34-79430
Nov. 30, 2016
SR-BatsBYX-2016-36
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Substantive Changes to the Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 87993)
34-79435
Nov. 30, 2016
SR-OCC-2016-014
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Related to Compliance With Section 871(m) of the Internal Revenue Code Comments Due: Rel. No. 34-79172 , Rel. No. 34-79172 Federal Register version (81 FR 87984)
34-79428
Nov. 30, 2016
SR-NASDAQ-2016-161
Notice of Filing of Proposed Rule Change To Adopt a New Extended Life Priority Order Attribute Under Rule 4703, and To Make Related Changes to Rules 4702, 4752, 4753, 4754, and 4757 Comments Due: View Received Comments Exhibit 3 , Exhibit 5 , Rel. No. 34-81097 , Rel. No. 34-80149 , Rel. No. 34-79810 , Rel. No. 34-80149 Federal Register version (81 FR 87628)
34-79433
Nov. 30, 2016
SR-Nasdaq-2016-160
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 5 To Extend the Penny Pilot Program Comments Due: Federal Register version (81 FR 87995)
34-79432
Nov. 30, 2016
SR-MIAX-2016-45
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510 To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 87990)
34-79429
Nov. 30, 2016
SR-BOX-2016-55
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7260 by Extending the Penny Pilot Program Through June 30, 2017 Comments Due: Federal Register version (81 FR 87991)
34-79425
Nov. 29, 2016
SR-Phlx-2016-115
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Federal Register version (81 FR 87633)
34-79422
Nov. 29, 2016
4-533
Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add Investors Exchange, LLC as a Party Thereto Comments Due: View Received Comments Federal Register version (81 FR 87645)
34-79420
Nov. 29, 2016
SR-BX-2016-062
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 5 To Extend the Penny Pilot Program Comments Due: Federal Register version (81 FR 87639)
34-79424
Nov. 29, 2016
SR-FINRA-2016-042
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6191 To Modify the Web Site Data Publication Requirements Relating to the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 87603)
34-79423
Nov. 29, 2016
SR-CBOE-2016-078
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Disaster Recovery Comments Due: Exhibit 5 Federal Register version (81 FR 87641)
34-79421
Nov. 29, 2016
SR-BOX-2016-48
Notice of Filing of Proposed Rule Change To Adopt Rules for an Open-Outcry Trading Floor Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-81292 , Rel. No. 34-80720 , Rel. No. 34-80719 , Rel. No. 34-80134 , Rel. No. 34-79768 Federal Register version (81 FR 87607)
34-79412
Nov. 28, 2016
SR-BatsEDGA-2016-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Ministerial Change to Exchange Rules 11.10, 11.14, and 11.21 Comments Due: Exhibit 5 Federal Register version (81 FR 87112)
34-79407
Nov. 28, 2016
SR-Phlx-2016-114
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .14 to Rule 3317 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) Comments Due: Federal Register version (81 FR 87089)
34-79404
Nov. 28, 2016
SR-NYSEArca-2016-149
Notice of Filing of a Proposed Rule Change Amending Rule 6.91NY Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-80138 , Rel. No. 34-79759 Federal Register version (81 FR 87094)
34-79410
Nov. 28, 2016
4-631
Notice of Filing of the Twelfth 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, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Comments Due: View Received Comments Federal Register version (81 FR 87114)
34-79409
Nov. 28, 2016
SR-BX-2016-061
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .14 to Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) Comments Due: Federal Register version (81 FR 87091)
34-79408
Nov. 28, 2016
SR-NASDAQ-2016-159
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .14 to Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) Comments Due: Federal Register version (81 FR 87106)
