34-79626
Dec. 20, 2016
SR-ISEGemini-2016-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules in Connection With Business Continuity and Disaster Recovery Plans Testing Requirements Comments Due: Exhibit 5 Federal Register version (81 FR 95216)
34-79618
Dec. 20, 2016
SR-BatsBZX-2016-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to BZX Rule 14.11(i), Managed Fund Shares, To List Shares of the Cambria Sovereign High Yield Bond ETF and the Cambria Value and Momentum ETFs Comments Due: Federal Register version (81 FR 95252)
34-79623
Dec. 20, 2016
SR-BatsBYX-2016-39
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Market Data Section of Its Fee Schedule To Adopt Fees for BYX Summary Depth and Amend Fees for BYX Depth Comments Due: Exhibit 5 Federal Register version (81 FR 95226)
34-79614
Dec. 20, 2016
SR-Phlx-2016-121
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3317 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) Comments Due: Exhibit 5 Federal Register version (81 FR 95206)
34-79611
Dec. 20, 2016
SR-NYSEMKT-2016-99
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 Security the DMM Has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading Comments Due: 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 , 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 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 (81 FR 95205)
34-79612
Dec. 20, 2016
SR-NYSE-2016-71
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 104 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 During the Last Ten Minutes Prior to the Close of Trading Comments Due: 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 , Order Rel. No. 34-80044 , Rel. No. 34-79284 , Rel. No. 34-80552 Federal Register version (81 FR 95205)
34-79609
Dec. 20, 2016
SR-BX-2016-072
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of the Limit Order Protection Comments Due: Federal Register version (81 FR 95241)
34-79615
Dec. 20, 2016
SR-BX-2016-069
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) Comments Due: Exhibit 5 Federal Register version (81 FR 95232)
34-79616
Dec. 20, 2016
SR-NASDAQ-2016-171
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) Comments Due: Exhibit 5 Federal Register version (81 FR 95243)
34-79617
Dec. 20, 2016
SR-NASDAQ-2016-168
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Data Fees at Rule 7052 Comments Due: Exhibit 5 Federal Register version (81 FR 95213)
34-79619
Dec. 20, 2016
SR-NASDAQ-2016-178
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to SQF Ports Comments Due: Exhibit 5 Federal Register version (81 FR 95250)
34-79622
Dec. 20, 2016
SR-ISE-2016-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 803 at Supplementary Material .02 in Connection With Business Continuity and Disaster Recovery Plans Comments Due: Exhibit 5 Federal Register version (81 FR 95260)
34-79620
Dec. 20, 2016
SR-FINRA-2016-046
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Reporting Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine Comments Due: Federal Register version (81 FR 95247)
34-79610
Dec. 20, 2016
SR-CBOE-2016-090
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Compression of S&P 500(R) Index Options Positions Comments Due: Exhibit 5 Federal Register version (81 FR 95219)
34-79621
Dec. 20, 2016
SR-CBOE-2016-089
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Credit Option Margin Pilot Program Through July 18, 2017 Comments Due: Exhibit 5 Federal Register version (81 FR 95236)
34-79613
Dec. 20, 2016
SR-BOX-2016-50
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 5050 Series of Options Contracts Open for Trading To Provide for the Listing and Trading on the Exchange of RealDayTM Comments Due: View Received Comments Rel. No. 34-79936 , Rel. No. 34-79258 Federal Register version (81 FR 95206)
34-79596
Dec. 19, 2016
SR-BatsEDGA-2016-34
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.8, Order Types, and Rule 11.11, Routing to Away Trading Centers, To Enhance the Exchange's Midpoint Routing Functionality Comments Due: Exhibit 5 Federal Register version (81 FR 94454)
