34-78587
Aug. 16, 2016
SR-NYSEArca-2016-87
Notice of Designation of a Longer Period for Commission Action on 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. 34-78191 , Rel. No. 34-78644 Federal Register version (81 FR 56728)
34-78589
Aug. 16, 2016
SR-NYSE-2016-55
Notice of Filing of Proposed Rule Change Adopting Maximum Fees Member Organizations may Charge in Connection With the Distribution of Investment Company Shareholder Reports Pursuant to Any Electronic Delivery Rules Adopted by the Securities and Exchange Commission Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79370 , Rel. No. 34-79051 , 34-79355 Federal Register version (81 FR 56717)
34-78576
Aug. 15, 2016
SR-Phlx-2016-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 55496)
34-78578
Aug. 15, 2016
SR-NASDAQ-2016-109
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7047 Comments Due: Exhibit 5 Federal Register version (81 FR 55513)
34-78573
Aug. 15, 2016
SR-FINRA-2016-032
Notice of Filing of a 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 Exhibit 2a , Exhibit 2b , Exhibit 2c , Exhibit 2d , Exhibit 2e , Exhibit 2f , Exhibit 5 , Rel. No. 34-79346 , Rel. No. 34-78965 Federal Register version (81 FR 55500)
34-78567
Aug. 12, 2016
SR-NASDAQ-2016-115
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7018 Comments Due: Exhibit 5 Federal Register version (81 FR 55245)
34-78565
Aug. 12, 2016
SR-BOX-2016-40
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt a New Fee in Section V (Technology Fees) of the BOX Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 55251)
34-78543
Aug. 11, 2016
SR-BatsBZX-2016-45
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees Comments Due: Exhibit 5 Federal Register version (81 FR 54904)
34-78542
Aug. 11, 2016
SR-BatsBYX-2016-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees Comments Due: Exhibit 5 Federal Register version (81 FR 54896)
34-78548
Aug. 11, 2016
SR-NYSEMKT-2016-74
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 54887)
34-78544
Aug. 11, 2016
SR-NYSEMKT-2016-73
Notice of Filing of Proposed Rule Change Amending Rule 980NY(d) To Provide for the Rejection of Certain Electronic Complex Orders Comments Due: Exhibit 5 , Rel. No. 34-78888 Federal Register version (81 FR 54893)
34-78545
Aug. 11, 2016
SR-NYSEArca-2016-111
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Related to Tier 1 and Cross Asset Tier 2 Fees and Credits for Orders Executed on the Exchange, and Eliminate the Routable Retail Order Tier Comments Due: Exhibit 5 Federal Register version (81 FR 54891)
34-78546
Aug. 11, 2016
SR-NYSEARCA-2016-109
Notice of Filing of Proposed Rule Change Amending Rule 6.91(b) To Provide for the Rejection of Certain Electronic Complex Orders Comments Due: Exhibit 5 , Rel. No. 34-78888 Federal Register version (81 FR 54867)
34-78556
Aug. 11, 2016
SR-NYSE-2016-45
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. 34-80311 , Rel. No. 34-80002 , Rel. No. 34-79674 , Rel. No. 34-79316 , Rel. No. 34-78966 , Rel. No. 34-78887 Federal Register version (81 FR 54877)
34-78547
Aug. 11, 2016
SR-MIAX-2016-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 517 Comments Due: Exhibit 5 Federal Register version (81 FR 54911)
34-78550
Aug. 11, 2016
SR-IEX-2016-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction and Regulatory Fees Comments Due: Exhibit 5 Federal Register version (81 FR 54873)
34-78555
Aug. 11, 2016
SR-IEX-2016-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform to Rules of the Financial Industry Regulatory Authority Comments Due: Federal Register version (81 FR 54897)
34-78549
Aug. 11, 2016
SR-FINRA-2016-029
Notice of Filing of a Proposed Rule Change Amending the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Require All Parties Other Than Pro Se Comments Due: View Received Comments Rel. No. 34-79296 Federal Register version (81 FR 54858)
34-78553
Aug. 11, 2016
SR-FINRA-2016-030
Notice of Filing of a Proposed Rule Change Amending Rule 12504 of the Code of Arbitration Procedure for Customer Disputes and Rule 13504 of the Code of Arbitration Procedure for Industry Disputes Relating to Motions To Dismiss in Arbitration Comments Due: View Received Comments Rel. No. 34-34-79285 Federal Register version (81 FR 54888)
34-78557
Aug. 11, 2016
