34-78248
July 7, 2016
SR-CFE-2016-003
Notice of Proposed Rule Change Regarding Account and Order Ticket Information Comments Due: Exhibit 4 Federal Register version (81 FR 45326)
34-78245
July 7, 2016
SR-Phlx-2016-58
Notice of Filing of Proposed Rule Change To Adopt Limit Order Protection Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78667 Federal Register version (81 FR 45337)
34-78241
July 7, 2016
SR-NYSEMKT-2016-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Rule 904 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 45325)
34-78240
July 7, 2016
SR-NYSEArca-2016-64
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the AdvisorShares KIM Korea Equity ETF Comments Due: View Received Comments Rel. No. 34-79062 , Rel. No. 34-78614 , Rel. No. 34-77847 Federal Register version (81 FR 45332)
34-78242
July 7, 2016
SR-NYSEArca-2016-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Rule 6.8 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 45330)
34-78244
July 7, 2016
SR-BX-2016-037
Notice of Filing of Proposed Rule Change To Adopt Limit Order Protection Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78667 Federal Register version (81 FR 45320)
34-78249
July 7, 2016
SR-BX-2016-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend PRISM Pilot Program Through January 18, 2017 Comments Due: Exhibit 5 Federal Register version (81 FR 45334)
34-78250
July 7, 2016
SR-BX-2016-039
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Implement the Quoting and Trading Provisions of the Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 45340)
34-78246
July 7, 2016
SR-NASDAQ-2016-067
Notice of Filing of Proposed Rule Change To Adopt Limit Order Protection Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78667 Federal Register version (81 FR 45332)
34-78251
July 7, 2016
SR-NASDAQ-2016-093
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Implement the Quoting and Trading Provisions of the Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 45315)
34-78237
July 7, 2016
SR-FINRA-2016-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Application of FINRA Rule 2210 ("Communications With the Public") to Debt Research Reports Comments Due: Exhibit 5 Federal Register version (81 FR 45328)
34-78243
July 7, 2016
SR-BOX-2016-28
Notice of Filing of Proposed Rule Change To Expand the Short Term Option Series Program To Allow Wednesday Expirations for SPY Options Comments Due: Exhibit 5 , Rel. No. 34-78668 Federal Register version (81 FR 45346)
34-78247
July 7, 2016
SR-BOX-2016-31
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-3120-2 to Rule 3120 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF ("SPY") ("SPY Pilot Program") Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 45348)
34-78236
July 6, 2016
SR-BatsBZX-2016-26
Notice of Filing of 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 Exhibit 5 , Rel. No. 34-79069 , Rel. No. 34-78640 Federal Register version (81 FR 45185)
34-78232
July 6, 2016
SR-PHLX-2016-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3100 Comments Due: Exhibit 5 Federal Register version (81 FR 45194)
34-78233
July 6, 2016
SR-NYSE-2016-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Comments Due: Exhibit 5 Federal Register version (81 FR 45190)
34-78234
July 6, 2016
SR-BX-2016-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4120 Comments Due: Exhibit 5 Federal Register version (81 FR 45188)
34-78235
July 6, 2016
SR-C2-2016-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules Related to Execution and Priority Comments Due: Exhibit 5 Federal Register version (81 FR 45196)
34-78226
July 5, 2016
SR-BatsBZX-2016-31
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Interpretation and Policy .01 to Rule 16.1 To Specify the Calculation Methodology for Counting Professional Orders Comments Due: Exhibit 5 Federal Register version (81 FR 44903)
34-78228
July 5, 2016
SR-NYSE-2016-24
Notice of Filing of Partial Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 2 and 3, Relating to Pre-Opening Indications and Opening Procedures Comments Due: View Received Comments Rel. No. 34-77829 , Rel. No. 34-77491 Federal Register version (81 FR 44907)
34-78225
July 5, 2016
