34-79262
Nov. 8, 2016
SR-BX-2016-153
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 80123)
34-79259
Nov. 8, 2016
SR-NASDAQ-2016-148
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Cease and Desist Authority Rules Comments Due: Exhibit 5 Federal Register version (81 FR 80140)
34-79263
Nov. 8, 2016
SR-NASDAQ-2016-151
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 80154)
34-79270
Nov. 8, 2016
SR-NASDAQ-2016-153
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7014 and the Nasdaq Growth Program Comments Due: Exhibit 5 Federal Register version (81 FR 80137)
34-79268
Nov. 8, 2016
SR-CBOE-2016-076
Notice of Filing of a Proposed Rule Change in Connection With a Proposed Corporate Transaction Involving CBOE Holdings, Inc. and Bats Global Markets, Inc. Comments Due: Federal Register version (81 FR 80157)
34-79267
Nov. 8, 2016
SR-C2-2016-022
Notice of Filing of a Proposed Rule Change in Connection With a Proposed Corporate Transaction Involving CBOE Holdings, Inc. and Bats Global Markets, Inc. Comments Due: Rel. No. 34-79591 Federal Register version (81 FR 80132)
34-79258
Nov. 8, 2016
SR-BOX-2016-50
Notice of Filing of 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 Exhibit 3 , Exhibit 5 , Rel. No. 34-79936 , Rel. No. 34-79613 Federal Register version (81 FR 80125)
34-79264
Nov. 8, 2016
SR-BatsEDGX-2016-60
Notice of Filing of a Proposed Rule Change in Connection With the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc. Comments Due: Exhibit 5A , Exhibit 5B , Exhibit 5C , Exhibit 5D , Exhibit 5E , Exhibit 5F , Exhibit 5G , Exhibit 5H , Rel. No. 34-79585 Federal Register version (81 FR 80114)
34-79253
Nov. 7, 2016
SR-ISEGemini-2016-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Number of Non-Controversial and Technical Changes Comments Due: Exhibit 5 Federal Register version (81 FR 79540)
34-79255
Nov. 7, 2016
SR-BatsBZX-2016-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of the Exchange's Equity Options Platform Comments Due: Exhibit 5 Federal Register version (81 FR 79550)
34-79251
Nov. 7, 2016
SR-NASDAQ-2016-149
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Market Access and Routing Subsidy Program Comments Due: Exhibit 5 Federal Register version (81 FR 79536)
34-79252
Nov. 7, 2016
SR-DTC-2016-011
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow DTC To Automate the Process for Participants To Submit Eligibility Requests for the DTC Custody Service Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 79543)
34-79242
Nov. 4, 2016
SR-NYSEMKT-2016-97
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New Rules To Reflect the Implementation of Pillar, the Exchange's New Trading Technology Comments Due: Exhibit 5 Federal Register version (81 FR 79081)
34-79245
Nov. 4, 2016
SR-NSCC-2016-005
Notice of Filing of Proposed Rule Change 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 , Rel. No. 34-79598 Federal Register version (81 FR 79071)
34-79241
Nov. 4, 2016
SR-BX-2016-056
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 9400 To Include a Cross-Reference Comments Due: Exhibit 5 Federal Register version (81 FR 79534)
34-79240
Nov. 4, 2016
SR-NASDAQ-2016-146
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 9400 To Include a Cross-Reference Comments Due: Exhibit 5 Federal Register version (81 FR 79068)
34-79239
Nov. 4, 2016
SR-MSRB-2016-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees Related to the MSRB Academic Historical Transaction Data Product Comments Due: Exhibit 5 Federal Register version (81 FR 79069)
34-79246
Nov. 4, 2016
SR-MIAX-2016-41
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 79079)
34-79244
Nov. 4, 2016
SR-CBOE-2016-053
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 Price Protection Mechanisms and Risk Controls Comments Due: Rel. No. 34-78513 Federal Register version (81 FR 79063)
34-79234
Nov. 3, 2016
SR-BatsEDGA-2016-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGA Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification Comments Due: Exhibit 5 Federal Register version (81 FR 78867)
34-79229
Nov. 3, 2016
SR-BatsBZX-2016-67
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BZX Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification Comments Due: Exhibit 5 Federal Register version (81 FR 78875)
