34-78860
Sept. 16, 2016
SR-CHX-2016-16
Notice of Filing of Proposed Rule Change To Adopt the CHX Liquidity Taking Access Delay Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79984 , Rel. No. 34-79216 Federal Register version (81 FR 65442)
34-78859
Sept. 16, 2016
SR-NYSEArca-2016-84
Notice of Filing of Amendment No. 2 to a Proposed Rule Change To List and Trade Shares of the Global Currency Gold Fund Under NYSE Arca Equities Rule 8.201, and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 2 Comments Due: View Received Comments Rel. No. 34-79518 , Rel. No. 34-78425 , Rel. No. 34-78075 Federal Register version (81 FR 65431)
34-78861
Sept. 16, 2016
SR-NYSEArca-2016-129
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.35P (Auctions) Regarding Indicative Match Price Comments Due: Exhibit 5 Federal Register version (81 FR 65458)
34-78847
Sept. 15, 2016
SR-BatsBZX-2016-34
Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, to BZX Rule 14.1(i), Managed Fund Shares, To List and Trade Shares of the ProShares Crude Oil Strategy ETF Comments Due: View Received Comments Rel. No. 34-78643 , Rel. No. 34-78346 Federal Register version (81 FR 64560)
34-78846
Sept. 15, 2016
SR-ICC-2016-010
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Revise the ICC Risk Management Model Description Document and the ICC Risk Management Framework Comments Due: Rel. No. 34-78448 , Rel. No. 34-79220 Federal Register version (81 FR 64574)
34-78851
Sept. 15, 2016
SR-FINRA-2016-036
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications With the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook Comments Due: Exhibit 5 Federal Register version (81 FR 64969)
34-78835
Sept. 14, 2016
SR-Phlx-2016-92
Notice of Filing of Proposed Rule Change To Describe Changes to System Functionality Necessary To Implement the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79074 Federal Register version (81 FR 64552)
34-78834
Sept. 14, 2016
SR-OCC-2016-802
Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Escrow Deposit Program Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (81 FR 64536)
34-78840
Sept. 14, 2016
SR-NYSEArca-2016-100
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade 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. 34-78433 Federal Register version (81 FR 64552)
34-78838
Sept. 14, 2016
SR-BX-2016-050
Notice of Filing of Proposed Rule Change To Describe Changes to System Functionality Necessary To Implement the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79076 Federal Register version (81 FR 64566)
34-78837
Sept. 14, 2016
SR-NASDAQ-2016-126
Notice of Filing of Proposed Rule Change To Describe Changes to System Functionality Necessary To Implement the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79075 Federal Register version (81 FR 64544)
34-78839
Sept. 14, 2016
SR-CBOE-2016-053
Notice of Filing of a Proposed Rule Change Relating to Price Protection Mechanisms and Risk Controls Comments Due: Exhibit 5 , Rel. No. 34-79244 Federal Register version (81 FR 64521)
34-78868
Sept. 14, 2016
SR-C2-2016-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Bylaws Title Comments Due: Federal Register version (81 FR 64520)
34-78829
Sept. 13, 2016
SR-NYSEMKT-2016-86
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Deadline for Implementing Rule 967.1NY(a)(2) and (3) Until September 30, 2016 Comments Due: Exhibit 5 Federal Register version (81 FR 64238)
34-78831
Sept. 13, 2016
SR-NYSEARCA-2016-126
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Deadline for Implementing Rule 6.61(a)(2) and (3) Until September 30, 2016 Comments Due: Exhibit 5 Federal Register version (81 FR 64247)
34-78819
Sept. 13, 2016
SR-BX-2016-049
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 64221)
34-78826
Sept. 13, 2016
SR-MSRB-2016-09
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Establish the MSRB Academic Historical Transaction Data Product Comments Due: View Received Comments Federal Register version (81 FR 64215)
34-78820
Sept. 13, 2016
SR-IEX-2016-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.340 To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 64234)
34-78823
Sept. 13, 2016
SR-FINRA-2016-018
Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Amending FINRA Rules 2210 (Communications With the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools), as Modified by Partial Amendment No. 1 Comments Due: Exhibit 5 , Rel. No. 34-78026 Federal Register version (81 FR 64240)
34-78827
Sept. 13, 2016
SR-BOX-2016-42
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility To Specify That All Complex Order Transactions Executed Through the Exchange's Auction Mechanisms Will Be Subject to Section I (Exchange Fees) and II (Liquidity Fees and Credits) Comments Due: Exhibit 5 Federal Register version (81 FR 64218)
34-78828
Sept. 13, 2016
SR-BOX-2016-43
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility To Change the Fees and Credits for Facilitation and Solicitation Transactions Comments Due: Exhibit 5 Federal Register version (81 FR 64250)