SR-NASDAQ-2016-072
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the Amplify Dow Theory Forecasts Buy List ETF of Amplify ETF Trust Comments Due: Rel. No. 34-77890 , Rel. No. 34-78626 Federal Register version (81 FR 44902)
34-78227
July 5, 2016
SR-NASDAQ-2016-061
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the First Trust Equity Market Neutral ETF of the First Trust Exchange-Traded Fund VIII Comments Due: Rel. No. 34-78592 , Rel. No. 34-77854 Federal Register version (81 FR 44907)
34-78218
July 1, 2016
SR-NYSEArca-2016-82
Notice of Filing of 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. 34-78610 Federal Register version (81 FR 44339)
34-78223
July 1, 2016
SR-NASDAQ-2016-013
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Board of Director's Members or Nominees Comments Due: View Received Comments Rel. No. 34-77879 , Rel. No. 34-77481 Federal Register version (81 FR 44400)
34-78222
July 1, 2016
SR-MIAX-2016-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 44390)
34-78219
July 1, 2016
SR-FINRA-2016-024
Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) Comments Due: View Received Comments Exhibit 2a , Exhibit 2b , Exhibit 2c , Exhibit 5 Federal Register version (81 FR 44359)
34-78220
July 1, 2016
SR-FINRA-2015-054
Notice of Filing of Partial Amendment No. 2 to Proposed Rule Change To Adopt FINRA Capital Acquisition Broker Rules Comments Due: Exhibit 4 , Exhibit 5 , Rel. No. 34-78617 , Rel. No. 34-77581 , Rel. No. 34-77391 , Rel. No. 34-76675 Federal Register version (81 FR 44372)
34-78221
July 1, 2016
SR-BatsEDGX-2016-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Interpretation and Policy .01 to Rule 16.1 To Specify the Calculation Methodology for Counting Professional Orders Comments Due: Exhibit 5 Federal Register version (81 FR 44353)
34-78202
June 30, 2016
SR-ISEMercury-2016-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 44377)
34-78201
June 30, 2016
SR-ISE-Gemini-2016-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 44393)
34-78198
June 30, 2016
SR-NYSEMKT-2016-52
Notice for Securities Industry Registration Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79055 , Rel. No. 34-78598 , Rel. No. 34-80154 Federal Register version (81 FR 44363)
34-78204
June 30, 2016
SR-NYSEArca-2016-67
Notice of Designation of a Longer Period for Commission Action on 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. 34-78758 , Rel. No. 34-78627 , Rel. No. 34-77861 Federal Register version (81 FR 44393)
34-78207
June 30, 2016
SR-NYSEArca-2016-70
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Regarding Use of Rule 144A Securities By the Fidelity Corporate Bond ETF, Fidelity Investment Grade Bond ETF, Fidelity Limited Term Bond ETF, and Fidelity Total Bond ET Comments Due: View Received Comments Rel. No. 34-77891 , Rel. No. 34-78712 , Rel No. 34-79384 Federal Register version (81 FR 44338)
34-78199
June 30, 2016
SR-BX-2016-035
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Professional Designation Comments Due: Exhibit 5 Federal Register version (81 FR 44373)
34-78200
June 30, 2016
SR-NASDAQ-2016-091
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professionals Order Counting Comments Due: Exhibit 5 Federal Register version (81 FR 44349)
34-78208
June 30, 2016
SR-NASDAQ-2016-092
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule To Prohibit Disruptive Quoting and Trading Activity Comments Due: Exhibit 5 Federal Register version (81 FR 44366)
34-78203
June 30, 2016
SR-ISE-2016-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 44404)
34-78205
June 30, 2016
SR-ICC-2016-009
Notice of Filing of Proposed Rule Change To Revise the ICC Treasury Operations Policies and Procedures Comments Due: Rel. No. 34-78566 Federal Register version (81 FR 44357)
34-78193
June 29, 2016
SR-BatsBZX-2016-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Interpretation and Policy .01 From Rule 11.13, Order Execution and Routing Comments Due: Exhibit 5 Federal Register version (81 FR 44076)
34-78194
June 29, 2016
SR-BatsBYX-2016-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Interpretation and Policy .01 From Rule 11.13, Order Execution and Routing Comments Due: Exhibit 5 Federal Register version (81 FR 44073)
