34-78988
Sept. 29, 2016
SR-BatsEDGX-2016-41
Notice of Filing of a 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 Exhibit 5 , Rel. No. 34-79718 , Rel. No. 34-79339 Federal Register version (81 FR 69172)
34-78960
Sept. 28, 2016
SR-NSX-2016-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.26 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 68476)
34-78964
Sept. 28, 2016
SR-BatsBZX-2016-59
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update BZX Rules 21.1, 21.7 and 21.9 To Align the Exchange's Rules and Functionality Applicable to the Exchange's Options Platform, BZX Options, With the Exchange's Affiliated Options Platform, EDGX Options, Which Is Operated by Bats EDGX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 68493)
34-78959
Sept. 28, 2016
SR-NYSEMKT-2016-71
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 8313 Relating to the Exchange's Ability To Publicly Release Disciplinary Complaints, Decisions and Other Information Modeled on the Text of FINRA Rule 8313; Amending Rules and Adopting a New Rule 9291 Relating to the Imposition of Temporary or Permanent Cease and Desist Orders To Correspond to Recent Amendments by FINRA; and Making Certain Technical and Conforming Changes to Rule 9310 Comments Due: Exhibit 5 Federal Register version (81 FR 68481)
34-78968
Sept. 28, 2016
SR-NYSEMKT-2016-63
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees Comments Due: View Received Comments Rel. No. 34-80309 , Rel. No. 34-79672 , Rel. No. 34-79378 , Rel. No. 34-78629 , Rel. No. 34-80077 Federal Register version (81 FR 68493)
34-78967
Sept. 28, 2016
SR-NYSEArca-2016-89
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees Comments Due: View Received Comments Rel. No. 34-80310 , Rel. No. 34-80076 , Rel. No. 34-79673 , Rel. No. 34-79379 , Rel. No. 34-78628 Federal Register version (81 FR 68480)
34-78966
Sept. 28, 2016
SR-NYSE-2016-45
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees Comments Due: View Received Comments Rel. No. 34-80311 , Rel. No. 34-80002 , Rel. No. 34-79674 , Rel. No. 34-79316 , Rel. No. 34-78887 , Rel. No. 34-78556 Federal Register version (81 FR 68475)
34-78965
Sept. 28, 2016
SR-FINRA-2016-032
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) To Require Members To Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities Comments Due: View Received Comments Rel. No. 34-79346 , Rel. No. 34-78573 Federal Register version (81 FR 68492)
34-78951
Sept. 27, 2016
SR-NYSEMKT-2016-15
Notice of Withdrawal of a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as Well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Reflect the Changes Comments Due: View Received Comments Notice Release No. 34-78389 , Rel. No. 34-77978 , Rel. No. 34-77640 Federal Register version (81 FR 68086)
34-78949
Sept. 27, 2016
SR-NYSEArca-2016-107
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, 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. 34-78523 , Rel. No. 34-79293 Federal Register version (81 FR 68078)
34-78952
Sept. 27, 2016
SR-NYSEARCA-2016-19
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-Location Section of the Fee Schedule To Reflect the Changes Comments Due: View Received Comments Rel. No. 34-78388 , Rel. No. 34-77977 , Rel. No. 34-77641 Federal Register version (81 FR 68086)
34-78953
Sept. 27, 2016
SR-NYSE-2016-11
Notice of Withdrawal of a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as Well as Amending the NYSE Price List To Reflect the Changes Comments Due: View Received Comments Rel. No. 34-78387 , Rel. No. 34-77976 , Rel. No. 34-77642 Federal Register version (81 FR 68083)
34-78950
Sept. 27, 2016
SR-MIAX-2016-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 68084)
34-78945
Sept. 27, 2016
SR-IEX-2016-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Optional Risk Management Controls Comments Due: Exhibit 5 Federal Register version (81 FR 68081)
34-78954
Sept. 27, 2016
SR-CBOE-2016-069
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Nonstandard Expirations Pilot Program To Permit New Series To Be Added Up to and Including on the Expiration Date Comments Due: Exhibit 5 Federal Register version (81 FR 68071)
34-78946
Sept. 27, 2016
SR-BOX-2016-45
Notice of Filing of Proposed Rule Change To Amend the Treatment of Quotes To Provide That All Quotes on BOX Are Liquidity Adding Only Comments Due: Exhibit 5 , Rel. No. 34-79311 Federal Register version (81 FR 68069)
34-78931
Sept. 26, 2016