SR-FINRA-2016-015
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitration Procedure for Industry Disputes To Permit Award Offsets in Arbitration, as Modified by Amendment No. 1 Comments Due: Rel. No. 34-77844 Federal Register version (81 FR 54901)
34-78554
Aug. 11, 2016
SR-CBOE-2016-059
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to COPS Comments Due: Federal Register version (81 FR 54870)
34-78552
Aug. 11, 2016
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, 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. 34-79928 Federal Register version (81 FR 54905)
34-78536
Aug. 10, 2016
SR-BatsEDGA-2016-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees Comments Due: Exhibit 5 Federal Register version (81 FR 54624)
34-78527
Aug. 10, 2016
SR-BatsBZX-2016-47
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Closing Contingency Procedure Comments Due: Exhibit 5 Federal Register version (81 FR 54628)
34-78526
Aug. 10, 2016
SR-OCC-2016-008
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise The Options Clearing Corporation's Schedule of Fees Comments Due: Exhibit 5 , Exhibit 5 Federal Register version (81 FR 54632)
34-78529
Aug. 10, 2016
SR-FICC-2016-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a Clearing Fund Maintenance Fee Comments Due: Exhibit 5 Federal Register version (81 FR 54626)
34-78530
Aug. 10, 2016
SR-DTC-2016-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a Participants Fund Maintenance Fee Comments Due: Exhibit 5 Federal Register version (81 FR 54639)
34-78534
Aug. 10, 2016
SR-CBOE-2016-060
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 54631)
34-78535
Aug. 10, 2016
SR-BatsEDGX-2016-42
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (81 FR 54640)
34-78517
Aug. 9, 2016
SR-BatsBZX-2016-44
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange's Options Platform Comments Due: Exhibit 5 Federal Register version (81 FR 54134)
34-78521
Aug. 9, 2016
SR-NYSEArca-2016-108
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Change in the Permitted Size of a Basket Applicable to Shares of ETFS Physical Silver Shares Issued by the ETFS Silver Trust Comments Due: Federal Register version (81 FR 54142)
34-78523
Aug. 9, 2016
SR-NYSEArca-2016-107
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of Cumberland Municipal Bond ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-78949 , Rel. No. 34-79293 Federal Register version (81 FR 54155)
34-78512
Aug. 9, 2016
SR-NYSE-2016-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123D Relating to When a DMM May Reopen a Security Electronically Comments Due: Exhibit 5 Federal Register version (81 FR 54149)
34-78525
Aug. 9, 2016
SR-NSCC-2016-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a Clearing Fund Maintenance Fee Comments Due: Exhibit 5 Federal Register version (81 FR 54146)
34-78519
Aug. 9, 2016
SR-MIAX-2016-21
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 54162)
34-78509
Aug. 9, 2016
SR-IEX-2016-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.190(f) To Make Correcting and Clarifying Changes Comments Due: Exhibit 5 Federal Register version (81 FR 54140)
34-78510
Aug. 9, 2016
SR-IEX-2016-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.190(g) Related to Discretionary Peg Orders Comments Due: Exhibit 5 Federal Register version (81 FR 54166)
34-78520
Aug. 9, 2016
SR-DTC-2016-005
Notice of Filing of Proposed Rule Change 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: Exhibit 5 , Rel. No. 34-78935 Federal Register version (81 FR 54170)
34-78511
Aug. 9, 2016
SR-CBOE-2016-049
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To List Options That Overlie the FTSE Developed Europe Index and the FTSE Emerging Index, To Raise the Comprehensive Surveillance Agreement Percentage Applicable to Certain Index Options, and To Amend the Maintenance Listing Criteria Applicable to Certain Index Options Comments Due: Rel. No. 34-78760 , Rel. No. 34-78177 Federal Register version (81 FR 54173)
34-78513
Aug. 9, 2016
SR-CBOE-2016-058
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 24.6 Comments Due: Federal Register version (81 FR 54137)
34-78508
Aug. 9, 2016
SR-C2-2016-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 54144)
34-78514
Aug. 9, 2016
SR-BOX-2016-38