34-79233
Nov. 3, 2016
SR-BatsBYX-2016-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BYX Rule, 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification Comments Due: Federal Register version (81 FR 78869)
34-79231
Nov. 3, 2016
SR-NYSEMKT-2016-90
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Concerning Payment of Compensation and Rebates, and Research Analyst Attestation Requirements in Order To Harmonize With Certain FINRA Rules and Make Other Conforming Changes Comments Due: Exhibit 5 Federal Register version (81 FR 78880)
34-79232
Nov. 3, 2016
SR-NYSEMKT-2016-96
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add to the Rules of the Exchange the Eleventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (81 FR 78873)
34-79228
Nov. 3, 2016
SR-NASDAQ-2016-144
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Institute a New Fee for the Distribution of Data Comments Due: Exhibit 5 Federal Register version (81 FR 78890)
34-79225
Nov. 3, 2016
SR-MSRB-2016-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum Comments Due: Exhibit 5 Federal Register version (81 FR 78872)
34-79224
Nov. 3, 2016
SR-DTC-2016-802
Notice of Filing of and Extension of Review Period of Advance Notice Relating to Processing of Transactions in Money Market Instruments Comments Due: Exhibit 5 , Rel. No. 34-79763 Federal Register version (81 FR 78884)
34-79236
Nov. 3, 2016
SR-BatsEDGX-2016-59
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGX Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification Comments Due: Exhibit 5 Federal Register version (81 FR 78878)
34-79222
Nov. 2, 2016
SR-BatsBZX-2016-71
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: Federal Register version (81 FR 78673)
34-79221
Nov. 2, 2016
SR-Phlx-2016-107
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 1079 Concerning the Process of Initiating a FLEX Transaction and Determining the Best Bid or Offer Comments Due: Federal Register version (81 FR 78675)
34-79216
Nov. 1, 2016
SR-CHX-2016-16
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt the CHX Liquidity Taking Access Delay Comments Due: View Received Comments Rel. No. 34-79984 , Rel. No. 34-79216 , Rel. No. 34-78860 Federal Register version (81 FR 78228)
34-79212
Nov. 1, 2016
SR-OCC-2016-013
Notice of Filing of Proposed Rule Change Concerning the Options Clearing Corporation's Margin Coverage During Times of Increase Volatility Comments Due: Federal Register version (81 FR 78224)
34-79213
Nov. 1, 2016
SR-NYSEMKT-2016-98
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 to Rule 980NY Comments Due: Federal Register version (81 FR 78219)
34-79209
Nov. 1, 2016
SR-NYSEArca-2016-138
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Effective November 1, 2016 Comments Due: Exhibit 5 Federal Register version (81 FR 78217)
34-79214
Nov. 1, 2016
SR-NYSEArca-2016-139
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 to Rule 6.91 Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 78233)
34-79210
Nov. 1, 2016
SR-NYSE-2016-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Comments Due: Exhibit 5 Federal Register version (81 FR 78213)
34-79215
Nov. 1, 2016
SR-FINRA-2016-039
Notice of Filing of a Proposed Rule Change To Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults) Comments Due: View Received Comments 34-79964 Federal Register version (81 FR 78238)
34-79201
Oct. 31, 2016
SR-NYSEArca-2016-120
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of 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. 34-79550 Federal Register version (81 FR 76977)
34-79198
Oct. 31, 2016
SR-MIAX-2016-37
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 76988)
34-79183
Oct. 28, 2016
SR-BatsBZX-2016-30
Notice of Filing of Amendment No. 1 to a Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, To List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust Comments Due: View Received Comments Federal Register version (81 FR 76650)
34-79185
Oct. 28, 2016
SR-Phlx-2016-104
Notice of Filing of Proposed Rule Change To Amend Phlx Rule 748, Supervision Comments Due: Exhibit 5 , Rel. No. 34-79583 Federal Register version (81 FR 76637)
