34-77780
May 6, 2016
SR-BatsEDGX-2016-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (81 FR 29598)
34-77770
May 5, 2016
SR-BATS-2016-16
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the Pointbreak Diversified Commodity Strategy Fund of the Pointbreak ETF Trust Under BATS Rule 14.11(i), Managed Fund Shares Rel. No. 34-78104 , Rel. No. 34-77379 Federal Register version (81 FR 29311)
34-77771
May 5, 2016
SR-ICC-2016-007
Notice of Filing of Proposed Rule Change To Revise the ICC End-of-Day Price Discovery Policies and Procedures Comments Due: Rel. No. 34-78144 Federal Register version (81 FR 29309)
34-77765
May 4, 2016
SR-NASDAQ-2016-033
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Exchange's Offering of Remote ITCH to Trade Options Wave Ports Comments Due: View Received Comments Rel. No. 34-77381 Federal Register version (81 FR 28908)
34-77758
May 3, 2016
SR-CBOE-2016-040
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 28110)
34-77752
May 2, 2016
SR-ISE-Gemini-2016-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Federal Register version (81 FR 27486)
34-77754
May 2, 2016
SR-ISE-2016-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (81 FR 27485)
34-77749
April 29, 2016
SR-NYSEMKT-2016-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 967.1NY Regarding Price Protection for Market Maker Quotes Comments Due: Exhibit 5 Federal Register version (81 FR 27184)
34-77748
April 29, 2016
SR-NYSEARCA-2016-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.61 Regarding Price Protection for Market Maker Quotes Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 27178)
34-77750
April 29, 2016
SR-DTC-2016-801
Notice of Filing of and No Objection to Advance Notices to Renew the Credit Facility File Nos.: Comments Due: Federal Register version (81 FR 27181)
34-77742
April 29, 2016
SR-CBOE-2016-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FLEX Options Pilot Program Comments Due: Federal Register version (81 FR 26857)
34-77736
April 28, 2016
SR-NASDAQ-2016-058
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7023 Comments Due: Exhibit 5 Federal Register version (81 FR 26846)
34-77737
April 28, 2016
SR-NASDAQ-2016-060
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 26844)
34-77721
April 27, 2016
SR-BatsBZX-2016-11
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 26591)
34-77723
April 27, 2016
SR-BatsBZX-2016-09
Notice of Filing of 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. 34-78079 Federal Register version (81 FR 26600)
34-77720
April 27, 2016
SR-OCC-2016-004
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy Comments Due: View Received Comments Rel. No. 34-78724 , Rel. No. 34-77358 , Rel. No. 34-78056 , Rel. No. 34-78724 , Rel. No. 34-77358 , Rel. No. 34-78056 Federal Register version (81 FR 26609)
34-77734
April 27, 2016
SR-NYSEMKT-2016-49
Notice of Filing of Proposed Rule Change Amending the Definition of "Block" for Purposes of Rule 72(d)-Equities and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76-Equities Comments Due: Exhibit 5 , Rel. No. 34-78367 , Rel. No. 34-77951 Federal Register version (81 FR 26598)
34-77724
April 27, 2016
4-698
Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Rel. No. 34-78441 Federal Register version (81 FR 30613)
34-77719
April 27, 2016
SR-BX-2016-022
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 26607)
34-77726
April 27, 2016
SR-FINRA-2016-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) Comments Due: Federal Register version (81 FR 26593)
34-77716
April 26, 2016
SR-ISEMercury-2016-09
Notice of Filing of Proposed Rule Change Relating to Preferenced Volume Comments Due: Exhibit 5 Federal Register version (81 FR 26277)
34-77707
April 26, 2016
SR-Phlx-2016-53
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 26296)
34-77708
April 26, 2016
SR-NYSE-2016-16
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 NYSE Rule 98 To Provide That, When Designated Market Makers Enter Interest for the Purpose of Facilitating the Execution of Customer Orders, Those Orders Would Not Be Required To Be Designated as DMM Interest Comments Due: View Received Comments Rel. No. 34-77332 Federal Register version (81 FR 26269)
34-77709
April 26, 2016
SR-NSCC-2016-001