34-79405
Nov. 28, 2016
SR-MIAX-2016-44
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders Comments Due: Exhibit 5 Federal Register version (81 FR 87086)
34-79406
Nov. 28, 2016
SR-CBOE-2016-080
Notice of Filing of a Proposed Rule Change To Amend Rule 6.53C Comments Due: View Received Comments Rel. No. 34-79783 Federal Register version (81 FR 87102)
34-79403
Nov. 28, 2016
SR-BatsEDGX-2016-65
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Ministerial Change to Exchange Rules 11.8, 11.14, and 11.22 Comments Due: Exhibit 5 Federal Register version (81 FR 87109)
34-79411
Nov. 28, 2016
SR-BatsEDGX-2016-66
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Substantive Changes to the Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 87111)
34-79400
Nov. 25, 2016
SR-NYSEMKT-2016-103
Notice of Filing of Proposed Rule Change Allowing the Exchange To Trade Pursuant to Unlisted Trading Privileges for Any NMS Stock Listed On Another National Securities Exchange; Establishing Rules for the Trading Pursuant to UTP of Exchange Traded Products and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-80746 , Rel. No. 34-80097 , Rel. No. 34-79738 Federal Register version (81 FR 86750)
34-79398
Nov. 25, 2016
SR-NYSEArca-2016-63
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of Shares of BlackRock Government Collateral Pledge Unit Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-79498 , Rel. No. 34-79498 , Rel. No. 334-78728 , Rel. No. 34-78328 , Rel. No. 34-77941 Federal Register version (81 FR 86749)
34-79399
Nov. 25, 2016
SR-NASDAQ-2016-135
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Continued Listing Requirements for Exchange-Traded Products Comments Due: View Received Comments Rel. No. 34-79784 , Rel. No. 34-79081 Federal Register version (81 FR 86759)
34-79401
Nov. 25, 2016
SR-FINRA-2016-044
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) Comments Due: Exhibit 5 Federal Register version (81 FR 86762)
34-79385
Nov. 23, 2016
SR-BatsBZX-2016-77
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Ministerial and Corrective Changes to Exchange Rules 11.13, 11.16, 11.22, and 11.27 Comments Due: Exhibit 5 Federal Register version (81 FR 86358)
34-79386
Nov. 23, 2016
SR-BatsBYX-2016-35
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Ministerial and Corrective Changes to Rules 11.9, 11.13, 11.16, 11.22, and 11.27 Comments Due: Exhibit 5 Federal Register version (81 FR 86346)
34-79389
Nov. 23, 2016
SR-NYSEMKT-2016-107
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15-Equities Relating to Pre-Opening Indications Comments Due: Exhibit 5 Federal Register version (81 FR 86365)
34-79387
Nov. 23, 2016
SR-NYSEArca-2016-150
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.16 Comments Due: Exhibit 5 Federal Register version (81 FR 86355)
34-79388
Nov. 23, 2016
SR-NYSEArca-2016-136
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSE Arca Equities Rule 7.35P To Provide for Widened Price Collar Thresholds for the Core Open Auction on Volatile Trading Days Comments Due: View Received Comments Rel. No. 34-79714 , Rel. No. 34-79068 Federal Register version (81 FR 86368)
34-79392
Nov. 23, 2016
SR-NYSEArca-2016-151
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.31 Comments Due: Exhibit 5 Federal Register version (81 FR 86357)
34-79383
Nov. 23, 2016
SR-NYSE-2016-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual Comments Due: Exhibit 5 Federal Register version (81 FR 86369)
34-79390
Nov. 23, 2016
SR-NYSE-2016-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 Relating to Pre-Opening Indications Comments Due: Exhibit 5 Federal Register version (81 FR 86371)
34-79391
Nov. 23, 2016
SR-NSCC-2016-803
Notice of Filing of Advance Notice 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: Exhibit 5 Federal Register version (81 FR 86348)
34-79373
Nov. 22, 2016
SR-Phlx-2016-116