34-79182
Oct. 28, 2016
SR-MIAX-2016-40
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 322, Disruptive Quoting and Trading Activity Prohibited and Exchange Rule 1018, Expedited Suspension Proceeding Comments Due: Exhibit 5 Federal Register version (81 FR 76639)
34-79190
Oct. 28, 2016
SR-FINRA-2016-040
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7730 To Establish a Fee for the Academic Corporate Bond TRACE Data Product Comments Due: Exhibit 2a , Exhibit 2b , Exhibit 2c , Exhibit 5 Federal Register version (81 FR 76683)
34-79189
Oct. 28, 2016
SR-C2-2016-020
Notice of Filing of a Proposed Rule Change Relating to Price Protection Mechanisms and Risk Controls Comments Due: Exhibit 5 , Rel. No. 34-79555 Federal Register version (81 FR 76671)
34-79184
Oct. 28, 2016
SR-BatsEDGX-2016-58
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGX Rule 21.12, Clearing Member Give Up Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 76645)
34-79174
Oct. 27, 2016
SR-NSX-2016-14
Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 11.26 To Correct Defective Numbering in the Interpretations and Policies of the Rule Comments Due: Exhibit 5 , Rel. No. 34-79902 , Rel. No. 34-79902 Federal Register version (81 FR 76393)
34-79172
Oct. 27, 2016
SR-OCC-2016-014
Notice of Filing of Proposed Rule Change Related to Compliance With Section 871(m) of the Internal Revenue Code Comments Due: Federal Register version (81 FR 75867)
34-79173
Oct. 27, 2016
SR-NYSEArca-2016-62
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 a Change to the Underlying Index for the PowerShares Build America Bond Portfolio Comments Due: View Received Comments Rel. No. 34-79767 , Rel. No. 34-78564 , Rel. No. 34-78157 , Rel. No. 34-77849 Federal Register version (81 FR 76400)
34-79162
Oct. 26, 2016
SR-BatsBZX-2016-61
Notice of Filing of a 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 Exhibit 5 , Rel. No. 34-79884 , Rel. No. 34-79552 Federal Register version (81 FR 75875)
34-79158
Oct. 26, 2016
SR-NASDAQ-2016-131
Notice of Filing of 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 Exhibit 5 , Rel. No. 34-79876 , Rel. No. 34-79551 Federal Register version (81 FR 75879)
34-79163
Oct. 26, 2016
SR-NASDAQ-2016-141
Notice of Filing of Proposed Rule Change To Amend Rule 4702 To Adopt a New Retail Post-Only Order Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79554 , Rel. No. 34-79163 Federal Register version (81 FR 75862)
34-79157
Oct. 26, 2016
SR-MIAX-2016-38
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Fees and Credits for Transactions Involving Complex Orders Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 75885)
34-79165
Oct. 26, 2016
SR-DTC-2016-007
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearing Agency Investment Policy File Nos.: Comments Due: Rel. No. 34-79528 , Rel. No. 34-78778 Federal Register version (81 FR 75865)
34-79150
Oct. 25, 2016
SR-BatsEDGA-2016-22
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to EDGA Rule 11.11, Routing to Away Trading Centers Comments Due: Exhibit 5 Federal Register version (81 FR 75466)
34-79149
Oct. 25, 2016
SR-BatsBZX-2016-65
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 11.13, Order Execution and Routing Comments Due: Exhibit 5 Federal Register version (81 FR 75464)
34-79148
Oct. 25, 2016
SR-BatsBYX-2016-27
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BYX Rule 11.13, Order Execution and Routing Comments Due: Exhibit 5 Federal Register version (81 FR 75456)
34-79156
Oct. 25, 2016
SR-Phlx-2016-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Commentary .14 to Rule 3317 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) Comments Due: Federal Register version (81 FR 75473)
34-79152
Oct. 25, 2016
SR-OPRA-2016-01
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend the Professional Subscriber Device-Based Fees and Policies with Respect to Device-Based Fees Comments Due: Federal Register version (81 FR 75462)
34-79153
Oct. 25, 2016
SR-OPRA-2016-02
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend OPRA's Non-Display Use Fees Comments Due: Federal Register version (81 FR 75460)
34-79154
Oct. 25, 2016
SR-BX-2016-054