Notice of Filing of a Proposed Rule Change To Remove From the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules Comments Due: Exhibit 5 , Rel. No. 34-77990 Federal Register version (81 FR 26272)
34-77706
April 26, 2016
SR-NASDAQ-2016-059
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require an Issuer of Securities Listed Under the Rule 5700 Series To Notify Nasdaq About the Replacement of the Index, Portfolio, or Reference Asset Underlying the Security and Pay a Fee in Connection With the Change Comments Due: Exhibit 5 Federal Register version (81 FR 26275)
34-77715
April 26, 2016
SR-NASDAQ-2016-056
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the 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. 34-78437 , Rel. No. 34-78063 Federal Register version (81 FR 26285)
34-77710
April 26, 2016
SR-CBOE-2016-038
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 26299)
34-77701
April 25, 2016
SR-NYSE-2016-30
Notice of Filing of Proposed Rule Change Amending the Definition of "Block" for Purposes of Rule 72(d) and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 Comments Due: Exhibit 5 , Rel. No. 34-78368 , Rel. No. 34-77950 Federal Register version (81 FR 25748)
34-77703
April 25, 2016
SR-NYSE-2015-46
Notice of Filing of Partial Amendment Nos. 1 and 2 and Order Granting Accelerated Approval to a Proposed Rule Change to Adopt NYSE Rule 67 To Implement the Quoting and Trading Requirements of the Regulation NMS Plan To Implement A Tick Size Pilot Program Comments Due: View Received Comments Rel. No. 34-76971 , Rel. No. 34-76551 , Rel. No. 34-76229 , Exemptive Letter Federal Register version (81 FR 25725)
34-77687
April 22, 2016
SR-Phlx-2016-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rule 606 Comments Due: Exhibit 5 Federal Register version (81 FR 25464)
34-77690
April 22, 2016
SR-Phlx-2016-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Qualified Contingent Cross Pricing Comments Due: Exhibit 5 Federal Register version (81 FR 25457)
34-77692
April 22, 2016
SR-BOX-2016-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To (i) Amend BOX Rule 7280 (Bulk Cancellation of Trading Interest) To Adopt a Kill Switch and (ii) Amend BOX Rule 7110 (Order Entry) To Modify the Circumstances That Will Prevent a Session Order From Being Cancelled Comments Due: Exhibit 5 Federal Register version (81 FR 25473)
34-77694
April 22, 2016
SR-BOX-2016-17
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 25460)
34-77695
April 22, 2016
SR-BOX-2016-20
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 25455)
34-77691
April 22, 2016
SR-BatsEDGX-2016-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (81 FR 25462)
34-77673
April 21, 2016
SR-Phlx-2016-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Qualified Contingent Cross Pricing Comments Due: Exhibit 5 Federal Register version (81 FR 24909)
34-77676
April 21, 2016
SR-NYSEMKT-2016-31
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Rule 123C-Equities To Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable To Conduct a Closing Transaction Comments Due: Rel. No. 34-77306 Federal Register version (81 FR 24907)
34-77674
April 21, 2016
SR-NYSE-2016-22
Notice of Filing of Proposed Rule Change Adopting Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopting Listing Fees Specific to Equity Investment Tracking Stocks Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78153 , Rel. No. 34-77996 , Rel. No. 34-77850 Federal Register version (81 FR 24919)
34-77677
April 21, 2016
SR-NYSE-2016-18
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Rule 123C To Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable To Conduct a Closing Transaction Comments Due: View Received Comments Rel. No. 34-77305 Federal Register version (81 FR 24907)
34-77678
April 21, 2016
SR-NASDAQ-2016-035
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Establish a Secondary Contingency Procedure To Enable the Exchange To Report an Official Closing Price on Behalf of an Impaired Primary Listing Exchange Comments Due: View Received Comments Rel. No. 34-77309 , Rel. No. 34-78014 Federal Register version (81 FR 24909)
34-77675
April 21, 2016
SR-FICC-2016-001
Notice of Filing of Proposed Rule Change Relating to the GCF Repo Service Comments Due: Exhibit 5 Federal Register version (81 FR 24922)
34-77658
April 20, 2016