34-79600
Dec. 19, 2016
SR-BatsBZX-2016-91
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Participant Fee Applicable to Options Members of Its Equity Options Platform Comments Due: Exhibit 5 Federal Register version (81 FR 94468)
34-79603
Dec. 19, 2016
SR-BatsBYX-2016-41
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9, Orders and Modifiers, and Rule 11.13, Order Execution and Routing, To Enhance the Exchange's Midpoint Routing Functionality Comments Due: Exhibit 5 Federal Register version (81 FR 94440)
34-79599
Dec. 19, 2016
SR-NYSEMKT-2016-120
Notice of Filing of Proposed Rule Change Amending Rule 971.1NY and to Make Permanent the Aspects of Customer Best Execution Auction that Are Subject to a Pilot Comments Due: Exhibit 3 , Exhibit 5 , Rel. No. 34-79830
34-79594
Dec. 19, 2016
SR-NYSEArca-2016-164
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 3.2 and NYSE Arca Equities Rules 1.1, 3.2, 10.3, 10.8, 10.13, and 14 Comments Due: Exhibit 5 Federal Register version (81 FR 94473)
34-79597
Dec. 19, 2016
SR-NYSEArca-2016-165
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Comments Due: Exhibit 5 Federal Register version (81 FR 94460)
34-79592
Dec. 19, 2016
SR-NSCC-2016-803
Notice of No Objection to Advance Notice Filing to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of "Off-the-Market Transactions," and Make Other Changes Comments Due: Rel. No. 34-79391 Federal Register version (81 FR 94448)
34-79589
Dec. 19, 2016
SR-CBOE-2016-086
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Debit/Credit Price Reasonability Checks for Complex Orders Comments Due: Federal Register version (81 FR 94469)
34-79590
Dec. 19, 2016
SR-C2-2016-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Debit/Credit Price Reasonability Check for Complex Orders Comments Due: Federal Register version (81 FR 94434)
34-79595
Dec. 19, 2016
SR-BatsEDGX-2016-73
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Market Data Section of Its Fee Schedule To Adopt Fees for EDGX Summary Depth and Amend Fees for EDGX Depth Comments Due: Exhibit 5 Federal Register version (81 FR 94442)
34-79584
Dec. 16, 2016
SR-Phlx-2016-119
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the PIXL Price Improvement Auction in Phlx Rule 1080(n) and To Make Pilot Program Permanent Comments Due: Exhibit 5 , Exhibit 3a , Exhibit 3b , Rel. No. 34-79835 Federal Register version (81 FR 93979)
34-79582
Dec. 16, 2016
SR-NYSE-2016-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.02 of the NYSE Listed Company Manual To Adopt a Fee Cap Specific to Investment Management Entities and Their Eligible Portfolio Companies Comments Due: Exhibit 5 Federal Register version (81 FR 93976)
34-79562
Dec. 15, 2016
SR-ISEGemini-2016-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Direct Debit for Market Data Products Comments Due: Exhibit 5 Federal Register version (81 FR 93722)
34-79561
Dec. 15, 2016
SR-NYSEMKT-2016-58
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund Comments Due: View Received Comments Rel. No. 34-79510 , Rel. No. 34-78804 , Rel. No. 34-78432 , Rel. No. 34-78000 Federal Register version (81 FR 93715)
34-79564
Dec. 15, 2016
SR-NYSEMKT-2016-116
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions to Take Place at a Price That Is Below $1 Per Option Contract Until July 5, 2017 Comments Due: Exhibit 5 Federal Register version (81 FR 93716)
34-79565
Dec. 15, 2016
SR-NYSEARCA-2016-163
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place at a Price That Is Below $1 Per Option Contract Until July 5, 2017 Comments Due: Exhibit 5 Federal Register version (81 FR 93723)
34-79563
Dec. 15, 2016
SR-ISE-2016-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Direct Debit for Market Data Products Comments Due: Exhibit 5 Federal Register version (81 FR 93718)
34-79570
Dec. 15, 2016
SR-FINRA-2016-045
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 4554 Reporting Requirements for Alternative Trading Systems Comments Due: Exhibit 5 Federal Register version (81 FR 93720)
34-79552