SR-NSX-2016-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule To Create a Liquidity-Adding Volume Threshold To Benefit From the Current Liquidity Taking Fee in Securities Priced $1.00 or Greater Comments Due: Exhibit 5 Federal Register version (81 FR 67412)
34-78935
Sept. 26, 2016
SR-DTC-2016-005
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Implementation of Functionality To Submit a Cover of Protect on Behalf of Another Participant and the Removal of the Option To Cover of Protect Directly With Agent Comments Due: Rel. No. 34-78520 Federal Register version (81 FR 67406)
34-78930
Sept. 26, 2016
SR-CBOE-2016-070
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 67408)
34-78914
Sept. 23, 2016
SR-NYSEMKT-2016-89
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add to the Rules of the Exchange the Tenth Amended and Restated Operating Agreement of the New York Stock Exchange LLC Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (81 FR 67027)
34-78912
Sept. 23, 2016
SR-NASDAQ-2016-130
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq's Fees at Rule 7014(f) Comments Due: Exhibit 5 Federal Register version (81 FR 67019)
34-78913
Sept. 23, 2016
SR-NASDAQ-2016-002
Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III Comments Due: View Received Comments Rel. No. 34-76944 , Rel. No. 34-77320 , Rel. No. 34-77705 , Rel. No. 34-78384 Federal Register version (81 FR 69109)
34-78919
Sept. 23, 2016
SR-MIAX-2016-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule To Modify the Exchange's Connectivity Fees Comments Due: Federal Register version (81 FR 67016)
34-78920
Sept. 23, 2016
SR-ISE-2016-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Rule To Prohibit Disruptive Quoting and Trading Activity and Allow the Exchange To Take Prompt Action Comments Due: Exhibit 5 Federal Register version (81 FR 67038)
34-78915
Sept. 23, 2016
SR-CBOE-2016-067
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Correct Rule 3.6A Comments Due: Federal Register version (81 FR 67031)
34-78909
Sept. 22, 2016
SR-BX-2016-046
Notice of Filing of Proposed Rule Change To Amend BX Rules 4702 and 4703 Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 66708)
34-78908
Sept. 22, 2016
SR-NASDAQ-2016-111
Notice of Filing of Proposed Rule Change To Amend Nasdaq Rules 4702 and 4703 Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79290 Federal Register version (81 FR 66702)
34-78907
Sept. 22, 2016
SR-CBOE-2016-068
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 66706)
34-78893
Sept. 21, 2016
SR-OCC-2016-803
Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal to Enter Into a New Credit Facility Agreement Comments Due: Federal Register version (81 FR 66318)
34-78892
Sept. 21, 2016
SR-NYSEArca-2016-128
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 66315)
34-78887
Sept. 20, 2016
SR-NYSE-2016-45
Notice of Filing of Amendment No. 1 to Proposed Rule Change Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-80311 , Rel. No. 34-80002 , Rel. No. 34-79674 , Rel. No. 34-79316 , Rel. No. 34-78966 , Rel. No. 34-78556 Federal Register version (81 FR 66095)
34-78885
Sept. 20, 2016
SR-CBOE-2016-064
Notice of Filing of a Proposed Rule Change Relating to SPX Combo Orders Comments Due: Exhibit 5 Federal Register version (81 FR 66105)
34-78874
Sept. 19, 2016
SR-ICEEU-2016-011
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the F&O Intraday Risk Management Policy Comments Due: Federal Register version (81 FR 65689)
34-78860
Sept. 16, 2016
SR-CHX-2016-16
Notice of Filing of Proposed Rule Change To Adopt the CHX Liquidity Taking Access Delay Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79984 , Rel. No. 34-79216 Federal Register version (81 FR 65442)
34-78859
Sept. 16, 2016
SR-NYSEArca-2016-84
Notice of Filing of Amendment No. 2 to a Proposed Rule Change To List and Trade Shares of the Global Currency Gold Fund Under NYSE Arca Equities Rule 8.201, and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 2 Comments Due: View Received Comments Rel. No. 34-79518 , Rel. No. 34-78425 , Rel. No. 34-78075 Federal Register version (81 FR 65431)
34-78861
Sept. 16, 2016
SR-NYSEArca-2016-129
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.35P (Auctions) Regarding Indicative Match Price Comments Due: Exhibit 5 Federal Register version (81 FR 65458)
34-78847
Sept. 15, 2016
SR-BatsBZX-2016-34
Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, to BZX Rule 14.1(i), Managed Fund Shares, To List and Trade Shares of the ProShares Crude Oil Strategy ETF Comments Due: View Received Comments Rel. No. 34-78643 , Rel. No. 34-78346 Federal Register version (81 FR 64560)