34-78830
Sept. 13, 2016
SR-BOX-2016-44
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility To Change the Liquidity Fee and Credit Structure for PIP and COPIP Transactions Comments Due: Exhibit 5 Federal Register version (81 FR 64249)
34-78812
Sept. 12, 2016
SR-CHX-2016-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Article 20, Rule 13(b) To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63821)
34-78815
Sept. 12, 2016
SR-Phlx-2016-90
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3317 Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63833)
34-78817
Sept. 12, 2016
SR-NYSEMKT-2016-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 67-Equities To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63811)
34-78814
Sept. 12, 2016
SR-NYSEARCA-2016-124
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.46 To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63818)
34-78813
Sept. 12, 2016
SR-NYSE-2016-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 67 To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63825)
34-78811
Sept. 12, 2016
SR-BX-2016-048
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63828)
34-78816
Sept. 12, 2016
SR-NASDAQ-2016-123
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63815)
34-78818
Sept. 12, 2016
SR-ICC-2016-012
Notice of Filing of Proposed Rule Change To Provide for the Clearance of Additional Credit Default Swap Contracts Comments Due: Rel. No. 34-79197 Federal Register version (81 FR 63831)
34-78799
Sept. 9, 2016
SR-BatsEDGA-2016-21
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.21(b) Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63549)
34-78796
Sept. 9, 2016
SR-BatsBZX-2016-55
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63561)
34-78795
Sept. 9, 2016
SR-BatsBYX-2016-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63508)
34-78803
Sept. 9, 2016
SR-NYSEMKT-2016-83
Notice of Filing of Proposed Rule Change Amending Rule 67-Equities Relating to the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79029 Federal Register version (81 FR 63552)
34-78801
Sept. 9, 2016
SR-NYSEARCA-2016-123
Notice of Filing of Proposed Rule Change Amending Rule 7.46 Relating to the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79017 Federal Register version (81 FR 63525)
34-78802
Sept. 9, 2016
SR-NYSE-2016-62
Notice of Filing of Proposed Rule Change Amending Rule 67 Relating to the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79030 Federal Register version (81 FR 63515)
34-78808
Sept. 9, 2016
SR-NSCC-2016-004
Notice of Filing of Proposed Rule Change To Describe the Backtesting Charge and the Bank Holiday Charge That May Be Imposed on Members Comments Due: Exhibit 5 , Rel. No. 34-79167 Federal Register version (81 FR 63511)
34-78800
Sept. 9, 2016
SR-FINRA-2016-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6191 Relating to the Data Collection Requirements of the Regulation NMS Plan To Implement A Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63565)
34-78807
Sept. 9, 2016
SR-FICC-2016-006
Notice of Filing of Proposed Rule Change To Describe the Backtesting Charge and the Holiday Charge That May Be Imposed on Members Comments Due: Exhibit 5 , Rel. No. 34-79167 Federal Register version (81 FR 63538)
34-78798
Sept. 9, 2016
SR-BatsEDGX-2016-51
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22(b) Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 63532)
34-78791
Sept. 8, 2016
SR-ISEMercury-2016-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Specificity to the Definition of a Professional in the Exchange's Rules Comments Due: Exhibit 5 Federal Register version (81 FR 63249)
34-78790
Sept. 8, 2016
SR-ISEGemini-2016-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 100(a)(37C) (Definitions) To Add Specificity to the Definition of a Professional Comments Due: Exhibit 5 Federal Register version (81 FR 63245)
34-78787
Sept. 8, 2016
SR-BatsBZX-2016-57
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 63241)
34-78792
Sept. 8, 2016
SR-BatsBZX-2016-56
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 63239)
34-78784
Sept. 8, 2016
SR-Phlx-2016-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Pricing Schedule Under Section VIII With Respect To Execution and Routing of Orders in Securities Priced at $1 or More Per Share Comments Due: Exhibit 5 Federal Register version (81 FR 63231)
34-78788
Sept. 8, 2016
SR-ISE-2016-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Specificity to the Definition of a Professional in the Exchange's Rules Comments Due: Exhibit 5 Federal Register version (81 FR 63252)
34-78786
Sept. 8, 2016
SR-CBOE-2016-066
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 63243)
34-78785
Sept. 8, 2016
SR-C2-2016-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 63233)
34-78789
Sept. 8, 2016
SR-BatsEDGX-2016-52
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 63235)
34-78780
Sept. 7, 2016
SR-NYSEMKT-2016-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903 and Rule 900.2NY(50) Comments Due: Exhibit 5 Federal Register version (81 FR 62939)
