under the Qualified Market Maker Program at Rule 7014 Comments Due: Exhibit 5 Federal Register version (82 FR 34721)
34-81178
July 20, 2017
SR-MRX-2017-08
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 912 Comments Due: View Received Comments Rel. No. 34-81500 , Rel. No. 34-80966 Federal Register version (82 FR 34715)
34-81181
July 20, 2017
SR-ISE-2017-52
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 912 Comments Due: View Received Comments Rel. No. 34-81500 , Rel. No. 34-80971 Federal Register version (82 FR 34727)