34-78846
Sept. 15, 2016
SR-ICC-2016-010
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Revise the ICC Risk Management Model Description Document and the ICC Risk Management Framework Comments Due: Rel. No. 34-78448 , Rel. No. 34-79220 Federal Register version (81 FR 64574)
34-78851
Sept. 15, 2016
SR-FINRA-2016-036
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications With the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook Comments Due: Exhibit 5 Federal Register version (81 FR 64969)
34-78835
Sept. 14, 2016
SR-Phlx-2016-92
Notice of Filing of Proposed Rule Change To Describe Changes to System Functionality Necessary To Implement the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79074 Federal Register version (81 FR 64552)
34-78834
Sept. 14, 2016
SR-OCC-2016-802
Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Escrow Deposit Program Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (81 FR 64536)
34-78840
Sept. 14, 2016
SR-NYSEArca-2016-100
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Direxion Daily Municipal Bond Taxable Bear 1X Fund Under NYSE Arca Equities Rule 5.2(j)(3) Comments Due: View Received Comments Rel. No.34-79885 , Rel. No. 34-79211 , Rel. No. 34-78433 Federal Register version (81 FR 64552)
34-78838
Sept. 14, 2016
SR-BX-2016-050
Notice of Filing of Proposed Rule Change To Describe Changes to System Functionality Necessary To Implement the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79076 Federal Register version (81 FR 64566)
34-78837
Sept. 14, 2016
SR-NASDAQ-2016-126
Notice of Filing of Proposed Rule Change To Describe Changes to System Functionality Necessary To Implement the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79075 Federal Register version (81 FR 64544)
34-78839
Sept. 14, 2016
SR-CBOE-2016-053
Notice of Filing of a Proposed Rule Change Relating to Price Protection Mechanisms and Risk Controls Comments Due: Exhibit 5 , Rel. No. 34-79244 Federal Register version (81 FR 64521)
34-78868
Sept. 14, 2016
SR-C2-2016-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Bylaws Title Comments Due: Federal Register version (81 FR 64520)
34-78829
Sept. 13, 2016
SR-NYSEMKT-2016-86
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Deadline for Implementing Rule 967.1NY(a)(2) and (3) Until September 30, 2016 Comments Due: Exhibit 5 Federal Register version (81 FR 64238)
34-78831
Sept. 13, 2016
SR-NYSEARCA-2016-126
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Deadline for Implementing Rule 6.61(a)(2) and (3) Until September 30, 2016 Comments Due: Exhibit 5 Federal Register version (81 FR 64247)
34-78819
Sept. 13, 2016
SR-BX-2016-049
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Tiers Related to SPY Options Comments Due: Exhibit 5 Federal Register version (81 FR 64221)
34-78826
Sept. 13, 2016
SR-MSRB-2016-09
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Establish the MSRB Academic Historical Transaction Data Product Comments Due: View Received Comments Federal Register version (81 FR 64215)
34-78820
Sept. 13, 2016
SR-IEX-2016-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.340 To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 64234)
34-78823
Sept. 13, 2016
SR-FINRA-2016-018
Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Amending FINRA Rules 2210 (Communications With the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools), as Modified by Partial Amendment No. 1 Comments Due: Exhibit 5 , Rel. No. 34-78026 Federal Register version (81 FR 64240)
34-78827
Sept. 13, 2016
SR-BOX-2016-42
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility To Specify That All Complex Order Transactions Executed Through the Exchange's Auction Mechanisms Will Be Subject to Section I (Exchange Fees) and II (Liquidity Fees and Credits) Comments Due: Exhibit 5 Federal Register version (81 FR 64218)
34-78828
Sept. 13, 2016
SR-BOX-2016-43
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility To Change the Fees and Credits for Facilitation and Solicitation Transactions Comments Due: Exhibit 5 Federal Register version (81 FR 64250)
34-78830
Sept. 13, 2016
SR-BOX-2016-44
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility To Change the Liquidity Fee and Credit Structure for PIP and COPIP Transactions Comments Due: Exhibit 5 Federal Register version (81 FR 64249)
34-78812
Sept. 12, 2016