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 54147)
34-78522
Aug. 9, 2016
SR-BatsEDGX-2016-40
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange's Options Platform Comments Due: Federal Register version (81 FR 54152)
34-78503
Aug. 8, 2016
SR-CHX-2016-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update or Adopt Various Fees for Services Provided by the Financial Industry Regulatory Authority Comments Due: Exhibit 5 Federal Register version (81 FR 53519)
34-78504
Aug. 8, 2016
SR-CHX-2016-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Continuing Education Fees Comments Due: Exhibit 5 Federal Register version (81 FR 53523)
34-78500
Aug. 8, 2016
SR-NYSEMKT-2016-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE MKT Rule 19-Equities To Specify in Exchange Rules the Exchange's Use of Data Feeds From Investors' Exchange, LLC for Order Handling and Execution, Order Routing, and Regulatory Compliance Comments Due: Exhibit 5 Federal Register version (81 FR 53521)
34-78497
Aug. 8, 2016
SR-NYSEARCA-2016-110
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 3 of NYSE Arca Equities Rule 8 To Extend the Effectiveness of the Exchange Traded Product Incentive Program Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 53524)
34-78499
Aug. 8, 2016
SR-NYSEArca-2016-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify in Exchange Rules the Exchange's Use of Data Feeds From Investors' Exchange, LLC for Order Handling and Execution, Order Routing, and Regulatory Compliance Comments Due: Exhibit 5 Federal Register version (81 FR 53518)
34-78498
Aug. 8, 2016
SR-NYSE-2016-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 19 To Specify in Exchange Rules the Exchange's Use of Data Feeds From Investors' Exchange, LLC for Order Handling and Execution, Order Routing, and Regulatory Compliance Comments Due: Exhibit 5 Federal Register version (81 FR 53531)
34-78505
Aug. 8, 2016
SR-MIAX-2016-23
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 53527)
34-78502
Aug. 8, 2016
SR-IEX-2016-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 9.218 To Specify the List of Violations Eligible for Disposition Under IEX's Minor Rule Violation Plan Comments Due: Federal Register version (81 FR 53509)
34-78483
Aug. 5, 2016
SR-NYSEMKT-2016-68
Notice of Filing of Proposed Rule Change, Rule Change, as Modified by Amendment No. 1, Amending NYSE Rule 49-Equities Regarding: (1) The Exchange's Emergency Powers; (2) the Exchange's Disaster Recovery Plans; and (3) Exchange Backup Systems and Mandatory Testing Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (81 FR 53176)
34-78485
Aug. 5, 2016
SR-NYSEArca-2016-115
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 53184)
34-78484
Aug. 5, 2016
SR-NYSE-2016-48
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Rule 49 Regarding: (1) The Exchange's Emergency Powers; (2) the Exchange's Disaster Recovery Plans; and (3) Exchange Backup Systems and Mandatory Testing Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (81 FR 53180)
34-78482
Aug. 5, 2016
SR-IEX-2016-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.270(c) Concerning Clearly Erroneous Executions Comments Due: Exhibit 5 Federal Register version (81 FR 53174)
34-78479
Aug. 4, 2016
SR-NYSEArca-2016-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 52920)
34-78477
Aug. 4, 2016
4-668
Notice of Filing and Immediate Effectiveness of Amendment No. 4 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Comments Due: View Received Comments Exhibit B Federal Register version (81 FR 52917)
34-78480
Aug. 4, 2016
SR-NASDAQ-2016-097
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Detection of Loss of Connection Comments Due: Exhibit 5 Federal Register version (81 FR 52926)
34-78481
Aug. 4, 2016
SR-IEX-2016-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 11.340(b) To Set Forth the Requirements for the Collection and Transmission of Data Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 52933)
34-78478
Aug. 4, 2016
SR-C2-2016-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to AIM Retained Orders Comments Due: Exhibit 5 Federal Register version (81 FR 52922)
34-78475
Aug. 3, 2016