Dec. 14, 2016
SR-BatsBZX-2016-61
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Exchange Rule 11.23, Auctions, To Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan To Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS Comments Due: View Received Comments Rel. No. 34-79884 , Rel. No. 34-79162 Federal Register version (81 FR 92928)
34-79545
Dec. 14, 2016
SR-Phlx-2016-118
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3317 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) Comments Due: Exhibit 5 Federal Register version (81 FR 92916)
34-79558
Dec. 14, 2016
SR-NYSEMKT-2016-114
Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 92889)
34-79559
Dec. 14, 2016
SR-NYSEMKT-2016-115
Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 92923)
34-79547
Dec. 14, 2016
SR-NYSEARCA-2016-161
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 10.17 and NYSE Arca Equities Rule 10.15 Comments Due: Exhibit 5 Federal Register version (81 FR 92892)
34-79550
Dec. 14, 2016
SR-NYSEArca-2016-120
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change 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. 34-80579 , Order No. 34-79914 , Rel. No. 34-79201 Federal Register version (81 FR 92892)
34-79549
Dec. 14, 2016
SR-BX-2016-067
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) Comments Due: Exhibit 5 Federal Register version (81 FR 92886)
34-79546
Dec. 14, 2016
SR-NASDAQ-2016-165
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) Comments Due: Exhibit 5 Federal Register version (81 FR 92932)
34-79551
Dec. 14, 2016
SR-NASDAQ-2016-131
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan To Address Extraordinary Market Volatility Comments Due: View Received Comments Rel. No. 34-79876 , Rel. No. 34-79158 Federal Register version (81 FR 92885)
34-79554
Dec. 14, 2016
SR-NASDAQ-2016-141
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 4702 To Adopt a New Retail Post-Only Order Comments Due: View Received Comments Rel. No. 34-79874 , Rel. No. 34-79163 Federal Register version (81 FR 92927)
34-79556
Dec. 14, 2016
SR-NASDAQ-2016-167
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Distributor Fees for ITTO and BONO Data Feeds Comments Due: Exhibit 5 Federal Register version (81 FR 92935)
34-79548
Dec. 14, 2016
SR-CBOE-2016-085
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 92883)
34-79560
Dec. 14, 2016
SR-CBOE-2016-081
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move the Web Site and Vendor Through Which It Sells and Disseminates Open and Close Volume Data on the CBOE Comments Due: Exhibit 5 Federal Register version (81 FR 92925)
34-79557
Dec. 14, 2016
SR-BOX-2016-57
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Detail How Complex Orders Will Execute Through the Solicitation Auction Mechanism Comments Due: Exhibit 5 Federal Register version (81 FR 92919)
34-79539
Dec. 13, 2016
SR-ISEMercury-2016-25
Notice of Filing of Proposed Rule Change to Amend ISE Mercury Rule 723 and To Make Pilot Program Permanent Comments Due: Exhibit 3 , Exhibit 5 , Order Granting Approval of Proposed Rule Change to Amend ISE Mercury Rule 723 and to Make Pilot Program Permanent Federal Register version (81 FR 91982)
34-79541
Dec. 13, 2016
SR-ISEGemini-2016-23
Notice of Filing of Proposed Rule Change To Amend ISE Gemini Rule 723 and To Make Pilot Program Permanent Comments Due: Exhibit 3 , Exhibit 5 , Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend a Pilot Program Federal Register version (81 FR 91974)
34-79536
Dec. 13, 2016
SR-BatsEDGA-2016-30
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.21(b) Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 91993)
34-79533
Dec. 13, 2016
SR-BatsBZX-2016-82
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 91990)
34-79534
Dec. 13, 2016
SR-BatsBYX-2016-37
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 91965)
34-79538
Dec. 13, 2016
SR-CHX-2016-21
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Web Site Data Publication Requirements and Clarify Certain Data Reporting Obligations Related to the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 91979)