SR-CHX-2016-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Article 20, Rule 13(b) To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63821)
34-78815
Sept. 12, 2016
SR-Phlx-2016-90
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3317 Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63833)
34-78817
Sept. 12, 2016
SR-NYSEMKT-2016-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 67-Equities To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63811)
34-78814
Sept. 12, 2016
SR-NYSEARCA-2016-124
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.46 To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63818)
34-78813
Sept. 12, 2016
SR-NYSE-2016-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 67 To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63825)
34-78811
Sept. 12, 2016
SR-BX-2016-048
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63828)
34-78816
Sept. 12, 2016
SR-NASDAQ-2016-123
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63815)
34-78818
Sept. 12, 2016
SR-ICC-2016-012
Notice of Filing of Proposed Rule Change To Provide for the Clearance of Additional Credit Default Swap Contracts Comments Due: Rel. No. 34-79197 Federal Register version (81 FR 63831)
34-78799
Sept. 9, 2016
SR-BatsEDGA-2016-21
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend 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 , Exemptive Letter Federal Register version (81 FR 63549)
34-78796
Sept. 9, 2016
SR-BatsBZX-2016-55
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend 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 , Exemptive Letter Federal Register version (81 FR 63561)
34-78795
Sept. 9, 2016
SR-BatsBYX-2016-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend 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 , Exemptive Letter Federal Register version (81 FR 63508)
34-78803
Sept. 9, 2016
SR-NYSEMKT-2016-83
Notice of Filing of Proposed Rule Change Amending Rule 67-Equities Relating to the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79029 Federal Register version (81 FR 63552)
34-78801
Sept. 9, 2016
SR-NYSEARCA-2016-123
Notice of Filing of Proposed Rule Change Amending Rule 7.46 Relating to the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79017 Federal Register version (81 FR 63525)
34-78802
Sept. 9, 2016
SR-NYSE-2016-62
Notice of Filing of Proposed Rule Change Amending Rule 67 Relating to the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79030 Federal Register version (81 FR 63515)
34-78808
Sept. 9, 2016
SR-NSCC-2016-004
Notice of Filing of Proposed Rule Change To Describe the Backtesting Charge and the Bank Holiday Charge That May Be Imposed on Members Comments Due: Exhibit 5 , Rel. No. 34-79167 Federal Register version (81 FR 63511)
34-78800
Sept. 9, 2016
SR-FINRA-2016-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6191 Relating to the Data Collection Requirements of the Regulation NMS Plan To Implement A Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63565)
34-78807
Sept. 9, 2016
SR-FICC-2016-006
Notice of Filing of Proposed Rule Change To Describe the Backtesting Charge and the Holiday Charge That May Be Imposed on Members Comments Due: Exhibit 5 , Rel. No. 34-79167 Federal Register version (81 FR 63538)
34-78798
Sept. 9, 2016
SR-BatsEDGX-2016-51
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend 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 , Exemptive Letter Federal Register version (81 FR 63532)
34-78791
Sept. 8, 2016
SR-ISEMercury-2016-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Specificity to the Definition of a Professional in the Exchange's Rules Comments Due: Exhibit 5 Federal Register version (81 FR 63249)
34-78790
Sept. 8, 2016
SR-ISEGemini-2016-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 100(a)(37C) (Definitions) To Add Specificity to the Definition of a Professional Comments Due: Exhibit 5 Federal Register version (81 FR 63245)
34-78787
Sept. 8, 2016
SR-BatsBZX-2016-57
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 63241)
34-78792
Sept. 8, 2016
SR-BatsBZX-2016-56
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 63239)
34-78784
Sept. 8, 2016
SR-Phlx-2016-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Pricing Schedule Under Section VIII With Respect To Execution and Routing of Orders in Securities Priced at $1 or More Per Share Comments Due: Exhibit 5 Federal Register version (81 FR 63231)
34-78788
Sept. 8, 2016