SR-NYSEMKT-2016-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 , Rel. No. 34-78029 , Rel. No. 34-79135 Federal Register version (81 FR 24674)
34-77661
April 20, 2016
SR-NASDAQ-2016-055
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Pricing at Chapter XV, Section 2 Comments Due: Exhibit 5 Federal Register version (81 FR 24668)
34-77662
April 20, 2016
SR-NASDAQ-2016-051
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7014 Comments Due: Exhibit 5 Federal Register version (81 FR 24681)
34-77659
April 20, 2016
SR-CBOE-2016-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 24678)
34-77660
April 20, 2016
SR-BOX-2016-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program for the Listing and Trading of Options Settling to the RealVolTM Comments Due: Federal Register version (81 FR 24676)
34-77652
April 19, 2016
SR-CHX-2016-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the CHX SNAP Incentive Program Comments Due: Exhibit 5 Federal Register version (81 FR 24151)
34-77650
April 19, 2016
SR-Phlx-2016-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Obsolete Rules Comments Due: Exhibit 5 Federal Register version (81 FR 24148)
34-77651
April 19, 2016
SR-C2-2016-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 24153)
34-77637
April 18, 2016
SR-BatsEDGA-2016-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 14.10 Setting Forth Additional Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates Comments Due: Exhibit 5 Federal Register version (81 FR 23765)
34-77639
April 18, 2016
SR-BatsBZX-2016-08
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.3 Regarding the Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates Comments Due: Exhibit 5 Federal Register version (81 FR 23768)
34-77638
April 18, 2016
SR-BatsBYX-2016-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 14.10 Setting Forth Additional Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates Comments Due: Exhibit 5 Federal Register version (81 FR 23771)
34-77640
April 18, 2016
SR-NYSEMKT-2016-15
Notice of Filing of Proposed Rule Change Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as Well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Reflect the Changes Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78951 , Notice Release No. 34-78389 , Rel. No. 34-77978 Federal Register version (81 FR 23780)
34-77641
April 18, 2016
SR-NYSEARCA-2016-19
Notice of Filing of Proposed Rule Change Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as Well as Amending the Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Reflect the Changes Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78952 , Rel. No. 34-78388 , Rel. No. 34-77977 Federal Register version (81 FR 23773)
34-77642
April 18, 2016
SR-NYSE-2016-11
Notice of Filing of Proposed Rule Change Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as Well as Amending the Exchange's Price List To Reflect the Changes Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78953 , Rel. No. 34-78387 , Rel. No. 34-77976 Federal Register version (81 FR 23786)
34-77636
April 18, 2016
SR-BatsEDGX-2016-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 14.10 Setting Forth Additional Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates Comments Due: Exhibit 5 Federal Register version (81 FR 23793)
34-77632
April 15, 2016
SR-BatsBZX-2016-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Fee Schedule Applicable to the Exchange's Options Platform Comments Due: Exhibit 5 Federal Register version (81 FR 23533)
34-77628
April 15, 2016
SR-OCC-2016-801
Notice of Filing of an Advance Notice Related to the Adoption of an Options Exchange Risk Control Standards Policy Comments Due: View Received Comments Exhibit 3A , Exhibit 5A , Exhibit 5B , Request for Additional Information , Rel. No. 34-78718 Federal Register version (81 FR 23536)
34-77634
April 15, 2016
SR-ICEEU-2016-004
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Additions to Permitted Cover Comments Due: Rel. No. 34-77943 , Rel. No. 34-77234 Federal Register version (81 FR 23531)
34-77633
April 15, 2016
SR-ICC-2016-005
Notice of Filing of Proposed Rule Change To Update and Formalize the ICC Stress Testing Framework Comments Due: Rel. No. 34-77982 Federal Register version (81 FR 23531)
34-77635
April 15, 2016
SR-FINRA-2016-010