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Allocation of Directed Complex Orders Comments Due: Exhibit 5 Federal Register version (81 FR 86031)
34-79374
Nov. 22, 2016
SR-NYSEMKT-2016-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 901NY Comments Due: Exhibit 5 Federal Register version (81 FR 86041)
34-79376
Nov. 22, 2016
SR-NYSEARCA-2016-147
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.1(c) Regarding the Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates Comments Due: Exhibit 5 Federal Register version (81 FR 86033)
34-79375
Nov. 22, 2016
SR-ICEEU-2016-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Finance Procedures Comments Due: Exhibit 5 Federal Register version (81 FR 86048)
34-79363
Nov. 21, 2016
SR-NYSEArca-2016-148
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rules 7.1 and 7.2, and NYSE Arca Equities Rules 7.1 and 7.2 Comments Due: Exhibit 5 Federal Register version (81 FR 85659)
34-79361
Nov. 21, 2016
SR-FINRA-2016-043
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide a Process for an Expedited Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity Comments Due: Exhibit 5
34-79362
Nov. 21, 2016
SR-BOX-2016-53
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 85656)
34-79354
Nov. 18, 2016
SR-ISEMercury-2016-21
Notice of Filing of Proposed Rule Change To Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism Comments Due: Exhibit 5 , Order Approving a Proposed Rule Change to Modify the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism, and Price Improvement Mechanism Federal Register version (81 FR 85295)
34-79353
Nov. 18, 2016
SR-ISEGemini-2016-14
Notice of Filing of Proposed Rule Change To Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism Comments Due: Exhibit 5 , Rel. No. 34-79735 Federal Register version (81 FR 85280)
34-79356
Nov. 18, 2016
SR-NSCC-2016-007
Notice of Filing of Proposed Rule Change To Accommodate Shorter Standard Settlement Cycle and Make Other Changes Comments Due: Exhibit 5 , Rel. No. 34-79734 Federal Register version (81 FR 85299)
34-79352
Nov. 18, 2016
SR-ISE-2016-26
Notice of Filing of Proposed Rule Change To Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism Comments Due: Exhibit 5 , Rel. No. 34-79733 Federal Register version (81 FR 85277)
34-79357
Nov. 18, 2016
SR-BSECC-2016-001
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1, Amending Bylaws of Nasdaq, Inc. To Implement Proxy Access File Nos.: Comments Due: View Received Comments Rel. No. 34-78985 , Rel. No. 34-78979 , Rel. No. 34-78986 , Rel. No. 34-78978 , Rel. No. 34-78980 , Rel. No. 34-78981 , Rel. No. 34-78982 , Rel. No. 34-78984 Federal Register version (81 FR 85283)
34-79357
Nov. 18, 2016
SR-ISEGemini-2016-10
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1, Amending Bylaws of Nasdaq, Inc. To Implement Proxy Access File Nos.: Comments Due: View Received Comments Rel. No. 34-78985 , Rel. No. 34-78979 , Rel. No. 34-78986 , Rel. No. 34-78978 , Rel. No. 34-78980 , Rel. No. 34-78981 , Rel. No. 34-78982 , Rel. No. 34-78984 Federal Register version (81 FR 85283)
34-79357
Nov. 18, 2016
SR-BX-2016-051
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1, Amending Bylaws of Nasdaq, Inc. To Implement Proxy Access File Nos.: Comments Due: View Received Comments Rel. No. 34-78985 , Rel. No. 34-78979 , Rel. No. 34-78986 , Rel. No. 34-78978 , Rel. No. 34-78980 , Rel. No. 34-78981 , Rel. No. 34-78982 , Rel. No. 34-78984 Federal Register version (81 FR 85283)
34-79357
Nov. 18, 2016
SR-ISE-2016-22
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1, Amending Bylaws of Nasdaq, Inc. To Implement Proxy Access File Nos.: Comments Due: View Received Comments Rel. No. 34-78985 , Rel. No. 34-78979 , Rel. No. 34-78986 , Rel. No. 34-78978 , Rel. No. 34-78980 , Rel. No. 34-78981 , Rel. No. 34-78982 , Rel. No. 34-78984 Federal Register version (81 FR 85283)
34-79357
Nov. 18, 2016
SR-SCCP-2016-01
