34-79966
Feb. 3, 2017
SR-BatsBYX-2017-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (82 FR 10101)
34-79955
Feb. 3, 2017
SR-NYSEArca-2017-06
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading Shares of the Bitcoin Investment Trust under NYSE Arca Equities Rule 8.201 Comments Due: View Received Comments Rel. No. 34-81201 , Rel. No. 34-80729 , Rel. No. 34-80502 , Rel. No. 34-80297 , Rel. No. 34-80729 , Rel. No. 34-81747 Federal Register version (82 FR 10086)
34-79960
Feb. 3, 2017
SR-BX-2017-007
Notice of Filing of Proposed Rule Change To Adopt Rules Regarding the CAT NMS Plan Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 10159)
34-79959
Feb. 3, 2017
SR-PEARL-2017-06
Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 519A, Risk Protection Monitor for Orders Entered via the FIX Interface ("RPM-FIX"), and Exchange Rule 519B, Risk Protection Monitor for Orders Entered via the MEO Interface ("RPM-MEO") Comments Due: Exhibit 5 Federal Register version (82 FR 10143)
34-79967
Feb. 3, 2017
SR-ISE-2017-08
Notice of Filing of Proposed Rule Change To Adopt Chapter 9 Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 10105)
34-79961
Feb. 3, 2017
SR-FINRA-2017-003
Notice of Filing of a Proposed Rule Change To Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 10073)
34-79964
Feb. 3, 2017
SR-FINRA-2016-039
Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change To Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults), as Modified by Partial Amendment No. 1 Comments Due: Rel.No. 34-79215 Federal Register version (82 FR 10059)
34-79958
Feb. 3, 2017
SR-FICC-2017-001
Notice of Filing of Proposed Rule Change To (1) Implement the Margin Proxy, (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies, and (3) Make Certain Technical Corrections Comments Due: View Received Comments Exhibit 2 , Exhibit 5 , Rel. No. 34-80235 , Rel. No. 34-80349 Federal Register version (82 FR 10117)
34-79953
Feb. 3, 2017
SR-C2-2017-007
Notice of Filing of a Proposed Rule Change Relating to the Consolidated Audit Trail Comments Due: Exhibit 5 , Rel. No. 34-80256 Federal Register version (82 FR 10034)
34-79957
Feb. 3, 2017
SR-BatsEDGX-2017-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Type of Logical Port Known as a Purge Port Comments Due: Exhibit 5A , Exhibit 5B Federal Register version (82 FR 10070)
34-79931
Feb. 2, 2017
SR-CFE-2017-001
Notice of Filing of a Proposed Rule Change Regarding Block Trades Comments Due: Exhibit 4 Federal Register version (82 FR 9803)
34-79933
Feb. 2, 2017
SR-NSX-2017-03
Notice of Filing of Proposed Rule Change To Implement Compliance Rules Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: Exhibit 5 , Rel. No. 34-79933 Federal Register version (82 FR 9942)
34-79927
Feb. 2, 2017
SR-BatsBZX-2017-08
Notice of Filing of a Proposed Rule Change To Adopt Rules 4.5 Through 4.16 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: Exhibit 5 Federal Register version (82 FR 9874)
34-79944
Feb. 2, 2017
SR-BatsBYX-2017-02
Notice of Filing of a Proposed Rule Change To Adopt Rules 4.5 Through 4.16 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: Exhibit 5 Federal Register version (82 FR 9846)
34-79948
Feb. 2, 2017
SR-CHX-2017-03
Notice of Filing of Proposed Rule Change To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: Exhibit 5 Federal Register version (82 FR 9904)
34-79945
Feb. 2, 2017
SR-PHLX-2017-07
Notice of Filing of Proposed Rule Change To Adopt the Rule 900A Series Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 9778)
34-79935
Feb. 2, 2017
SR-NASDAQ-2017-008
Notice of Filing of Proposed Rule Change To Adopt Rules Regarding the CAT NMS Plan Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 9831)
34-79938
Feb. 2, 2017
SR-PEARL-2017-04
Notice of Filing of a Proposed Rule Change by To Adopt Rules 1701-1712 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: Exhibit 5 Federal Register version (82 FR 9929)
34-79946
Feb. 2, 2017
SR-PEARL-2017-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515, Execution of Orders and Quotes Comments Due: Exhibit 5 Federal Register version (82 FR 9869)
34-79947
Feb. 2, 2017
SR-PEARL-2017-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rules 100, 404, 519C and Adopt MIAX PEARL 1018 Comments Due: Exhibit 5 Federal Register version (82 FR 9865)
34-79937
Feb. 2, 2017
SR-MIAX-2017-03