SR-IEX-2016-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.330 To Combine the TOPS and LAST Data Products and Make Minor Correcting and Conforming Changes to the Description of TOPS Viewer Comments Due: Exhibit 5 Federal Register version (81 FR 52730)
34-78472
Aug. 3, 2016
SR-BatsEDGX-2016-35
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.21, Retail Orders, To Conform to the Rules of Bats BZX Exchange, Inc. and Bats BYX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 52718)
34-78473
Aug. 3, 2016
4-566
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Chicago Stock Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ BX, Inc., NASDAQ PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., and Investors Exchange LLC Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules Comments Due: Federal Register version (81 FR 52722)
34-78459
Aug. 2, 2016
SR-BatsEDGA-2016-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC Comments Due: Exhibit 5a , Exhibit 5b , Exhibit 5c , Exhibit 5d , Exhibit 5e Federal Register version (81 FR 52491)
34-78454
Aug. 2, 2016
SR-BatsBZX-2016-46
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program Comments Due: Exhibit 5 Federal Register version (81 FR 52494)
34-78455
Aug. 2, 2016
SR-BatsBZX-2016-43
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC Comments Due: Exhibit 5 Federal Register version (81 FR 52504)
34-78456
Aug. 2, 2016
SR-BatsBYX-2016-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC Comments Due: Exhibit 5 Federal Register version (81 FR 52503)
34-78462
Aug. 2, 2016
SR-NASDAQ-2016-101
Notice of Filing of Proposed Rule Change To Add Nasdaq Rule 7046 (Nasdaq Trading Insights) Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78886 Federal Register version (81 FR 52486)
34-78461
Aug. 2, 2016
SR-C2-2016-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopting a Principles-Based Approach To Prohibit the Misuse of Material Nonpublic Information by Market-Makers and Designated Primary Market-Makers ("DPMs") Comments Due: Exhibit 5 Federal Register version (81 FR 52498)
34-78460
Aug. 2, 2016
SR-BatsEDGX-2016-36
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC Comments Due: Exhibit 5a , Exhibit 5b , Exhibit 5c , Exhibit 5d , Exhibit 5e Federal Register version (81 FR 52496)
34-78453
Aug. 1, 2016
SR-BatsBZX-2016-42
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: Exhibit 5 , Rel. No. 34-78849 Federal Register version (81 FR 51954)
34-78451
Aug. 1, 2016
SR-NASDAQ-2016-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Eaton Vance Floating-Rate & High Income NextShares of the Eaton Vance NextShares Trust II Comments Due: Federal Register version (81 FR 51946)
34-78450
Aug. 1, 2016
SR-CBOE-2016-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 9/10 Examination Program Comments Due: Federal Register version (81 FR 51949)
34-78449
Aug. 1, 2016
SR-BOX-2016-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Rules Regarding Participants and Associated Persons Who Are or Become Subject to a Statutory Disqualification Comments Due: Exhibit 5 Federal Register version (81 FR 51947)
34-78452
Aug. 1, 2016
SR-BatsEDGX-2016-33
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt an Options Regulatory Fee Comments Due: Exhibit 5 , Rel. No. 34-78850 Federal Register version (81 FR 51951)
34-78445
July 29, 2016
SR-CHX-2016-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Securities Trader Registration Category and the Series 57 Securities Trader Examination Registration Requirement Comments Due: Exhibit 5 Federal Register version (81 FR 51513)
34-78446
July 29, 2016
SR-CHX-2016-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Web-Based Delivery of the Continuing Education Program Comments Due: Exhibit 5 Federal Register version (81 FR 51530)
34-78442
July 29, 2016
SR-NYSE-2016-31
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSE Rule 6A To Exclude the Physical Area Within Fully Enclosed Telephone Booths Located in 18 Broad Street From the Definition of Trading Floor Comments Due: Rel. No. 34-78855 , Rel. No. 34-78057 Federal Register version (81 FR 51521)
34-78441
July 29, 2016
4-698
Notice of Designation of Longer Period for Commission Action on the Proposed National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, the Investors' Exchange, LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Comments Due: Federal Register .