34-78192
June 29, 2016
SR-Phlx-2016-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Detection of Loss of Connection Comments Due: Exhibit 5 Federal Register version (81 FR 44079)
34-78191
June 29, 2016
SR-NYSEArca-2016-87
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of First Trust Horizon Managed Volatility Domestic ETF and 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. 34-78644 Federal Register version (81 FR 44056)
34-78196
June 29, 2016
SR-FINRA-2016-023
Notice of Filing of a Proposed Rule Change To Increase Transparency for CMO Transactions Comments Due: View Received Comments Exhibit 2a , Exhibit 2b , Exhibit 2c , Exhibit 5 , Rel. No. 34-78925 Federal Register version (81 FR 44065)
34-78180
June 28, 2016
SR-BatsBYX-2016-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24, Retail Price Improvement Program, To Extend the Pilot Period Comments Due: Exhibit 5 Federal Register version (81 FR 43306)
34-78176
June 28, 2016
SR-NYSEMKT-2016-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY in Order To Extend the Penny Pilot Through December 31, 2016 Comments Due: Exhibit 5 Federal Register version (81 FR 43320)
34-78174
June 28, 2016
SR-NYSEArca-2016-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to Exchange Rule 6.72 in Order To Extend the Penny Pilot Through December 31, 2016 Comments Due: Exhibit 5 Federal Register version (81 FR 43332)
34-78181
June 28, 2016
SR-NYSEArca-2016-44
Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add a New Discretionary Pegged Order Comments Due: View Received Comments Rel. No. 34-77820 , Rel. No. 34-77441 Federal Register version (81 FR 43297)
34-78175
June 28, 2016
SR-NASDAQ-2016-088
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce the Fees for Certain Real Estate Investment Trusts Listed on Nasdaq Comments Due: Federal Register version (81 FR 43327)
34-78188
June 28, 2016
SR-NASDAQ-2016-082
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the AdvisorShares Market Adaptive Unconstrained Income ETF of the AdvisorShares Trust Comments Due: Federal Register version (81 FR 43678)
34-78186
June 28, 2016
SR-MSRB-2016-08
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50) Comments Due: Exhibit 3a , Exhibit 3b Federal Register version (81 FR 43687)
34-78182
June 28, 2016
SR-FINRA-2016-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) Comments Due: Exhibit 5 Federal Register version (81 FR 43690)
34-78177
June 28, 2016
SR-CBOE-2016-049
Notice of Filing of a 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: Exhibit 3 , Exhibit 5 , Rel. No. 34-78760 , Rel. No. 34-78511 Federal Register version (81 FR 43308)
34-78187
June 28, 2016
SR-C2-2016-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Professionals Order Counting Comments Due: Federal Register version (81 FR 43681)
34-78171
June 28, 2016
SR-BOX-2016-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7150 (Price Improvement Period ("PIP")) To Establish the Quality Market Maker Allocation in a PIP Order Comments Due: Exhibit 5 Federal Register version (81 FR 43322)
34-78172
June 28, 2016
SR-BOX-2016-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7260 by Extending the Penny Pilot Program Through December 31, 2016 Comments Due: Exhibit 5 Federal Register version (81 FR 43325)
34-78179
June 28, 2016
4-700
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Investors' Exchange LLC Comments Due: Rel. No. 34-78434 Federal Register version (81 FR 43673)
34-78162
June 27, 2016
SR-BatsEDGA-2016-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 13.8(b) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price Comments Due: Exhibit 5 Federal Register version (81 FR 43315)
34-78164
June 27, 2016
SR-BatsBZX-2016-27
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.22(j) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price Comments Due: Exhibit 5 Federal Register version (81 FR 43295)
34-78165
June 27, 2016
SR-BatsBYX-2016-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.22(i) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price Comments Due: Exhibit 5 Federal Register version (81 FR 43330)
34-78157
June 27, 2016
SR-NYSEArca-2016-62