34-78779
Sept. 7, 2016
SR-NYSEARCA-2016-127
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.1(b)(41) and Rule 6.4 Comments Due: Exhibit 5 Federal Register version (81 FR 62944)
34-78782
Sept. 7, 2016
SR-NYSE-2016-58
Notice of Filing of Proposed Rule Change Amending Section 907.00 of the NYSE Listed Company Manual To Adjust the Timing of Entitlements to Complimentary Products and Services for Special Purpose Acquisition Companies Comments Due: Exhibit 5 , Rel. No. 34-79187 Federal Register version (81 FR 62937)
34-78777
Sept. 7, 2016
SR-MSRB-2016-12
Notice of Filing of a Proposed Rule Change to MSRB Rules G-15 and G-30 To Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and To Provide Guidance on Prevailing Market Price Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79347 Federal Register version (81 FR 62947)
34-78781
Sept. 7, 2016
SR-MIAX-2016-30
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 62942)
34-78778
Sept. 7, 2016
SR-DTC-2016-007
Notice of Filing of Proposed Rule Changes Relating to Clearing Agency Investment Policy File Nos.: Comments Due: Rel. No. 34-79528 , Rel. No. 34-79165 Federal Register version (81 FR 62963)
34-78770
Sept. 6, 2016
SR-NYSEArca-2016-101
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust Under NYSE Arca Equities Rule 8.201 Comments Due: Rel. No. 34-80319 , Rel. No. 34-80099 , Rel. No. 34-79726 , Rel. No. 34-79171 , Rel. No. 34-78426 Federal Register version (81 FR 62780)
34-78772
Sept. 6, 2016
SR-MIAX-2016-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (81 FR 62784)
34-78774
Sept. 6, 2016
SR-DTC-2016-003
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers Comments Due: View Received Comments Rel. No. 34-79488 , Rel. No. 34-78379 , Rel. No. 34-77991 Federal Register version (81 FR 62775)
34-78771
Sept. 6, 2016
SR-BatsEDGX-2016-49
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 62781)
34-78761
Sept. 2, 2016
SR-NSX-2016-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.18 To Address the Exchange's Liability for System Failures; Amend Rule 2.11 To Provide for an Error Account Maintained by the Exchange's Routing Broker; Adopt Rule 11.11(e) To Allow Cancellation of Orders When a System Failure Occurs; Amend Rule 1.5 To Reposition the Definition of a Trading Center; and Make Other Non-Substantive and Conforming Changes Comments Due: Exhibit 5 Federal Register version (81 FR 62187)
34-78763
Sept. 2, 2016
SR-BatsEDGA-2016-15
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 11.21 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78330 Federal Register version (81 FR 62219)
34-78765
Sept. 2, 2016
SR-BatsBZX-2016-29
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 11.27 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 62195)
34-78766
Sept. 2, 2016
SR-BatsBYX-2016-17
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 11.27 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78333 Federal Register version (81 FR 62192)
34-78758
Sept. 2, 2016
SR-NYSEArca-2016-67
Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the Natixis Seeyond International Minimum Volatility ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-78627 , Rel. No. 34-78204 , Rel. No. 34-77861 Federal Register version (81 FR 62198)
34-78762
Sept. 2, 2016
SR-ICEEU-2016-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Certain Default Management Requirements Under Applicable Law Comments Due: Federal Register version (81 FR 62228)
34-78760
Sept. 2, 2016
SR-CBOE-2016-049
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Options That Overlie the FTSE Developed Europe Index and the FTSE Emerging Index and To Amend the Maintenance Listing Criteria Applicable to Certain Index Options Comments Due: Rel. No. 34-78511 , Rel. No. 34-78177 Federal Register version (81 FR 62208)
34-78767
Sept. 2, 2016
SR-BatsEDGX-2016-26
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 11.22 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78331 Federal Register version (81 FR 62205)
34-78748
Sept. 1, 2016
SR-BatsEDGA-2016-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (81 FR 62226)
34-78746
Sept. 1, 2016
SR-BatsBZX-2016-52
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation of Amendments to the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (81 FR 62225)
34-78747
Sept. 1, 2016
SR-BatsBYX-2016-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BYX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 62198)
34-78751
Sept. 1, 2016
SR-NYSEMKT-2016-82
Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Amend the Date That Two Wireless Connections to Third Party Data Feeds Are Expected To Be Available Comments Due: Exhibit 5 Federal Register version (81 FR 62216)
34-78750
Sept. 1, 2016
SR-NYSEArca-2016-97
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Listing and Trading of Shares of PowerShares Government Collateral Pledge Portfolio Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-79131 , Rel. No. 34-78373 Federal Register version (81 FR 62233)