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .14 to Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) Comments Due: Federal Register version (81 FR 75468)
34-79155
Oct. 25, 2016
SR-NASDAQ-2016-143
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .14 to Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) Comments Due: Federal Register version (81 FR 75471)
34-79151
Oct. 25, 2016
SR-BatsEDGX-2016-54
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGX Rule 11.11, Routing to Away Trade Centers Comments Due: Exhibit 5 Federal Register version (81 FR 75458)
34-79145
Oct. 24, 2016
SR-Phlx-2016-109
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Phlx Rule 765 (Prohibition Against Trading Ahead of Customer Orders) Comments Due: Federal Register version (81 FR 75174)
34-79146
Oct. 24, 2016
SR-MIAX-2016-36
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 75171)
34-79132
Oct. 21, 2016
SR-NYSEMKT-2016-94
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 497-Equities Comments Due: Exhibit 5 Federal Register version (81 FR 74851)
34-79130
Oct. 21, 2016
SR-NYSE-2016-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 497 Comments Due: Exhibit 5 Federal Register version (81 FR 74847)
34-79133
Oct. 21, 2016
SR-CBOE-2016-071
Notice of Filing of a Proposed Rule Change Relating to Opening and Closing Rotations Under the HOSS System Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79520 Federal Register version (81 FR 74828)
34-79125
Oct. 19, 2016
SR-NYSEMKT-2016-48
Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Amend Certain Rules Related to Flexible Exchange Options Comments Due: View Received Comments Federal Register version (81 FR 73452)
34-79118
Oct. 19, 2016
SR-NASDAQ-2016-121
Notice of Designation of a Longer Period for Commission Action on 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. 34-79492 , Rel. No. 34-79317 , Rel. No. 34-78749 Federal Register version (81 FR 73186)
34-79119
Oct. 19, 2016
SR-NASDAQ-2016-138
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7046 Comments Due: Exhibit 5 Federal Register version (81 FR 73157)
34-79122
Oct. 19, 2016
SR-DTC-2016-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow DTC To Automate the Process for Participants To Submit Eligibility Requests for Older Issues Comments Due: Exhibit 5 Federal Register version (81 FR 73450)
34-79108
Oct. 18, 2016
SR-NYSEMKT-2016-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 6A-Equities and NYSE MKT Rule 6-Equities Comments Due: Exhibit 5 Federal Register version (81 FR 73182)
34-79114
Oct. 18, 2016
SR-NYSEMKT-2016-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Article IV, Section 4.05 of the Ninth Amended and Restated Operating Agreement of the Exchange Comments Due: Exhibit 5 Federal Register version (81 FR 73177)
34-79107
Oct. 18, 2016
SR-NYSEArca-2016-130
Notice of Filing of 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 Exhibit 5 , Rel. No. 34-79480 Federal Register version (81 FR 73159)
34-79115
Oct. 18, 2016
SR-NYSE-2016-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Article IV, Section 4.05 of the Tenth Amended and Restated Operating Agreement of the Exchange Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 73187)
34-79116
Oct. 18, 2016
SR-FINRA-2016-027
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 the Reporting of Transactions in U.S. Treasury Securities to TRACE Comments Due: Rel. No. 34-78359 Federal Register version (81 FR 73167)
34-79110
Oct. 18, 2016
SR-CBOE-2016-064
Notice of Withdrawal of Proposed Rule Change Relating to SPX Combo Orders Comments Due: Rel. No. 34-78885 Federal Register version (81 FR 73182)
34-79106
Oct. 17, 2016
SR-NYSE-2016-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Eliminate Take Fees for Bonds Executed on the NYSE BondsSM Comments Due: Exhibit 5 Federal Register version (81 FR 72842)
34-79105
Oct. 17, 2016
SR-NASDAQ-2016-133
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Specialized Quote Feed Port Fees Comments Due: Exhibit 5 Federal Register version (81 FR 72844)
34-79103
Oct. 14, 2016
SR-BatsBZX-2016-60
Notice of Filing of a Proposed Rule Change to Bats BZX Rule 14.13, Company Listing Fees, and to the Bats BZX Fee Schedule; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-80461 Federal Register version (81 FR 72624)