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt FINRA Rule 4554 (Alternative Trading Systems-Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) Rel. No. 34-77269 , Rel. No. 34-77798 Federal Register version (81 FR 23536)
34-77631
April 15, 2016
SR-BatsEDGX-2016-09
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as They Apply to the Equities Options Platform Comments Due: Exhibit 5 Federal Register version (81 FR 23529)
34-77623
April 14, 2016
SR-NASDAQ-2016-028
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Listing and Trading of the Shares of the iSectors Post-MPT Growth ETF of ETFis Series Trust I Comments Due: View Received Comments Rel. No. 34-77301 , Rel. No. 34-77714 Federal Register version (81 FR 23333)
34-77621
April 14, 2016
SR-CBOE-2016-031
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 23343)
34-77606
April 13, 2016
SR-BatsEDGA-2016-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 8.17 To Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 To Prohibit Layering and Spoofing Comments Due: Exhibit 5 Federal Register version (81 FR 23026)
34-77608
April 13, 2016
SR-BatsEDGA-2016-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of the Exchange's Ultimate Parent Company, Bats Global Markets, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 23062)
34-77601
April 13, 2016
SR-BatsBZX-2016-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of the Exchange's Ultimate Parent Company, Bats Global Markets, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 23060)
34-77600
April 13, 2016
SR-BatsBYX-2016-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of the Exchange's Ultimate Parent Company, Bats Global Markets, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 23021)
34-77602
April 13, 2016
SR-BatsBYX-2016-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 8.17 To Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 To Prohibit Layering and Spoofing Comments Due: Exhibit 5 Federal Register version (81 FR 23046)
34-77613
April 13, 2016
SR-Phlx-2016-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposed Rule Change To Modify Chapter VII Section B of the Exchange's Pricing Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 23023)
34-77605
April 13, 2016
SR-NYSEMKT-2016-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 72-Equities Relating to Setting Interest Comments Due: Exhibit 5 Federal Register version (81 FR 23040)
34-77610
April 13, 2016
SR-NYSEArca-2016-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 23066)
34-77603
April 13, 2016
SR-NYSE-2016-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 72 Relating to Setting Interest Comments Due: Exhibit 5 Federal Register version (81 FR 23064)
34-77604
April 13, 2016
SR-NYSE-2016-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List for Equity Transactions in Stocks With a per Share Stock Price More Than $1.00 Comments Due: Exhibit 5 Federal Register version (81 FR 23043)
34-77609
April 13, 2016
SR-NASDAQ-2016-054
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7018(a) Comments Due: Exhibit 5 Federal Register version (81 FR 23038)
34-77612
April 13, 2016
SR-BatsEDGX-2016-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of the Exchange's Ultimate Parent Company, Bats Global Markets, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 23072)
34-77594
April 12, 2016
SR-BatsBZX-2016-01
Notice of Filing of Proposed Rule Change To List and Trade Under BZX Rule 14.11(c)(4) Shares of the Following Series of Market Vectors ETF Trust: Market Vectors 6-8 Year Municipal Index ETF; Market Vectors 8-12 Year Municipal Index ETF; and Market Vectors 12-17 Year Municipal Index ETF Comments Due: View Received Comments Rel. No. 34-78329 , Rel. No. 34-77958 Federal Register version (81 FR 22681)
34-77587
April 12, 2016
SR-NYSEArca-2016-28
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 Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-77183 , Rel. No. 34-77571 Federal Register version (81 FR 22651)
34-77588
April 12, 2016
SR-NYSEArca-2016-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 22676)
34-77591
April 12, 2016
SR-NYSE-2016-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Adopt a Rebate Program for the NYSE BondsSM Comments Due: Exhibit 5 Federal Register version (81 FR 22656)
34-77584
April 12, 2016
SR-OPRA-2015-01