34-79535
Dec. 13, 2016
SR-FICC-2016-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the MBSD Schedule of Charges Dealer Account Group Comments Due: Exhibit 5 Federal Register version (81 FR 91964)
34-79540
Dec. 13, 2016
SR-CBOE-2016-082
Notice of Filing of a Proposed Rule Change Related to Rules Regarding the Responsibility for Ensuring Compliance With Open Outcry Priority and Allocation Requirements and Trade-Through Prohibitions Comments Due: View Received Comments Rel. No. 34-80859 , Rel. No. 34-80270 , Rel. No. 34-79910 Federal Register version (81 FR 91967)
34-79537
Dec. 13, 2016
SR-BatsEDGX-2016-70
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.22(b) Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 91971)
34-79525
Dec. 12, 2016
SR-NYSEMKT-2016-111
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 960NY in Order To Extend the Penny Pilot in Options Classes in Certain Issues Comments Due: Exhibit 5 Federal Register version (81 FR 91230)
34-79524
Dec. 12, 2016
SR-NYSEArca-2016-156
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 6.72 Comments Due: Exhibit 5 Federal Register version (81 FR 91220)
34-79532
Dec. 12, 2016
SR-NASDAQ-2016-166
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Chapter XV, Section 2 Comments Due: Exhibit 5 Federal Register version (81 FR 91216)
34-79530
Dec. 12, 2016
SR-ISE-2016-29
Notice of Filing of Proposed Rule Change To Amend ISE Rule 723 and To Make Pilot Program Permanent Comments Due: Exhibit 3a , Exhibit 3b , Exhibit 5 , Rel. No. 4-79829 Federal Register version (81 FR 91221)
34-79527
Dec. 12, 2016
SR-IEX-2016-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require Listed Companies To Publicly Disclose Compensation or Other Payments by Third Parties to Any Nominee for Director or Sitting Director in Connection With Their Candidacy for or Service on the Companies' Board of Directors Comments Due: Exhibit 5 Federal Register version (81 FR 91211)
34-79528
Dec. 12, 2016
SR-DTC-2016-007
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, Relating to Clearing Agency Investment Policy File Nos.: Comments Due: Rel. No. 34-79165 , Rel. No. 34-78778 Federal Register version (81 FR 91232)
34-79531
Dec. 12, 2016
SR-BOX-2016-58
Notice of Filing of Proposed Rule Change To Amend Interpretive Material to Rule 7150 (Price Improvement Period "PIP") and Interpretive Material to Rule 7245 (Complex Order Price Improvement Period "COPIP") To Make Permanent the Pilot Programs That Permit the Exchange To Have No Minimum Size Requirement for Orders Entered Into the PIP ("PIP Pilot Program") and COPIP ("COPIP Pilot Program") Comments Due: Exhibit 3 , Exhibit 5 , Rel. No. 34-79831 Federal Register version (81 FR 91227)
34-79526
Dec. 12, 2016
SR-BatsEDGX-2016-71
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats EDGX Exchange, Inc. To Extend Through June 30, 2017, the Penny Pilot Program in Options Classes in Certain Issues Comments Due: Exhibit 5 Federal Register version (81 FR 91235)
34-79514
Dec. 9, 2016
SR-CFE-2016-004
Notice of Filing of a Proposed Rule Change Regarding Attempted Fraudulent Acts Comments Due: Exhibit 4 Federal Register version (81 FR 90889)
34-79523
Dec. 9, 2016
SR-BatsBZX-2016-84
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats BZX Exchange, Inc. To Extend Through June 30, 2017, the Penny Pilot Program in Options Classes in Certain Issues Comments Due: Exhibit 5 Federal Register version (81 FR 90895)
34-79518
Dec. 9, 2016
SR-NYSEArca-2016-84
Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, Relating to the Listing and Trading of Shares of the Long Dollar Gold Trust Under NYSE Arca Equities Rule 8.201 Comments Due: View Received Comments Rel. No. 34-78859 , Rel. No. 34-78425 , Rel. No. 34-78075 Federal Register version (81 FR 90876)
34-79515
Dec. 9, 2016
SR-NYSE-2016-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.04 of the NYSE Listed Company Manual Comments Due: Exhibit 5 Federal Register version (81 FR 90893)
34-79516
Dec. 9, 2016