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio Comments Due: View Received Comments Rel. No. 34-79767 , Rel. No. 34-78564 , Rel. No. 34-77849 , Rel. No. 34-79173 Federal Register version (81 FR 43327)
34-78163
June 27, 2016
SR-BatsEDGX-2016-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 13.8(b) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price Comments Due: Exhibit 5 Federal Register version (81 FR 43318)
34-78151
June 24, 2016
SR-OCC-2016-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Acceptance of Pass-Through Letters of Credit as a Form of Margin Asset Comments Due: Federal Register version (81 FR 42777)
34-78155
June 24, 2016
SR-NYSEMKT-2016-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a Temporary Suspension of Those Aspects of Rules 36.20-Equities and 36.21-Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Floor Broker Telephone Services Comments Due: Federal Register version (81 FR 42779)
34-78152
June 24, 2016
SR-NYSEArca-2016-90
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Widen Price Collar Thresholds for the Core Open Auction and Trading Halt Auctions Comments Due: Federal Register version (81 FR 42781)
34-78154
June 24, 2016
SR-NYSE-2016-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Floor Broker Telephone Services Comments Due: Federal Register version (81 FR 42766)
34-78149
June 24, 2016
SR-NASDAQ-2016-085
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Listed Companies Not Currently Subject to Nasdaq's All-Inclusive Annual Listing Fee To Opt In to That Fee Program for 2017 Comments Due: Exhibit 5 Federal Register version (81 FR 42388)
34-78150
June 24, 2016
SR-NASDAQ-2016-086
Notice of Filing of Proposed Rule Change to List and Trade the Shares of the VanEck Vectors Long/Flat Commodity ETF Comments Due: View Received Comments Federal Register version (81 FR 42768)
34-78143
June 23, 2016
SR-CFE-2016-002
Notice of Proposed Rule Change To Make Clarifying Updates to Prohibited Disruptive Trading Practices Comments Due: Exhibit 4 Federal Register version (81 FR 42386)
34-78146
June 23, 2016
SR-CHX-2016-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 42380)
34-78144
June 23, 2016
SR-ICC-2016-007
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Revise the ICC End-of-Day Price Discovery Policies and Procedures Comments Due: Rel. No. 34-77771 Federal Register version (81 FR 42018)
34-78121
June 22, 2016
SR-BatsEDGA-2016-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (81 FR 42027)
34-78122
June 22, 2016
SR-BatsBYX-2016-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (81 FR 42013)
34-78126
June 22, 2016
SR-CHX-2016-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Institutional Broker Fee Cap and Credit Comments Due: Exhibit 5 Federal Register version (81 FR 42022)
34-78124
June 22, 2016
SR-Phlx-2016-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Position Limits Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 42008)
34-78129
June 22, 2016
SR-Phlx-2016-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Risk Monitor Mechanism Comments Due: Exhibit 5 Federal Register version (81 FR 42024)
34-78125
June 22, 2016
SR-BX-2016-030
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Elimination of SPY Position Limits Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 42009)
34-78123
June 22, 2016
SR-NASDAQ-2016-084
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Elimination of SPY Position Limits Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 42030)
34-78120
June 22, 2016
SR-MIAX-2016-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 307 and 309 To Extend the SPY Pilot Program Comments Due: Exhibit 3 , Exhibit 3A , Exhibit 5 Federal Register version (81 FR 42032)
34-78130
June 22, 2016
SR-FINRA-2016-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook Comments Due: Federal Register version (81 FR 42016)
34-78131
June 22, 2016
SR-CBOE-2016-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend a Pilot Program that Eliminates Position and Exercise Limits for Physically-Settled SPDR S&P 500 ETF Trust ("SPY") Options Comments Due: Exhibit 3 Federal Register version (81 FR 42011)
34-78132
June 22, 2016
SR-CBOE-2016-046