34-79101
Oct. 14, 2016
SR-NYSEArca-2016-131
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the Virtus Enhanced U.S. Equity ETF Under Commentary .01 to NYSE Arca Equities Rule 5.2(j)(3) Comments Due: Rel. No. 34-79402 Federal Register version (81 FR 72630)
34-79100
Oct. 14, 2016
SR-ISE-2016-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (81 FR 72636)
34-79092
Oct. 13, 2016
SR-BatsBZX-2016-48
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust Comments Due: View Received Comments Rel. No. 34-79381 , Rel. No. 34-78666 Federal Register version (81 FR 72141)
34-79096
Oct. 13, 2016
SR-OCC-2016-802
Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Escrow Deposit Program Comments Due: Rel. No. 34-78834 Federal Register version (81 FR 72138)
34-79089
Oct. 13, 2016
SR-NYSEMKT-2016-91
Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 72133)
34-79090
Oct. 13, 2016
SR-BatsEDGX-2016-55
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 72135)
34-79091
Oct. 13, 2016
SR-BatsEDGX-2016-57
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc. Options Platform Comments Due: Exhibit 5 Federal Register version (81 FR 72131)
34-79087
Oct. 12, 2016
SR-Phlx-2016-86
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Delete or Amend Rule Language Relating to Specialists and Registered Options Traders Comments Due: Rel. No. 34-78680 , Rel. No. 34-79249 Federal Register version (81 FR 71776)
34-79088
Oct. 12, 2016
SR-DTC-2016-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify Certain Rules Provisions Relating to Pledges Comments Due: Exhibit 5 Federal Register version (81 FR 71774)
34-79086
Oct. 12, 2016
SR-CBOE-2016-072
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 71772)
34-79080
Oct. 11, 2016
SR-Phlx-2016-100
Notice of Filing of Proposed Rule Change To Amend the Pricing Schedule at Section IV, Part B titled "Flex Transaction Fees" Comments Due: Exhibit 5 Federal Register version (81 FR 71556)
34-79078
Oct. 11, 2016
SR-NYSEArca-2016-135
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules To Remove Definitions and Trading Rules That Are No Longer Operative After the Completed Full Migration of All Symbols to the Pillar Trading Platform Comments Due: Exhibit 5 Federal Register version (81 FR 71559)
34-79081
Oct. 11, 2016
SR-NASDAQ-2016-135
Notice of Filing of Proposed Rule Change To Amend the Continued Listing Requirements for Exchange-Traded Products Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79784 , Rel. No. 34-79399 Federal Register version (81 FR 71548)
34-79082
Oct. 11, 2016
SR-NASDAQ-2016-134
Notice of Filing of Proposed Rule Change To List and Trade Exchange-Traded Managed Funds Comments Due: View Received Comments Rel. No. 34-79377 Federal Register version (81 FR 71549)
34-79070
Oct. 7, 2016
SR-BatsBZX-2016-66
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 71146)
34-79073
Oct. 7, 2016
SR-Phlx-2016-97
Notice of Filing of Proposed Rule Change To Delete Outdated or Unnecessary Rule Language Comments Due: Exhibit 5 , Rel. No. 34-79073 Federal Register version (81 FR 71153)
34-79074
Oct. 7, 2016
SR-Phlx-2016-92
Notice of Filing of Partial Amendment Nos. 1, 2 and 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment Nos. 1, 2 and 3, to System Functionality Necessary to Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Amendment 1 Exhibit 5 , Amendment 2 Exhibit 5 , Rel. No. 34-78835 Federal Register version (81 FR 71123)
34-79068
Oct. 7, 2016
SR-NYSEArca-2016-136
Notice of Filing of 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 Exhibit 5 , Rel. No. 34-79714 , Rel. No. 34-79388 Federal Register version (81 FR 71127)
34-79071
Oct. 7, 2016
SR-NYSE-2016-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .20 to Rule 103 Comments Due: Exhibit 5 Federal Register version (81 FR 70723)
34-79076
Oct. 7, 2016
SR-BX-2016-050
Notice of Filing of Partial Amendment Nos. 1 and 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment Nos. 1 and 3, to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Amendment 1 Exhibit 5 , Amendment 3 Exhibit 5 , Rel. No. 34-78838 Federal Register version (81 FR 71150)
