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)
34-78748
Sept. 1, 2016
SR-BatsEDGA-2016-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (81 FR 62226)
34-78746
Sept. 1, 2016
SR-BatsBZX-2016-52
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation of Amendments to the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (81 FR 62225)
34-78747
Sept. 1, 2016
SR-BatsBYX-2016-23
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 62198)
34-78751
Sept. 1, 2016
SR-NYSEMKT-2016-82
Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Amend the Date That Two Wireless Connections to Third Party Data Feeds Are Expected To Be Available Comments Due: Exhibit 5 Federal Register version (81 FR 62216)
34-78750
Sept. 1, 2016
SR-NYSEArca-2016-97
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Listing and Trading of Shares of PowerShares Government Collateral Pledge Portfolio Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-79131 , Rel. No. 34-78373 Federal Register version (81 FR 62233)
34-78752
Sept. 1, 2016
SR-NYSEArca-2016-122
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and, the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Amend the Date That Two Wireless Connections to Third Party Data Feeds Are Expected To Be Available Comments Due: Exhibit 5 Federal Register version (81 FR 62203)
34-78755
Sept. 1, 2016
SR-NYSEArca-2016-103
Notice for Securities Industry Registration ("U5") Comments Due: View Received Comments Rel. No. 34-79055 , Rel. No. 34-78381 , Rel. No. 34-80154 Federal Register version (81 FR 62192)
34-78753
Sept. 1, 2016
SR-NYSE-2016-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List To Amend the Date That Two Wireless Connections to Third Party Data Feeds Are Expected To Be Available Comments Due: Exhibit 5 Federal Register version (81 FR 62200)
34-78749
Sept. 1, 2016
SR-NASDAQ-2016-121
Notice of Filing of Proposed Rule Change Related to the NASDAQ Options Market LLC's Pricing at Chapter XV, Section 2(6) Comments Due: Rel. No. 34-79492 , Rel. No. 34-79317 , Rel. No. 34-79118 Federal Register version (81 FR 62212)
34-78745
Sept. 1, 2016
SR-BatsEDGX-2016-48
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation of the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (81 FR 62185)
34-78740
Aug. 31, 2016
SR-Phlx-2016-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Prior Rule Change, SR-PHLX-2016-38 Comments Due: Exhibit 3 , Exhibit 3a Federal Register version (81 FR 61722)
34-78744
Aug. 31, 2016
SR-NYSEMKT-2016-48
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Certain Rules Relating to Flexible Exchange Options Comments Due: View Received Comments Rel. No. 34-78348 Federal Register version (81 FR 61725)
34-78742
Aug. 31, 2016
SR-NYSEMKT-2016-13
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order Into the Electronic Order Capture System Comments Due: View Received Comments Rel. No. 34-78238 , Rel. No. 34-77910 , Rel. No. 34-77518 Federal Register version (81 FR 61730)
34-78743
Aug. 31, 2016
SR-NYSEArca-2016-15
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 6.67(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System Comments Due: View Received Comments Rel. No. 34-78239 , Rel. No. 34-77909 , Rel. No. 34-77516 Federal Register version (81 FR 61724)
34-78741
Aug. 31, 2016
SR-CBOE-2016-063
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 61727)
34-78724
Aug. 30, 2016
SR-OCC-2016-004
Notice of Withdrawal of a Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy Comments Due: View Received Comments Rel. No. 34-78056 , Rel. No. 34-77720 , Rel. No. 34-77358 , Rel. No. 34-78056 , Rel. No. 34-77720 , Rel. No. 34-77358 Federal Register version (81 FR 61269)
34-78718
Aug. 30, 2016
SR-OCC-2016-801
Notice of Withdrawal of an Advance Notice Related to the Adoption of an Options Exchange Risk Control Standards Policy Comments Due: View Received Comments Rel. No. 34-77628 Federal Register version (81 FR 61260)
34-78721
Aug. 30, 2016
SR-NYSEMKT-2016-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 9217 To Add a Provision and Related Fines Addressing Trade-Through Violations Comments Due: Exhibit 5 Federal Register version (81 FR 61266)
34-78727
Aug. 30, 2016