Notice of Filing of a Proposed Rule Change To Adopt Consolidated Audit Trail Compliance Rule (Rules 1701-1712) To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: Exhibit 5 Federal Register version (82 FR 9790)
34-79934
Feb. 2, 2017
SR-IEX-2017-04
Notice of Filing of Proposed Rule Change To Adopt the Rule Series 11.600 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: Exhibit 5 Federal Register version (82 FR 9891)
34-79940
Feb. 2, 2017
SR-IEX-2017-03
Notice of Filing of Proposed Rule Change To Amend IEX Rule 16.135 To Adopt Generic Listing Standards for Managed Fund Shares Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-80545 Federal Register version (82 FR 9858)
34-79950
Feb. 2, 2017
SR-CBOE-2017-012
Notice of Filing of a Proposed Rule Change Relating to the Consolidated Audit Trail Comments Due: Exhibit 5 Federal Register version (82 FR 9916)
34-79932
Feb. 2, 2017
SR-BOX-2017-07
Notice of Filing of a Proposed Rule Change To Adopt the Rule 16000 Series To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: Exhibit 5 , Rel. No. 34-80256 Federal Register version (82 FR 9819)
34-79942
Feb. 2, 2017
SR-BatsEDGX-2017-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Functionality Offered by the Exchange's Options Platform To Adopt Qualified Contingent Cross Orders Comments Due: Exhibit 5 Federal Register version (82 FR 9804)
34-79949
Feb. 2, 2017
SR-BatsEDGX-2017-08
Notice of Filing of a Proposed Rule Change To Adopt Rules 4.5 Through 4.16 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: Exhibit 5 , Rel. No. 34-80256 Federal Register version (82 FR 9765)
34-79928
Feb. 2, 2017
4-618
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., BOX Options Exchange LLC, Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, Investors Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, The NASDAQ Stock Market LLC, NASDAQ BX, Inc., NASDAQ PHLX, Inc., National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Comments Due: View Received Comments Rel. No. 34-78552 Federal Register version (82 FR 9814)
34-79929
Feb. 2, 2017
S7-966
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, Bats BZX Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, Bats EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ BX, Inc., the NASDAQ PHLX, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL, LLC Concerning Options-Related Sales Practice Matters Comments Due: Federal Register version (82 FR 9757)
34-79930
Feb. 2, 2017
4-551
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, Bats BZX Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the Bats EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ BX, Inc., the NASDAQ PHLX, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL Concerning Options-Related Market Surveillance Comments Due: Federal Register version (82 FR 9807)
34-79915
Feb. 1, 2017
SR-OCC-2017-801
Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility Comments Due: Federal Register version (82 FR 9613)
34-79916
Feb. 1, 2017
SR-NYSEArca-2017-05
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Direxion Daily Crude Oil Bull 3x Shares and Direxion Daily Crude Oil Bear 3x Shares Under NYSE Arca Equities Rule 8.200 Comments Due: View Received Comments Rel. No. 34-81686 , Rel. No. 34-81224 , Rel. No. 34-80606 Federal Register version (82 FR 9608)
34-79917
Feb. 1, 2017
SR-NYSEArca-2017-07
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the ProShares UltraPro 3x Crude Oil ETF and ProShares UltraPro 3x Short Crude Oil ETF Under NYSE Arca Equities Rule 8.200 Comments Due: View Received Comments Rel. No. 34-80296 Federal Register version (82 FR 9620)
34-79913
Feb. 1, 2017
SR-PEARL-2017-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish MIAX PEARL Top of Market ("ToM") and MIAX PEARL Liquidity Feed ("PLF") Data Products Comments Due: Federal Register version (82 FR 9617)
34-79905
Jan. 31, 2017
SR-Phlx-2017-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct a Typographical Error Comments Due: Federal Register version (82 FR 9463)
34-79911
Jan. 31, 2017
SR-NYSEMKT-2017-02
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt the Rule 6800 Series To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 9435)
34-79908
Jan. 31, 2017
SR-NYSEArca-2017-04
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt the Rule 6.6800 Series To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 9450)
34-79909
Jan. 31, 2017
SR-NYSEArca-2017-03
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt the Rule 11.6800 Series To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 9464)