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1, Amending Bylaws of Nasdaq, Inc. To Implement Proxy Access File Nos.: Comments Due: View Received Comments Rel. No. 34-78985 , Rel. No. 34-78979 , Rel. No. 34-78986 , Rel. No. 34-78978 , Rel. No. 34-78980 , Rel. No. 34-78981 , Rel. No. 34-78982 , Rel. No. 34-78984 Federal Register version (81 FR 85283)
34-79357
Nov. 18, 2016
SR-ISEMercury-2016-16
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1, Amending Bylaws of Nasdaq, Inc. To Implement Proxy Access File Nos.: Comments Due: View Received Comments Rel. No. 34-78985 , Rel. No. 34-78979 , Rel. No. 34-78986 , Rel. No. 34-78978 , Rel. No. 34-78980 , Rel. No. 34-78981 , Rel. No. 34-78982 , Rel. No. 34-78984 Federal Register version (81 FR 85283)
34-79357
Nov. 18, 2016
SR-PHLX-2016-93
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1, Amending Bylaws of Nasdaq, Inc. To Implement Proxy Access File Nos.: Comments Due: View Received Comments Rel. No. 34-78985 , Rel. No. 34-78979 , Rel. No. 34-78986 , Rel. No. 34-78978 , Rel. No. 34-78980 , Rel. No. 34-78981 , Rel. No. 34-78982 , Rel. No. 34-78984 Federal Register version (81 FR 85283)
34-79357
Nov. 18, 2016
SR-NASDAQ-2016-127
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1, Amending Bylaws of Nasdaq, Inc. To Implement Proxy Access File Nos.: Comments Due: View Received Comments Rel. No. 34-78985 , Rel. No. 34-78979 , Rel. No. 34-78986 , Rel. No. 34-78978 , Rel. No. 34-78980 , Rel. No. 34-78981 , Rel. No. 34-78982 , Rel. No. 34-78984 Federal Register version (81 FR 85283)
34-79351
Nov. 18, 2016
SR-DTC-2016-008
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Processing of Transactions in Money Market Instruments Comments Due: Rel. No. 34-79764 , Rel. No. 34-79046 Federal Register version (81 FR 85295)
34-79343
Nov. 17, 2016
SR-BatsEDGA-2016-27
Notice of Filing and Immediate Effectiveness of an Amendment to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information Comments Due: Exhibit 5 Federal Register version (81 FR 84631)
34-79342
Nov. 17, 2016
SR-BatsBZX-2016-73
Notice of Filing and Immediate Effectiveness of an Amendment to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information Comments Due: Exhibit 5 Federal Register version (81 FR 84625)
34-79341
Nov. 17, 2016
SR-BatsBYX-2016-32
Notice of Filing and Immediate Effectiveness of an Amendment to Rule 8.11, Effective Date of Judgement and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information Comments Due: Exhibit 5 Federal Register version (81 FR 84655)
34-79337
Nov. 17, 2016
SR-NYSEARCA-2016-145
Notice of Filing of Proposed Rule Change To Conform to Proposed Amendments to Securities Exchange Act Rule 15c6-1(A) To Shorten the Standard Settlement Cycle From Three Business Days After the Trade Date ("T+3") to Two Business Days After the Trade Date ("T+2") Comments Due: Exhibit 5 , Rel. No. 34-79732 Federal Register version (81 FR 84635)
34-79347
Nov. 17, 2016
SR-MSRB-2016-12
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to MSRB Rules G-15 and G-30 To Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and To Provide Guidance on Prevailing Market Price Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (81 FR 84637)
34-79346
Nov. 17, 2016
SR-FINRA-2016-032
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 FINRA Rule 2232 (Customer Confirmations) To Require Members To Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Certain Fixed Income Securities Comments Due: View Received Comments Rel. No. 34-78965 , Rel. No. 34-78573 , Amendment No. 1 Federal Register version (81 FR 84659)
34-79339
Nov. 17, 2016
SR-BatsEDGX-2016-41
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to the Exchange's Equity Options Platform To Adopt a Price Improvement Auction, the Bats Auction Mechanism Comments Due: View Received Comments Rel. No. 34-79718 , Rel. No. 34-78988 Federal Register version (81 FR 84625)
34-79344
Nov. 17, 2016
SR-BatsEDGX-2016-64