SR-NYSEArca-2016-96
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend NYSE Arca Equities Rule 8.700 and To List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.700 Comments Due: View Received Comments Rel. No. 34-78345 , Rel. No. 34-79111 , Rel. No. 34-79802 , Rel. No. 34-80254 Federal Register version (81 FR 61268)
34-78729
Aug. 30, 2016
SR-FINRA-2016-033
Notice of Filing of a Proposed Rule Change Amending Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes Relating to Broadening Chairperson Eligibility in Arbitration Comments Due: View Received Comments Rel. No. 34-79455 Federal Register version (81 FR 61288)
34-78720
Aug. 30, 2016
SR-FICC-2016-003
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Describe the Blackout Period Exposure Charge That May Be Imposed on GCF Repo Participants Comments Due: Rel. No. 34-79077 , Rel. No. 34-78347 Federal Register version (81 FR 61271)
34-78714
Aug. 29, 2016
SR-Phlx-2016-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1042A, Exercise of Options Contracts and Options Floor Procedure Advice G-1, Index Option Exercise Advice Forms Comments Due: Exhibit 5 Federal Register version (81 FR 60756)
34-78713
Aug. 29, 2016
SR-Nasdaq-2016-120
Notice of Filing of Proposed Rule Change To Adopt the Third Party Connectivity Service Under Rules 7034(b) and 7051 Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-80098 , Rel. No. 34-79049 , Rel. No. 34-79431 , Rel. No. 34-80558 Federal Register version (81 FR 60768)
34-78715
Aug. 29, 2016
SR-ISE-2016-18
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 60765)
34-78697
Aug. 26, 2016
SR-BatsBZX-2016-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 19.6, Series of Options Contracts Open for Trading, To Allow Wednesday Expirations for SPY Options Comments Due: Exhibit 5 Federal Register version (81 FR 60097)
34-78693
Aug. 26, 2016
SR-Phlx-2016-89
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 60074)
34-78692
Aug. 26, 2016
SR-NYSEMKT-2016-81
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities To Eliminate Orders With a Sell "Plus" and Buy "Minus" Instruction and Retain Orders With a "Buy Minus Zero Plus" Instruction, and Make Conforming Changes to Rules 104-Equities, 107B-Equities, 123C-Equities and 1004-Equities Comments Due: Exhibit 5 Federal Register version (81 FR 60094)
34-78704
Aug. 26, 2016
4-518
Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS To Add the Investors Exchange LLC as a Participant Comments Due: Federal Register version (81 FR 60398)
34-78703
Aug. 26, 2016
4-631
Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Address Extraordinary Market Volatility To Add the Investors Exchange LLC as a Participant Comments Due: View Received Comments Federal Register version (81 FR 60397)
34-78702
Aug. 26, 2016
4-657
Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Implement a Tick Size Pilot Program To Add the Investors Exchange LLC as a Participant Comments Due: View Received Comments Federal Register version (81 FR 60399)
34-78700
Aug. 26, 2016
S7-24-89
Notice of Filing and Immediate Effectiveness of Amendment No. 37 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis To Add the Investors Exchange LLC as a Participant Comments Due: Federal Register version (81 FR 60395)
34-78701
Aug. 26, 2016
SR-CTA/CQ-2016-01
Notice of Filing and Immediate Effectiveness of Amendment No. 26 to the Second Restatement of the CTA Plan and Amendment No. 19 to the Restated CQ Plan To Add the Investors Exchange LLC as a Participant Comments Due: Federal Register version (81 FR 60394)
34-78694
Aug. 26, 2016
SR-BX-2016-047
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 60049)
34-78695
Aug. 26, 2016
SR-NASDAQ-2016-122
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 60072)
34-78698
Aug. 26, 2016
SR-CBOE-2016-061
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 60032)
34-78696
Aug. 26, 2016
SR-BatsEDGX-2016-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 19.6, Series of Options Contracts Open for Trading, To Allow Wednesday Expirations for SPY Options Comments Due: Exhibit 5 Federal Register version (81 FR 60070)
34-78676
Aug. 25, 2016