34-79907
Jan. 31, 2017
SR-NYSE-2017-01
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt the Rule 6800 Series To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 9413)
34-79906
Jan. 31, 2017
SR-CBOE-2017-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 9406)
34-79910
Jan. 31, 2017
SR-CBOE-2016-082
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to Rules Regarding the Responsibility for Ensuring Compliance With Open Outcry Priority and Allocation Requirements and Trade-Through Prohibitions Comments Due: View Received Comments Rel. No. 34-80859 , Rel. No. 34-80270 , Rel. No. 34-79540 Federal Register version (82 FR 9464)
34-79894
Jan. 30, 2017
SR-Phlx-2017-04
Notice of Filing of Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled NASDAQ-100 Index Options on a Pilot Basis Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-81293 , Rel. No. 34-80581 , Rel. No. 34-79894 Federal Register version (82 FR 9259)
34-79895
Jan. 30, 2017
SR-NYSEMKT-2017-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 900.3NY, Rule 961NY, Make a Conforming Change to Rule 935NY, and Eliminate Section 910-AEMI of the AEMI Rules, and Sections 910 and 910-AEMI of the NYSE MKT Company Guide Comments Due: Exhibit 5 Federal Register version (82 FR 9256)
34-79897
Jan. 30, 2017
4-443
Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add MIAX PEARL, LLC as a Plan Sp Comments Due: View Received Comments Federal Register version (82 FR 9263)
34-79896
Jan. 30, 2017
4-546
Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add MIAX PEARL, LLC as a Participant Comments Due: View Received Comments Federal Register version (82 FR 9264)
34-79898
Jan. 30, 2017
4-698
Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail To Add MIAX PEARL, LLC as a Participant Comments Due: View Received Comments Rel. No. 34-81189 , Rel. No. 34-80930 Federal Register version (82 FR 9250)
34-79899
Jan. 30, 2017
SR-CBOE-2016-080
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 CBOE Rule 6.53C Comments Due: Federal Register version (82 FR 9267)
34-79900
Jan. 30, 2017
SR-BOX-2017-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7150 (The Price Improvement Period ("PIP")) Comments Due: Federal Register version (82 FR 9265)
34-79887
Jan. 27, 2017
SR-ISE-2017-02
Notice of Filing of Proposed Rule Change To Amend the Opening Process Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-80225 Federal Register version (82 FR 9090)
34-79889
Jan. 27, 2017
SR-ICC-2017-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Collateral Fee Changes Comments Due: Federal Register version (82 FR 9089)
34-79891
Jan. 27, 2017
SR-BOX-2017-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8040 (Obligations of Market Makers) Comments Due: Exhibit 5 Federal Register version (82 FR 9101)
34-79883
Jan. 26, 2017
SR-IEX-2016-18
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To: (i) Amend Rules 11.190(a)(3) and 11.190(b)(8) To Modify the Operation of the Primary Peg Order Type; (ii) Amend Rule 11.190(h)(3)(C)(ii) and (D)(ii) Regarding Price Sliding in Locked and Crossed Markets To Simplify the Price Sliding Process for Both Primary Peg Orders and Discretionary Peg Orders Resting on or Posting to the Order Book; and (iii) Make Minor Housekeeping Changes To Conform Certain Terminology Comments Due: Rel. No. 34-80223 , Rel. No. 34-79502 Federal Register version (82 FR 9083)
34-79874
Jan. 25, 2017
SR-NASDAQ-2016-141
Notice of Withdrawal of a Proposed Rule Change To Amend Rule 4702 To Adopt a New Retail Post-Only Order Comments Due: View Received Comments Rel. No. 34-79554 , Rel. No. 34-79163 Federal Register version (82 FR 8887)
34-79873
Jan. 25, 2017
SR-CBOE-2017-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 8883)
34-79869
Jan. 24, 2017
SR-BOX-2017-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7130 (Execution and Price/Time Priority) To Include a Participant ID, if Elected, To Be Included in BOX's Proprietary High Speed Vendor Feed ("HSVF") for Orders Exposed Pursuant to Rule 7130(b)(3)(ii) Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 8777)
34-79859
Jan. 23, 2017
SR-BatsBZX-2016-42
Notice of Withdrawal of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: Rel. No. 34-78849 , Rel. No. 34-78453 Federal Register version (82 FR 8632)
34-79865
Jan. 23, 2017