SR-ICEEU-2016-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Clearing Rules Regarding German CDS Clearing Members Comments Due: Exhibit 5 Federal Register version (81 FR 90891)
34-79520
Dec. 9, 2016
SR-CBOE-2016-071
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating To Opening and Closing Rotations Under the HOSS System Comments Due: View Received Comments Rel. No. 34-79133 Federal Register version (81 FR 90896)
34-79509
Dec. 8, 2016
SR-NYSEMKT-2016-112
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program Comments Due: Exhibit 5 Federal Register version (81 FR 90389)
34-79510
Dec. 8, 2016
SR-NYSEMKT-2016-58
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 Amendments No. 1 and 2 Thereto, Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund Comments Due: View Received Comments Rel. No. 34-79561 , Rel. No. 34-78804 , Rel. No. 34-78432 , Rel. No. 34-78000 Federal Register version (81 FR 90402)
34-79506
Dec. 8, 2016
SR-NYSEArca-2016-158
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Schedule of Fees and Charges Relating to the Listing and Annual Fees Applicable to Certain Structured Products Comments Due: Exhibit 5 Federal Register version (81 FR 90391)
34-79496
Dec. 7, 2016
SR-BatsBZX-2016-83
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange's Equity Options Platform Comments Due: Exhibit 5 Federal Register version (81 FR 90015)
34-79495
Dec. 7, 2016
SR-NYSEARCA-2016-157
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program Comments Due: Federal Register version (81 FR 90033)
34-79498
Dec. 7, 2016
SR-NYSEArca-2016-63
Notice of Withdrawal of a Proposed Rule Change Relating to Listing and Trading of Shares of the BlackRock Government Collateral Pledge Unit Under NYSE Arca Equities Rule 8.600 Comments Due: 34-79398 , Rel. No. 334-78728 , Rel. No. 34-78328 , Rel. No. 34-77941 Federal Register version (81 FR 90026)
34-79493
Dec. 7, 2016
SR-NYSE-2016-82
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program Comments Due: Exhibit 5 Federal Register version (81 FR 90019)
34-79492
Dec. 7, 2016
SR-NASDAQ-2016-121
Notice of Withdrawal of Proposed Rule Change Related to the Payment of a Credit by Execution Access, LLC Based on Volume Thresholds Met on the NASDAQ Options Market Comments Due: Rel. No. 34-79317 , Rel. No. 34-79118 , Rel. No. 34-78749 Federal Register version (81 FR 90021)
34-79500
Dec. 7, 2016
SR-MIAX-2016-46
Notice of Filing of a Proposed Rule Change To Amend Rule 515A, MIAX Price Improvement Mechanism ("PRIME") and PRIME Solicitation Mechanism Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 90030)
34-79502
Dec. 7, 2016
SR-IEX-2016-18
Notice of Filing of Proposed Rule Change to: (i) Amend Rules 11.190(a)(3) and 11.190(b)(8) To Modify the Operation of the Primary Peg Order Type; (ii) Amend Rule 11.190(h)(C)(ii) and (D)(ii) Regarding Price Sliding in Locked and Crossed Markets To Simplify the Price Sliding Process for Both Primary Peg Orders and Discretionary Peg Orders Resting on or Posting to the Order Book; and (iii) Make Minor Housekeeping Changes To Conform Certain Terminology Comments Due: Exhibit 5 , Rel. No. 34-80223 , Rel. No. 34-79883 Federal Register version (81 FR 90035)
34-79491
Dec. 7, 2016
SR-FICC-2016-007
Notice of Filing of Proposed Rule Change To Implement a Change to the Methodology Used in the MBSD VaR Model Comments Due: Exhibit 5 Federal Register version (81 FR 90001)
34-79499
Dec. 7, 2016
SR-CBOE-2016-084
Notice of Filing of a Proposed Rule Change To Amend Exchange Rules Related to the Automated Improvement Mechanism Comments Due: View Received Comments Exhibit 3 , Rel. No. 34-79836 Federal Register version (81 FR 90012)
34-79497
Dec. 7, 2016
SR-BatsEDGX-2016-69
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange's Equities Options Platform Comments Due: Exhibit 5 Federal Register version (81 FR 90011)
34-79501
Dec. 7, 2016
SR-BatsEDGX-2016-68
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of the Exchange's Equities Platform Comments Due: Exhibit 5 Federal Register version (81 FR 90009)
34-79474
Dec. 6, 2016
SR-CHX-2016-20