SR-NSX-2016-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Regarding Qualification, Registration and Continuing Education for Persons Associated With Equity Trading Permit Holders, To Add Definitions, Amend Definitions, and To Make Technical, Non-Substantive and Conforming Amendments to Rules Comments Due: Exhibit 5 Federal Register version (81 FR 60083)
34-78684
Aug. 25, 2016
SR-CHX-2016-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Handling of Intermarket Sweep Orders Comments Due: Exhibit 5 Federal Register version (81 FR 60034)
34-78680
Aug. 25, 2016
SR-Phlx-2016-86
Notice of Filing of Proposed Rule Change to Delete or Amend Outdated Rule Language Comments Due: Rel. No. 34-79087 , Rel. No. 34-79249 Federal Register version (81 FR 60110)
34-78675
Aug. 25, 2016
SR-OCC-2016-009
Notice of Filing of Proposed Rule Change Concerning the Options Clearing Corporation's Escrow Deposit Program Comments Due: Exhibit 5A , Exhibit 5B , Exhibit 5A , Exhibit 5B Federal Register version (81 FR 60099)
34-78673
Aug. 25, 2016
SR-NYSEMKT-2016-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Relating to Pre-Opening Indications and Opening Procedures Comments Due: Exhibit 5 Federal Register version (81 FR 60038)
34-78685
Aug. 25, 2016
SR-NYSEMKT-2016-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.2NY(18A) Comments Due: Exhibit 5 Federal Register version (81 FR 60108)
34-78674
Aug. 25, 2016
SR-NYSEArca-2016-116
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.3(i)(3) To Amend the Requirements for the Dissemination of News in Compliance With the Exchange's Immediate Release Policy Comments Due: Exhibit 5 Federal Register version (81 FR 60091)
34-78679
Aug. 25, 2016
SR-NYSE-2016-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 To Eliminate Orders With a Sell "Plus" and Buy "Minus" Instruction and Retain Orders With a "Buy Minus Zero Plus" Instruction, and Make Conforming Changes to Rules 104, 107B, 123C and 1004 Comments Due: Exhibit 5 Federal Register version (81 FR 60080)
34-78681
Aug. 25, 2016
SR-MIAX-2016-28
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 60077)
34-78686
Aug. 25, 2016
SR-CBOE-2016-062
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program To Allow Wednesday Expirations for SPY Options Comments Due: Exhibit 5 Federal Register version (81 FR 60089)
34-78666
Aug. 24, 2016
SR-BatsBZX-2016-48
Notice of Filing of a Proposed Rule Change to Rule 14.11(c)(4) 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. 34-79092 Federal Register version (81 FR 59700)
34-78665
Aug. 24, 2016
SR-Phlx-2016-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Connectivity Fees at Chapter VIII of the NASDAQ PHLX LLC Pricing Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 59693)
34-78663
Aug. 24, 2016
SR-NYSEMKT-2016-80
Notice of Filing of Proposed Rule Change Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78992 Federal Register version (81 FR 59696)
34-78662
Aug. 24, 2016
SR-NYSEArca-2016-119
Notice of Filing of Proposed Rule Change Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78992 Federal Register version (81 FR 59674)
34-78661
Aug. 24, 2016
SR-NYSE-2016-57
Notice of Filing of Proposed Rule Change Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78992 Federal Register version (81 FR 59699)
34-78664
Aug. 24, 2016
SR-NYSE-2016-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Text of Current Rule 8313; Amending Rules Relating to the Imposition of Temporary and Current 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 59678)
34-78667
Aug. 24, 2016
SR-Phlx-2016-58
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt Limit Order Protections File Nos.: Comments Due: View Received Comments Rel. No. 34-78246 , Rel. No. 34-78245 , Rel. No. 34-78244 Federal Register version (81 FR 59672)
34-78667
Aug. 24, 2016
SR-NASDAQ-2016-067
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt Limit Order Protections File Nos.: Comments Due: View Received Comments Rel. No. 34-78246 , Rel. No. 34-78245 , Rel. No. 34-78244 Federal Register version (81 FR 59672)
34-78667
Aug. 24, 2016
SR-BX-2016-037
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt Limit Order Protections File Nos.: Comments Due: View Received Comments Rel. No. 34-78246 , Rel. No. 34-78245 , Rel. No. 34-78244 Federal Register version (81 FR 59672)