Notice of Filing and Immediate Effectiveness of an Amendment to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information Comments Due: Exhibit 5 Federal Register version (81 FR 84652)
34-79323
Nov. 16, 2016
SR-ISEMercury-2016-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Non-Controversial and Technical Changes to Exchange Rules Comments Due: Exhibit 5 Federal Register version (81 FR 83884)
34-79326
Nov. 16, 2016
SR-Phlx-2016-113
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Limit Order Protection Comments Due: Exhibit 5 Federal Register version (81 FR 83917)
34-79328
Nov. 16, 2016
SR-NYSEMKT-2016-102
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Introducing NYSE OptX Comments Due: View Received Comments Rel. No. 34-79720 Federal Register version (81 FR 83888)
34-79327
Nov. 16, 2016
SR-NYSEArca-2016-143
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Introducing NYSE OptX Comments Due: View Received Comments Rel. No. 34-79719 Federal Register version (81 FR 83890)
34-79329
Nov. 16, 2016
SR-BX-2016-058
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Limit Order Protection Comments Due: Exhibit 5 Federal Register version (81 FR 83902)
34-79330
Nov. 16, 2016
SR-NASDAQ-2016-155
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Limit Order Protection for Members Accessing the Nasdaq Market Center Comments Due: Exhibit 5 Federal Register version (81 FR 83892)
34-79331
Nov. 16, 2016
SR-MIAX-2016-43
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 605 Market Maker Orders Comments Due: Exhibit 5 Federal Register version (81 FR 83896)
34-79324
Nov. 16, 2016
SR-ICC-2016-013
Notice of Filing of Proposed Rule Change to Amend the ICE Clear Credit Clearing Rules Comments Due: View Received Comments Rel. No. 34-79750 Federal Register version (81 FR 83906)
34-79312
Nov. 15, 2016
SR-BatsBZX-2016-75
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Supplemental Competitive Liquidity Provider Program Comments Due: Exhibit 5 Federal Register version (81 FR 83320)
34-79314
Nov. 15, 2016
SR-NYSEMKT-2016-101
Notice of Filing and Immediate Effectiveness of Proposed Change Amending the Fees for NYSE MKT BBO and NYSE MKT Trades To Lower the Enterprise Fee Comments Due: Federal Register version (81 FR 83308)
34-79313
Nov. 15, 2016
SR-NYSE-2016-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades To Lower the Enterprise Fee Comments Due: Federal Register version (81 FR 83297)
34-79315
Nov. 15, 2016
SR-C2-2016-021
Notice of Filing of a Proposed Rule Change Relating to Opening of Series for Trading on the Exchange Comments Due: Exhibit 5 Federal Register version (81 FR 83313)
34-79305
Nov. 14, 2016
SR-BatsEDGA-2016-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats EDGA Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 81832)
34-79309
Nov. 14, 2016
SR-BatsBZX-2016-76
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 81835)
34-79307
Nov. 14, 2016
SR-BatsBYX-2016-34
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BYX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 81842)
34-79310
Nov. 14, 2016
SR-NYSEArca-2016-142
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca BBO and NYSE Arca Trades To Lower the Enterprise Fee Comments Due: Exhibit 5 Federal Register version (81 FR 81820)
34-79295
Nov. 14, 2016
SR-MSRB-2016-15
Notice of Filing of a Proposed Rule Change To Extend the MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and To Modernize Those Rules Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79801 Federal Register version (81 FR 81837)
34-79301
Nov. 14, 2016
SR-MIAX-2016-42
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 81854)
34-79297
Nov. 14, 2016
SR-DTC-2016-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the DTC Settlement Service Guide With Respect to Settlement Instructions Provided to DTC by Matching Utilities Comments Due: Exhibit 5 Federal Register version (81 FR 81830)
34-79304
Nov. 14, 2016