View Received Comments Rel. No. 34-77724 Federal Register version (81 FR 51527)
34-78447
July 29, 2016
SR-IEX-2016-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Typographical Errors in Certain Referenced Time Frames Comments Due: Exhibit 5 Federal Register version (81 FR 51528)
34-78448
July 29, 2016
SR-ICC-2016-010
Notice of Filing of Proposed Rule Change To Revise the ICC Risk Management Model Description Document and the ICC Risk Management Framework Comments Due: Rel. No. 34-78846 , Rel. No. 34-79220 Federal Register version (81 FR 51532)
34-78444
July 29, 2016
SR-BOX-2016-37
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Detail How Complex Orders Will Execute Through the Facilitation Auction Mechanism Comments Due: Exhibit 5 Federal Register version (81 FR 51533)
34-78438
July 28, 2016
SR-OCC-2016-002
Notice of Filing of Proposed Rule Change Concerning Enhancements to The Options Clearing Corporation's Governance Arrangements Comments Due: Exhibit 5a , Rel. No. 34-78862 , Exhibit 5a , Rel. No. 34-78862 Federal Register version (81 FR 51220)
34-78432
July 28, 2016
SR-NYSEMKT-2016-58
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Amendments to NYSE MKT Rules 1600 et seq. Comments Due: View Received Comments Rel. No. 34-79561 , Rel. No. 34-79510 , Rel. No. 34-78804 , Rel. No. 34-78000 Federal Register version (81 FR 51248)
34-78433
July 28, 2016
SR-NYSEArca-2016-100
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of 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. 34-78840 Federal Register version (81 FR 51241)
34-78436
July 28, 2016
SR-NYSE-2016-51
Notice of Filing of Proposed Rule Change Amending the Ninth Amended and Restated Operating Agreement of the Exchange Comments Due: Exhibit 5 , Rel. No. 34-78805 Federal Register version (81 FR 51249)
34-78431
July 28, 2016
SR-BX-2016-045
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 51258)
34-78437
July 28, 2016
SR-NASDAQ-2016-056
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the PowerShares Variable Rate Investment Grade Portfolio, a Series of the PowerShares Actively Managed Exchange-Traded Fund Trust Comments Due: View Received Comments Rel. No. 34-78063 , Rel. No. 34-77715 Federal Register version (81 FR 51251)
34-78435
July 28, 2016
SR-FINRA-2016-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Operation of the Regulation NMS Plan To Address Extraordinary Market Volatility Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 51239)
34-78422
July 27, 2016
SR-NYSEARCA-2016-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a New NYSE Arca Rule 13.9 and a New NYSE Arca Equities Rule 11.9 and To Make Conforming Changes to NYSE Arca Rule 3.2 and NYSE Arca Equities Rule 3.2 Comments Due: Exhibit 5 Federal Register version (81 FR 50750)
34-78425
July 27, 2016
SR-NYSEArca-2016-84
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Global Currency Gold Fund Under NYSE Arca Equities Rule 8.201 Comments Due: View Received Comments Rel. No. 34-79518 , Rel. No. 34-78859 , Rel. No. 34-78075 Federal Register version (81 FR 50759)
34-78426
July 27, 2016
SR-NYSEArca-2016-101
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust Under NYSE Arca Equities Rule 8.201 Comments Due: Exhibit 3 , Rel. No. 34-80319 , Rel. No. 34-80099 , Rel. No. 34-79726 , Rel. No. 34-79171 , Rel. No. 34-78770 Federal Register version (81 FR 50763)
34-78416
July 27, 2016
SR-IEX-2016-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Collection of Exchange Fees and Other Claims and Billing Policy Comments Due: Exhibit 5 Federal Register version (81 FR 50573)
34-78420
July 27, 2016
SR-IEX-2016-02
Notice of Filing of Proposed Rule Change To Amend Rule 11.230 To Rename the "Router Plus" Routing Option to "Router" Comments Due: Exhibit 5 Federal Register version (81 FR 50572)
34-78427
July 27, 2016
SR-BOX-2016-34
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 50777)
34-78428
July 27, 2016
SR-BOX-2016-36
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 50761)
34-78419
July 26, 2016
SR-Phlx-2016-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rule 754 (Employees' Discretion as to Customers' Accounts) Comments Due: Federal Register version (81 FR 50582)
34-78421
July 26, 2016
SR-C2-2016-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 50580)
34-78403
July 25, 2016
SR-NSX-2016-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to NSX Rule 11.25(a), Stating it Will Utilize IEX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 50028)
34-78408
July 25, 2016
SR-Phlx-2016-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Public Disclosure of Exchange Usage of Market Data Comments Due: Federal Register version (81 FR 50026)