34-78660
Aug. 24, 2016
SR-FINRA-2016-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of SR-FINRA-2016-028 Comments Due: Federal Register version (81 FR 59676)
34-78640
Aug. 23, 2016
SR-BatsBZX-2016-26
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to BZX Rule 14.11(d) To Add the EURO STOXX 50 Volatility Futures to the Definition of Futures Reference Asset Comments Due: View Received Comments Rel. No. 34-79069 , Rel. No. 34-78236 Federal Register version (81 FR 59257)
34-78643
Aug. 23, 2016
SR-BatsBZX-2016-34
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to BZX Rule 14.11(i), Managed Fund Shares, To List and Trade Shares of the ProShares Crude Oil Strategy ETF Comments Due: View Received Comments Rel. No. 34-78847 , Rel. No. 34-78346 Federal Register version (81 FR 59253)
34-78653
Aug. 23, 2016
SR-BatsBZX-2016-30
Notice of Designation of a Longer Period for Commission Action on 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 59256)
34-78644
Aug. 23, 2016
SR-NYSEArca-2016-87
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the First Trust Horizon Managed Volatility Domestic ETF and the First Trust Horizon Managed Volatility Developed International ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-78587 , Rel. No. 34-78191 Federal Register version (81 FR 59711)
34-78641
Aug. 23, 2016
SR-NYSE-2016-44
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Allowing the Exchange To Trade Pursuant To Unlisted Trading Privileges for Any NMS Stock Listed on Another National Securities Exchange; Establishing Listing and Trading Requirements for 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 Rel. No. 34-80214 , Rel. No. 34-79736 , Rel. No. 34-79085 , Rel. No. 34-78263 Federal Register version (81 FR 59259)
34-78654
Aug. 23, 2016
SR-NASDAQ-2016-117
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elkhorn Commodity Rotation Strategy ETF of the Elkhorn ETF Trust Comments Due: Federal Register version (81 FR 59257)
34-78636
Aug. 22, 2016
SR-BatsEDGA-2016-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.8, EDGA Book Feeds, To Adopt a New Market Data Product Known as EDGA Summary Depth Comments Due: Exhibit 5 Federal Register version (81 FR 59020)
34-78632
Aug. 22, 2016
SR-BatsBZX-2016-50
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22, Data Products, To Adopt a New Market Data Product Known as BZX Summary Depth Comments Due: Exhibit 5 Federal Register version (81 FR 59014)
34-78631
Aug. 22, 2016
SR-BatsBYX-2016-21
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22, Data Products, To Adopt a New Market Data Product Known as BYX Summary Depth Comments Due: Exhibit 5 Federal Register version (81 FR 59018)
34-78629
Aug. 22, 2016
SR-NYSEMKT-2016-63
Notice of Filing of Proposed 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. 34-80309 , Rel. No. 34-79672 , Rel. No. 34-79378 , Rel. No. 34-78968 , Rel. No. 34-80077 Federal Register version (81 FR 58992)
34-78628
Aug. 22, 2016
SR-NYSEArca-2016-89
Notice of Filing of 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. 34-80310 , Rel. No. 34-80076 , Rel. No. 34-79673 , Rel. No. 34-79379 , Rel. No. 34-78967 Federal Register version (81 FR 59004)
34-78633
Aug. 22, 2016
SR-NYSEArca-2016-114
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Schedule of Fees and Charges To Eliminate the Listing Fee in Connection With Exchange Listing of Certain Exchange Traded Products Comments Due: Exhibit 5 Federal Register version (81 FR 59025)
34-78634
Aug. 22, 2016
SR-NASDAQ-2016-113
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Options Pricing Comments Due: Exhibit 5 Federal Register version (81 FR 59023)
34-78622
Aug. 22, 2016
SR-MSRB-2016-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Due Date for Certain Submissions Under Rule G-45 and Provide Guidance on the Application of Rules G-42 and G-44 to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities Comments Due: Exhibit 5 Federal Register version (81 FR 58989)
34-78630
Aug. 22, 2016
SR-BatsEDGX-2016-46
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.8, Order Display and Book Processing Comments Due: Exhibit 5 Federal Register version (81 FR 59016)