Notice of Filing of Proposed Rule Change in Connection With the Proposed Transaction Involving CHX Holdings, Inc. and North America Casin Holdings, Inc. Comments Due: View Received Comments Exhibit 5a , Exhibit 5b , Exhibit 5c , Exhibit 5d , Exhibit 5e , Exhibit 5f , Exhibit 5g , Exhibit 5h , Exhibit 5i , Exhibit 5j , Exhibit 5k , Rel. No. 34-80864 , Rel. No. 34-79781 Federal Register version (81 FR 89543)
34-79475
Dec. 6, 2016
SR-NYSEMKT-2016-113
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 67-Equities To Modify the Web Site Data Publication Requirements Relating to the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 89527)
34-79479
Dec. 6, 2016
SR-NYSEMKT-2016-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That the Exchange Would Not Be Required To Report to the Securities Information Processor an Official Closing Price, as Defined Under Rule 123C(1)(e)(i)-Equities, as an "M" Sale Condition Comments Due: Federal Register version (81 FR 89564)
34-79476
Dec. 6, 2016
SR-NYSEARCA-2016-159
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.46 to Modify the Web Site Data Publication Requirements Relating To the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 89529)
34-79480
Dec. 6, 2016
SR-NYSEArca-2016-130
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending NYSE Arca Equities Rules 7.35 (Auctions), 7.10 (Clearly Erroneous Executions), 7.31 (Orders and Modifiers), and 7.11 (Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility) Comments Due: View Received Comments Rel. No. 34-79107 Federal Register version (81 FR 89525)
34-79477
Dec. 6, 2016
SR-NYSE-2016-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 67 To Modify the Web site Data Publication Requirements Relating to the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 89559)
34-79478
Dec. 6, 2016
SR-NYSE-2016-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That the Exchange Would Not Be Required To Report to The Securities Information Processor an Official Closing Price, as Defined Under Rule 123C(1)(e)(i), as an "M" Sale Condition Comments Due: Federal Register version (81 FR 89523)
34-79485
Dec. 6, 2016
SR-BX-2016-066
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Titles of Equities Rule 7015 and Options Chapter XV, Section 3, and To Make Related Changes Comments Due: Exhibit 5 Federal Register version (81 FR 89532)
34-79473
Dec. 6, 2016
SR-IEX-2016-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Web site Data Publication Requirements Relating to the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 89562)
34-79486
Dec. 6, 2016
SR-BOX-2016-54
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility Comments Due: Exhibit 5 Federal Register version (81 FR 89525)
34-79467
Dec. 5, 2016
SR-BatsBZX-2016-81
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 11.23, Auctions, To Amend How the Official Auction Prices Are Calculated and Add Additional Specificity Regarding the Handling of RHO Orders During an Opening Auction for a BZX Listed Security Comments Due: Exhibit 5 Federal Register version (81 FR 89176)
34-79468
Dec. 5, 2016
SR-NYSEMKT-2016-110
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule To Expand the Risk Limitation Mechanism to All Orders, Including Complex Orders Comments Due: Exhibit 5 Federal Register version (81 FR 89160)
34-79466
Dec. 5, 2016
SR-NYSEArca-2016-154
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing Business Continuity and Disaster Recovery Planning Comments Due: Exhibit 5 Federal Register version (81 FR 89166)
34-79469
Dec. 5, 2016
SR-NYSEArca-2016-155
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.40 To Expand the Risk Limitation Mechanism to All Orders, Including Complex Orders Comments Due: Exhibit 5 Federal Register version (81 FR 89171)
34-79465
Dec. 5, 2016
SR-BX-2016-063
Notice of Filing of Proposed Rule Change To Amend the PRISM Price Improvement Auction in BX Chapter VI, Section 9 and To Make Pilot Program Permanent Comments Due: Exhibit 3 , Exhibit 5 , Rel. No. 34-79812 Federal Register version (81 FR 89167)