Notice of Filing of a Proposed Rule Change To Expand the Nonstandard Expirations Pilot Program Comments Due: Rel. No. 34-78531 Federal Register version (81 FR 42018)
34-78111
June 21, 2016
SR-BatsBZX-2016-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (81 FR 41638)
34-78109
June 21, 2016
SR-CHX-2016-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fingerprinting Comments Due: Exhibit 5 Federal Register version (81 FR 41641)
34-78116
June 21, 2016
SR-Phlx-2016-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange's Pricing Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 41629)
34-78117
June 21, 2016
SR-NYSEMKT-2016-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 41634)
34-78108
June 21, 2016
SR-NYSE-2016-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Adopt a Fee Waiver and a Fee Cap Related to the Liquidity Provider Incentive Program on the NYSE BondsSM Comments Due: Exhibit 5 Federal Register version (81 FR 41636)
34-78107
June 21, 2016
SR-BX-2016-036
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule To Prohibit Disruptive Options Quoting and Trading Activity Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 41619)
34-78119
June 21, 2016
SR-ISEMercury-2016-10
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1 Thereto, Relating to a Corporate Transaction in Which Nasdaq, Inc. Will Become the Indirect Parent of ISE, ISE Gemini, and ISE Mercury File Nos.: Comments Due: View Received Comments Rel. No. 34-77794 , Rel. No. 34-77795 Federal Register version (81 FR 41611)
34-78119
June 21, 2016
SR-ISE-2016-11
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1 Thereto, Relating to a Corporate Transaction in Which Nasdaq, Inc. Will Become the Indirect Parent of ISE, ISE Gemini, and ISE Mercury File Nos.: Comments Due: View Received Comments Rel. No. 34-77794 , Rel. No. 34-77795 Federal Register version (81 FR 41611)
34-78119
June 21, 2016
SR-ISE-Gemini-2016-05
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1 Thereto, Relating to a Corporate Transaction in Which Nasdaq, Inc. Will Become the Indirect Parent of ISE, ISE Gemini, and ISE Mercury File Nos.: Comments Due: View Received Comments Rel. No. 34-77794 , Rel. No. 34-77795 Federal Register version (81 FR 41611)
34-78110
June 21, 2016
SR-CBOE-2016-050
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Order Marking Comments Due: Federal Register version (81 FR 41626)
34-78112
June 21, 2016
SR-BatsEDGX-2016-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (81 FR 41617)
34-78106
June 20, 2016
SR-NYSEMKT-2016-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE MKT Rules 2090-Equities (Know Your Customer) and 2111-Equities (Suitability) That Are Substantially Similar to FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability), Deleting Current NYSE MKT Rule 405-Equities (Diligence as to Accounts), and Making Other Conforming Changes Comments Due: Federal Register version (81 FR 41364)
34-78103
June 20, 2016
SR-NASDAQ-2016-089
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Pricing at Chapter XV, Section 2 Comments Due: Exhibit 5 Federal Register version (81 FR 41359)
34-78091
June 16, 2016
SR-Phlx-2016-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Clarifying Amendments to and Remove Obsolete Language From Rules 1053 and 1056 Comments Due: Exhibit 5 Federal Register version (81 FR 40734)
34-78089
June 16, 2016
SR-NASDAQ-2016-083
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7018(a) and 7014(h) Comments Due: Exhibit 5 Federal Register version (81 FR 40736)
34-78090
June 16, 2016
SR-C2-2016-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 40739)
34-78079
June 15, 2016
SR-BatsBZX-2016-09
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Rule 14.11, Managed Fund Shares, To List and Trade Shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust Comments Due: View Received Comments Rel. No. 34-78415 , Rel. No. 34-77723 Federal Register version (81 FR 40381)
34-78075
June 15, 2016
SR-NYSEArca-2016-84
Notice of Filing of 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. 34-78425 Federal Register version (81 FR 40381)
34-78076
June 15, 2016
SR-NYSEARCA-2016-86
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 40379)