SR-BatsBZX-2017-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Convert the Listing of the Shares of the SPDR DoubleLine Short Term Total Return Tactical ETF and the SPDR DoubleLine Emerging Markets Fixed Income ETF, Both of Which Are a Series of the SSGA Active Trust, Pursuant to BZX Rule 14.11(i), Managed Fund Shares Comments Due: Federal Register version (82 FR 8642)
34-79864
Jan. 23, 2017
SR-NYSEArca-2016-97
Notice of Withdrawal of a Proposed Rule Change Relating to the Listing and Trading of Shares of the PowerShares Government Collateral Pledge Portfolio Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-79131 , Rel. No. 34-78750 , Rel. No. 34-78373 Federal Register version (82 FR 8641)
34-79862
Jan. 23, 2017
SR-NASDAQ-2017-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Gabelli All Cap NextShares of the Gabelli NextShares Trust Comments Due: Federal Register version (82 FR 8645)
34-79863
Jan. 23, 2017
SR-NASDAQ-2017-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Data Fees at Rule 7023 Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 8632)
34-79861
Jan. 23, 2017
SR-C2-2017-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Give Up of a Clearing Trading Permit Holder Comments Due: Exhibit 5 Federal Register version (82 FR 8636)
34-79860
Jan. 23, 2017
SR-BatsEDGX-2016-33
Notice of Withdrawal of a Proposed Rule Change To Adopt an Options Regulatory Fee Comments Due: Rel. No. 34-78850 , Rel. No. 34-78452 Federal Register version (82 FR 8631)
34-79849
Jan. 19, 2017
SR-NASDAQ-2017-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Fees at Rule 7015(h) Assessed for VTE Terminal Connectivity Comments Due: Exhibit 5 Federal Register version (82 FR 8554)
34-79843
Jan. 19, 2017
SR-FICC-2016-801
Notice of No Objection to Advance Notice Filing to Implement a Change to the Methodology Used in the MBSD VaR Model Comments Due: Federal Register version (82 FR 8555)
34-79839
Jan. 18, 2017
SR-BatsBZX-2016-80
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure To Meet Listing Standards Comments Due: View Received Comments Rel. No. 34-80169 , Rel. No. 34-79450 Federal Register version (82 FR 8452)
34-79822
Jan. 18, 2017
SR-CHX-2017-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Examination Requirement for CHX Market Maker Authorized Traders Comments Due: Federal Register version (82 FR 8479)
34-79818
Jan. 18, 2017
SR-OCC-2017-001
Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility Comments Due: View Received Comments Federal Register version (82 FR 8455)
34-79834
Jan. 18, 2017
SR-NYSEArca-2017-01
Notice of Filing of Proposed Rule Change Amending the NYSE Arca Equities Rule 5 and Rule 8 Series Comments Due: Exhibit 5 Federal Register version (82 FR 8444)
34-79821
Jan. 18, 2017
SR-ICC-2016-014
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Provide for the Clearance of Additional Credit Default Swap Contracts Comments Due: Rel. No. 34-79892 , Rel. No. 34-79439 Federal Register version (82 FR 8450)
34-79816
Jan. 18, 2017
SR-CBOE-2017-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 8477)
34-79836
Jan. 18, 2017
SR-CBOE-2016-084
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 Rules Related to the Automated Improvement Mechanism Comments Due: View Received Comments Rel. No. 34-79499 Federal Register version (82 FR 8459)
34-79832
Jan. 18, 2017
SR-BOX-2017-01
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 (82 FR 8481)
34-79838
Jan. 18, 2017
SR-BatsEDGX-2017-05
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to EDGX Rule 21.19, Bats Auction Mechanism, as it Applies to the Equity Options Platform Comments Due: Federal Register version (82 FR 8462)
34-79806
Jan. 17, 2017
SR-NSX-2017-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.26 Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (82 FR 9263)
34-79805
Jan. 17, 2017
SR-Phlx-2016-82
Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Exception in Phlx Rule 1000(f) for Sub-MPV Split-Price Orders Comments Due: Rel. No. 34-79345 , Rel. No. 34-79023 , Rel. No. 34-78593 Federal Register version (82 FR 8241)
34-79809
Jan. 17, 2017
SR-NASDAQ-2017-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees To Implement New Incentive Comments Due: Exhibit 5 Federal Register version (82 FR 8230)
34-79810
Jan. 17, 2017
SR-NASDAQ-2016-161
Notice of Designation of Longer Period for Commission Action on 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 Rel. No. 34-81097 , Rel. No. 34-80149 , Rel. No. 34-79428 Federal Register version (82 FR 8244)