34-78635
Aug. 22, 2016
SR-BatsEDGX-2016-45
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.8, EDGX Book Feeds, To Adopt a New Market Data Product Known as EDGX Summary Depth Comments Due: Exhibit 5 Federal Register version (81 FR 58987)
34-78613
Aug. 18, 2016
SR-BatsBZX-2016-35
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the JPMorgan Global Bond Opportunities ETF Comments Due: View Received Comments Rel. No. 34-79053 , Rel. No. 34-78264 Federal Register version (81 FR 57967)
34-78610
Aug. 18, 2016
SR-NYSEArca-2016-82
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the JPMorgan Diversified Event Driven ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel.No. 34-79683 , Rel. No. 34-77934 Federal Register version (81 FR 57960)
34-78615
Aug. 18, 2016
SR-NYSEArca-2016-117
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Equities Rules 7.35P, 7.34P, 7.18P and 7.31P Regarding Order Processing Following an Auction or When Transitioning From One Trading Session to Another Comments Due: Exhibit 5 Federal Register version (81 FR 57986)
34-78616
Aug. 18, 2016
SR-NASDAQ-2016-104
Notice of Filing of Proposed Rule Change To Amend Nasdaq Rule 5735 To Adopt Generic Listing Standards for Managed Fund Shares Comments Due: Exhibit 5 Federal Register version (81 FR 57968)
34-78611
Aug. 18, 2016
SR-MSRB-2016-07
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities Comments Due: View Received Comments Exhibit 4 , Exhibit 5 , Rel. No. 34-77903 Federal Register version (81 FR 57960)
34-78612
Aug. 18, 2016
SR-MIAX-2016-29
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 803 and 1308 Comments Due: Exhibit 5 Federal Register version (81 FR 57984)
34-78620
Aug. 18, 2016
SR-MIAX-2016-26
Notice of Filing of a Proposed Rule Change by Miami International Securities Exchange, LLC To Adopt New Rules To Govern the Trading of Complex Orders on the Exchange Comments Due: Exhibit 5 , Rel. No. 34-79072 Federal Register version (81 FR 58769)
34-78609
Aug. 18, 2016
SR-FINRA-2016-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the Alternative Display Facility for Trade Reporting Purpose Only Comments Due: Federal Register version (81 FR 57964)
34-78618
Aug. 18, 2016
SR-BOX-2016-41
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 57977)
34-78598
Aug. 17, 2016
SR-NYSEMKT-2016-52
Notice for Securities Industry Registration ("U5") Comments Due: View Received Comments Rel. No. 34-79055 , Rel. No. 34-78198 , Rel. No. 34-80154 Federal Register version (81 FR 57642)
34-78602
Aug. 17, 2016
SR-NYSEMKT-2016-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Comments Due: Exhibit 5 Federal Register version (81 FR 57639)
34-78601
Aug. 17, 2016
SR-NYSEArca-2016-113
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Comments Due: Exhibit 5 Federal Register version (81 FR 63243)
34-78600
Aug. 17, 2016
SR-NYSE-2016-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Comments Due: Exhibit 5 Federal Register version (81 FR 57642)
34-78605
Aug. 17, 2016
SR-NASDAQ-2016-118
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct a Typographical Error in Rules IM-5910-1 and IM-5920-1 Comments Due: Exhibit 5 Federal Register version (81 FR 57641)
34-78604
Aug. 17, 2016
SR-ICEEU-2016-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Settlement of UK Spot Natural Gas Contracts and European Emissions Contracts Comments Due: Federal Register version (81 FR 57635)
34-78588
Aug. 16, 2016
SR-Phlx-2016-79
Notice of Filing of Proposed Rule Change To Amend Rule 1017, Openings in Options Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 56733)
34-78593
Aug. 16, 2016
SR-Phlx-2016-82
Notice of Filing of Proposed Rule Change To Adopt a New Exception in Exchange Rule 1000(f) for Sub-MPV Split-Priced Orders Comments Due: Rel. No. 34-79345 , Rel. No. 34-79023 Federal Register version (81 FR 56724)
34-78586
Aug. 16, 2016
SR-NYSEMKT-2016-62
Notice of Filing of Proposed Rule Change Amending Section 146 of the NYSE MKT Company Guide To Adjust the Entitlement to Services of Special Purpose Acquisition Companies Comments Due: Exhibit 5 , Rel. No. 34-79056 Federal Register version (81 FR 56720)