SR-DTC-2016-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the DTC Settlement Service Guide and Distributions Guide Relating to the Anticipated U.S. Market Transition to a Shortened Settlement Cycle Comments Due: Exhibit 5 Federal Register version (81 FR 81825)
34-79308
Nov. 14, 2016
SR-BOX-2016-52
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 81834)
34-79306
Nov. 14, 2016
SR-BatsEDGX-2016-63
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 81828)
34-79283
Nov. 10, 2016
SR-NYSEMKT-2016-99
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 During the Last Ten Minutes Prior to the Close of Trading Comments Due: Exhibit 5 , 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 Federal Register version (81 FR 81210)
34-79287
Nov. 10, 2016
SR-NYSEMKT-2016-100
Notice of Filing and Immediate Effectiveness of Proposed Change Adopting a Decommission Extension Fee for Receipt of the NYSE MKT Order Imbalances Market Data Product Comments Due: Exhibit 5 Federal Register version (81 FR 81216)
34-79291
Nov. 10, 2016
SR-NYSEArca-2016-144
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Effective November 3, 2016 Comments Due: Exhibit 5 Federal Register version (81 FR 81182)
34-79293
Nov. 10, 2016
SR-NYSEArca-2016-107
Notice of Filing of Amendment No. 2 to, and Order Granting Accelerated Approval of, a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating To Listing and Trading of Shares of Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-78949 , Rel. No. 34-78523 Federal Register version (81 FR 81189)
34-79284
Nov. 10, 2016
SR-NYSE-2016-71
Notice of Filing of 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: Exhibit 5 , 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. 34-79612 , Rel. No. 34-80552 , Rel. No. 34-80552 Federal Register version (81 FR 81222)
34-79286
Nov. 10, 2016
SR-NYSE-2016-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting a Decommission Extension Fee for Receipt of the NYSE Order Imbalances Market Data Product Comments Due: Exhibit 5 Federal Register version (81 FR 81186)
34-79281
Nov. 10, 2016
SR-BX-2016-059
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4702 and Rule 4703 To Add a "Trade Now" Instruction to Certain Order Types Comments Due: Exhibit 5 Federal Register version (81 FR 81203)
34-79282
Nov. 10, 2016
SR-NASDAQ-2016-156
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4702 and Rule 4703 To Add a "Trade Now" Instruction to Certain Order Types Comments Due: Exhibit 5 Federal Register version (81 FR 81219)
34-79288
Nov. 10, 2016
SR-NASDAQ-2016-152
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Transaction Fees at Chapter XV, Section 2 Entitled "NASDAQ Options Market-Fees and Rebates" Comments Due: Exhibit 5 Federal Register version (81 FR 81206)
34-79289
Nov. 10, 2016
SR-FINRA-2016-041
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Implementation Date for Alternative Trading Systems To Report Sequence Numbers Under Rule 4554 Comments Due: Federal Register version (81 FR 81202)
34-79279
Nov. 10, 2016
SR-CBOE-2016-074
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 81200)
34-79274
Nov. 9, 2016
SR-Phlx-2016-79
Notice of Filing of Partial Amendment No. 2 and Order Granting Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 2, To Amend PHLX Rule 1017, Openings in Options Comments Due: View Received Comments Federal Register version (81 FR 80694)
34-79275
Nov. 9, 2016
SR-NYSEArca-2016-146
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Widen Price Collar Thresholds for the Core Open Auction and Trading Halt Auctions Comments Due: Federal Register version (81 FR 80703)
34-79277
Nov. 9, 2016
SR-NASDAQ-2016-150
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NBBO Program Comments Due: Exhibit 5 Federal Register version (81 FR 80701)
34-79272
Nov. 9, 2016
SR-MIAX-2016-39
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519A, Risk Protection Monitor Comments Due: Exhibit 5 Federal Register version (81 FR 80691)