34-79811
Jan. 17, 2017
SR-ISE-2017-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (82 FR 8244)
34-79808
Jan. 17, 2017
SR-CBOE-2017-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 8252)
34-79807
Jan. 17, 2017
SR-C2-2017-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 8238)
34-79800
Jan. 13, 2017
SR-ISEGemini-2017-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (82 FR 7906)
34-79792
Jan. 13, 2017
SR-NYSEARCA-2016-176
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the EtherIndex Ether Trust Under NYSE Arca Equities Rule 8.201 Comments Due: View Received Comments Rel. No. 34-81538 , Rel. No. 34-81155 , Rel. No. 34-80501 , Rel. No. 34-80094 Federal Register version (82 FR 7891)
34-79793
Jan. 13, 2017
SR-NYSEArca-2016-177
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the USCF Canadian Crude Oil Index Fund Under NYSE Arca Equities Rule 8.200 Comments Due: View Received Comments Rel. No. 34-81177 , Rel. No. 34-80486 , Rel. No. 34-80180 , Rel. No. 34-81655 Federal Register version (82 FR 7885)
34-79802
Jan. 13, 2017
SR-NYSEArca-2016-96
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, 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. 34-79111 , Rel. No. 34-78727 , Rel. No. 34-78345 Federal Register version (82 FR 7884)
34-79791
Jan. 13, 2017
SR-NASDAQ-2017-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7018 Comments Due: Exhibit 5 Federal Register version (82 FR 7907)
34-79801
Jan. 13, 2017
SR-MSRB-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 Extend the MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and To Modernize Those Rules Comments Due: View Received Comments Exhibit 4 , Exhibit 5 , Rel. No. 34-79295 Federal Register version (82 FR 7898)
34-79796
Jan. 13, 2017
SR-C2-2017-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 7904)
34-79775
Jan. 12, 2017
SR-BatsBZX-2017-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange's Equity Options Platform Comments Due: Exhibit 5 Federal Register version (82 FR 6678)
34-79782
Jan. 12, 2017
SR-Phlx-2017-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Cabinet Trading Pilot Program Comments Due: Federal Register version (82 FR 6667)
34-79784
Jan. 12, 2017
SR-NASDAQ-2016-135
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Relating to Continued Listing Requirements for Exchange-Traded Products Comments Due: View Received Comments Rel. No. 34-79399 , Rel. No. 34-79081 Federal Register version (82 FR 6664)
34-79778
Jan. 12, 2017
SR-PEARL-2016-01
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 (82 FR 6662)
34-79783
Jan. 12, 2017
SR-CBOE-2016-080
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend CBOE Rule 6.53C Comments Due: View Received Comments Rel. No. 34-79406 Federal Register version (82 FR 6673)
34-79779
Jan. 12, 2017
4-678
Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL, LLC Rel. No. 34-79974 , Rel. No. 34-73383 , Rel. No. 34-73641 Federal Register version (82 FR 6674)
34-79773
Jan. 11, 2017
SR-BatsEDGA-2017-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect Comments Due: Exhibit 5 Federal Register version (82 FR 5619)
34-79774
Jan. 11, 2017
SR-BatsEDGX-2017-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect Comments Due: Exhibit 5 Federal Register version (82 FR 5615)
34-79766
Jan. 10, 2017
SR-BatsBZX-2016-92
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Fees To Adopt a New Cross-Asset Step-Up Tier Comments Due: Exhibit 5 Federal Register version (82 FR 4954)
34-79770
Jan. 10, 2017
SR-NASDAQ-2016-173
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce the All-Inclusive Annual Listing Fee for Limited Partnerships Listed on Nasdaq Comments Due: Federal Register version (82 FR 4947)
34-79768
Jan. 10, 2017
SR-BOX-2016-48
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Rules for an Open-Outcry Trading Floor Comments Due: View Received Comments Rel. No. 34-81292 , Rel. No. 34-80720 , Rel. No. 34-80719 , Rel. No. 34-80134 , Rel. No. 34-79421 Federal Register version (82 FR 4956)
34-79769
Jan. 10, 2017
SR-BatsEDGX-2017-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Fee Schedule of the Exchange's Options Platform To Adopt Fees for its Recently Adopted Bats Auction Mechanism Comments Due: Exhibit 5 Federal Register version (82 FR 4941)
34-79758
Jan. 9, 2017
SR-BatsBZX-2016-89
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect Comments Due: Exhibit 5 Federal Register version (82 FR 4430)