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Certain Provisions of the OPRA's Fee Schedule Comments Due: View Received Comments Federal Register version (81 FR 22670)
34-77585
April 12, 2016
SR-OPRA-2015-02
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend the Professional Subscriber Device-Based Fees Set Comments Due: Federal Register version (81 FR 22668)
34-77586
April 12, 2016
SR-OPRA-2015-03
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend the Redistribution Fee Set Forth in OPRA's Fee Sch Comments Due: Federal Register version (81 FR 22675)
34-77590
April 12, 2016
SR-BX-2016-020
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Under Rule 7018(a) Comments Due: Exhibit 5 Federal Register version (81 FR 22678)
34-77592
April 12, 2016
SR-NASDAQ-2016-023
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 4702 and 4703 Comments Due: Rel. No. 34-77226 Federal Register version (81 FR 22674)
34-77593
April 12, 2016
SR-ISE-2016-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (81 FR 22673)
34-77589
April 12, 2016
SR-BatsEDGX-2016-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 8.17 To Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 To Prohibit Layering and Spoofing Comments Due: Exhibit 5 Federal Register version (81 FR 22691)
34-77583
April 11, 2016
SR-BatsEDGA-2016-04
Notice of Filing and Immediate Effectiveness of a Non-Substantive Correction to Rule 11.27 Comments Due: Exhibit 5 Federal Register version (81 FR 22323)
34-77577
April 11, 2016
SR-Phlx-2016-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Qualified Contingent Cross Rebates and Certain Floor Options Transaction Charges Comments Due: Exhibit 5 Federal Register version (81 FR 22324)
34-77576
April 11, 2016
SR-NYSEArca-2016-46
Notice of Filing of Proposed Rule Change To List and Trade Shares of AdvisorShares Cornerstone Small Cap ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-77920 Federal Register version (81 FR 22337)
34-77578
April 11, 2016
SR-NASDAQ-2016-048
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7039 Comments Due: Exhibit 5 Federal Register version (81 FR 22344)
34-77579
April 11, 2016
SR-FINRA-2015-036
Notice of Filing of Amendment No. 2 and Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend FINRA Rule 4210 (Margin Requirements) To Establish Margin Requirements for the TBA Market, as Modified by Amendment Nos. 1 and 2 Comments Due: View Received Comments Exhibit 4 , Exhibit 5 , Rel. No. 34-78081 , Rel. No. 34-76908 , Rel. No. 34-76148 Federal Register version (81 FR 22347)
34-77581
April 11, 2016
SR-FINRA-2015-054
Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change Relating to Proposed Rule Change To Adopt FINRA Capital Acquisition Broker Rules Comments Due: Exhibit 4 , Exhibit 5 , Rel. No. 34-78617 , Rel. No. 34-78220 , Rel. No. 34-77391 , Rel. No. 34-76675 Federal Register version (81 FR 22333)
34-77575
April 11, 2016
SR-CBOE-2016-030
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 22334)
34-77580
April 11, 2016
SR-BOX-2016-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 100 (Definitions) Relating to Professionals Comments Due: Exhibit 5 Federal Register version (81 FR 22328)
34-77582
April 11, 2016
SR-BatsEDGX-2016-07
Notice of Filing and Immediate Effectiveness of a Non-Substantive Correction to Rule 11.27 Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 22335)
34-77567
April 8, 2016
SR-BATS-2015-94
Notice of Filing of Amendment No. 1 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3, To List and Trade Shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust Comments Due: View Received Comments Rel. No. 34-77209 , Rel. No. 34-76862 Federal Register version (81 FR 22143)
34-77569
April 8, 2016
SR-ISEMercury-2016-07
Notice of Filing of Proposed Rule Change Related to Market Wide Risk Protection Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-77931 Federal Register version (81 FR 22140)
34-77571
April 8, 2016
SR-NYSEArca-2016-28
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 of Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-77183 , Rel. No. 34-77587 Federal Register version (81 FR 22136)
34-77570
April 8, 2016
SR-CBOE-2016-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 6.1A Comments Due: Federal Register version (81 FR 22138)