SR-ISE-2016-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Specificity to the Definition of a Professional in the Exchange's Rules Comments Due: Exhibit 5 Federal Register version (81 FR 63252)
34-78786
Sept. 8, 2016
SR-CBOE-2016-066
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 63243)
34-78785
Sept. 8, 2016
SR-C2-2016-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 63233)
34-78789
Sept. 8, 2016
SR-BatsEDGX-2016-52
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 63235)
34-78780
Sept. 7, 2016
SR-NYSEMKT-2016-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903 and Rule 900.2NY(50) Comments Due: Exhibit 5 Federal Register version (81 FR 62939)
34-78779
Sept. 7, 2016
SR-NYSEARCA-2016-127
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.1(b)(41) and Rule 6.4 Comments Due: Exhibit 5 Federal Register version (81 FR 62944)
34-78782
Sept. 7, 2016
SR-NYSE-2016-58
Notice of Filing of Proposed Rule Change Amending Section 907.00 of the NYSE Listed Company Manual To Adjust the Timing of Entitlements to Complimentary Products and Services for Special Purpose Acquisition Companies Comments Due: Exhibit 5 , Rel. No. 34-79187 Federal Register version (81 FR 62937)
34-78777
Sept. 7, 2016
SR-MSRB-2016-12
Notice of Filing of a Proposed Rule Change 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 5 , Rel. No. 34-79347 Federal Register version (81 FR 62947)
34-78781
Sept. 7, 2016
SR-MIAX-2016-30
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 62942)
34-78778
Sept. 7, 2016
SR-DTC-2016-007
Notice of Filing of Proposed Rule Changes Relating to Clearing Agency Investment Policy File Nos.: Comments Due: Rel. No. 34-79528 , Rel. No. 34-79165 Federal Register version (81 FR 62963)
34-78770
Sept. 6, 2016
SR-NYSEArca-2016-101
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust Under NYSE Arca Equities Rule 8.201 Comments Due: Rel. No. 34-80319 , Rel. No. 34-80099 , Rel. No. 34-79726 , Rel. No. 34-79171 , Rel. No. 34-78426 Federal Register version (81 FR 62780)
34-78772
Sept. 6, 2016
SR-MIAX-2016-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (81 FR 62784)
34-78774
Sept. 6, 2016
SR-DTC-2016-003
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers Comments Due: View Received Comments Rel. No. 34-79488 , Rel. No. 34-78379 , Rel. No. 34-77991 Federal Register version (81 FR 62775)
34-78771
Sept. 6, 2016
SR-BatsEDGX-2016-49
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 62781)
34-78761
Sept. 2, 2016
SR-NSX-2016-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.18 To Address the Exchange's Liability for System Failures; Amend Rule 2.11 To Provide for an Error Account Maintained by the Exchange's Routing Broker; Adopt Rule 11.11(e) To Allow Cancellation of Orders When a System Failure Occurs; Amend Rule 1.5 To Reposition the Definition of a Trading Center; and Make Other Non-Substantive and Conforming Changes Comments Due: Exhibit 5 Federal Register version (81 FR 62187)
34-78763
Sept. 2, 2016
SR-BatsEDGA-2016-15
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 11.21 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78330 Federal Register version (81 FR 62219)
34-78765
Sept. 2, 2016
SR-BatsBZX-2016-29
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 11.27 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 62195)
34-78766
Sept. 2, 2016
SR-BatsBYX-2016-17
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 11.27 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78333 Federal Register version (81 FR 62192)
34-78758
Sept. 2, 2016
SR-NYSEArca-2016-67
Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the Natixis Seeyond International Minimum Volatility ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-78627 , Rel. No. 34-78204 , Rel. No. 34-77861 Federal Register version (81 FR 62198)
34-78762
Sept. 2, 2016
SR-ICEEU-2016-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Certain Default Management Requirements Under Applicable Law Comments Due: Federal Register version (81 FR 62228)
34-78760
Sept. 2, 2016
SR-CBOE-2016-049
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Options That Overlie the FTSE Developed Europe Index and the FTSE Emerging Index and To Amend the Maintenance Listing Criteria Applicable to Certain Index Options Comments Due: Rel. No. 34-78511 , Rel. No. 34-78177 Federal Register version (81 FR 62208)
34-78767
Sept. 2, 2016
SR-BatsEDGX-2016-26
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 11.22 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78331 Federal Register version (81 FR 62205)