34-78752
Sept. 1, 2016
SR-NYSEArca-2016-122
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and, the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Amend the Date That Two Wireless Connections to Third Party Data Feeds Are Expected To Be Available Comments Due: Exhibit 5 Federal Register version (81 FR 62203)
34-78755
Sept. 1, 2016
SR-NYSEArca-2016-103
Notice for Securities Industry Registration ("U5") Comments Due: View Received Comments Rel. No. 34-79055 , Rel. No. 34-78381 , Rel. No. 34-80154 Federal Register version (81 FR 62192)
34-78753
Sept. 1, 2016
SR-NYSE-2016-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List To Amend the Date That Two Wireless Connections to Third Party Data Feeds Are Expected To Be Available Comments Due: Exhibit 5 Federal Register version (81 FR 62200)
34-78749
Sept. 1, 2016
SR-NASDAQ-2016-121
Notice of Filing of Proposed Rule Change Related to the NASDAQ Options Market LLC's Pricing at Chapter XV, Section 2(6) Comments Due: Rel. No. 34-79492 , Rel. No. 34-79317 , Rel. No. 34-79118 Federal Register version (81 FR 62212)
34-78745
Sept. 1, 2016
SR-BatsEDGX-2016-48
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation of the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (81 FR 62185)
34-78740
Aug. 31, 2016
SR-Phlx-2016-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Prior Rule Change, SR-PHLX-2016-38 Comments Due: Exhibit 3 , Exhibit 3a Federal Register version (81 FR 61722)
34-78744
Aug. 31, 2016
SR-NYSEMKT-2016-48
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Certain Rules Relating to Flexible Exchange Options Comments Due: View Received Comments Rel. No. 34-78348 Federal Register version (81 FR 61725)
34-78742
Aug. 31, 2016
SR-NYSEMKT-2016-13
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order Into the Electronic Order Capture System Comments Due: View Received Comments Rel. No. 34-78238 , Rel. No. 34-77910 , Rel. No. 34-77518 Federal Register version (81 FR 61730)
34-78743
Aug. 31, 2016
SR-NYSEArca-2016-15
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 6.67(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System Comments Due: View Received Comments Rel. No. 34-78239 , Rel. No. 34-77909 , Rel. No. 34-77516 Federal Register version (81 FR 61724)
34-78741
Aug. 31, 2016
SR-CBOE-2016-063
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 61727)
34-78724
Aug. 30, 2016
SR-OCC-2016-004
Notice of Withdrawal of a Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy Comments Due: View Received Comments Rel. No. 34-78056 , Rel. No. 34-77720 , Rel. No. 34-77358 , Rel. No. 34-78056 , Rel. No. 34-77720 , Rel. No. 34-77358 Federal Register version (81 FR 61269)
34-78718
Aug. 30, 2016
SR-OCC-2016-801
Notice of Withdrawal of an Advance Notice Related to the Adoption of an Options Exchange Risk Control Standards Policy Comments Due: View Received Comments Rel. No. 34-77628 Federal Register version (81 FR 61260)
34-78721
Aug. 30, 2016
SR-NYSEMKT-2016-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 9217 To Add a Provision and Related Fines Addressing Trade-Through Violations Comments Due: Exhibit 5 Federal Register version (81 FR 61266)
34-78727
Aug. 30, 2016
SR-NYSEArca-2016-96
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend NYSE Arca Equities Rule 8.700 and To List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.700 Comments Due: View Received Comments Rel. No. 34-78345 , Rel. No. 34-79111 , Rel. No. 34-79802 , Rel. No. 34-80254 Federal Register version (81 FR 61268)
34-78729
Aug. 30, 2016
SR-FINRA-2016-033
Notice of Filing of a Proposed Rule Change Amending Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes Relating to Broadening Chairperson Eligibility in Arbitration Comments Due: View Received Comments Rel. No. 34-79455 Federal Register version (81 FR 61288)
34-78720
Aug. 30, 2016
SR-FICC-2016-003
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Describe the Blackout Period Exposure Charge That May Be Imposed on GCF Repo Participants Comments Due: Rel. No. 34-79077 , Rel. No. 34-78347 Federal Register version (81 FR 61271)
34-78714
Aug. 29, 2016
SR-Phlx-2016-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1042A, Exercise of Options Contracts and Options Floor Procedure Advice G-1, Index Option Exercise Advice Forms Comments Due: Exhibit 5 Federal Register version (81 FR 60756)
34-78713
Aug. 29, 2016
SR-Nasdaq-2016-120
Notice of Filing of Proposed Rule Change To Adopt the Third Party Connectivity Service Under Rules 7034(b) and 7051 Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-80098 , Rel. No. 34-79049 , Rel. No. 34-79431 , Rel. No. 34-80558 Federal Register version (81 FR 60768)
34-78715
Aug. 29, 2016
SR-ISE-2016-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (81 FR 60765)
34-78697
Aug. 26, 2016
SR-BatsBZX-2016-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 19.6, Series of Options Contracts Open for Trading, To Allow Wednesday Expirations for SPY Options Comments Due: Exhibit 5 Federal Register version (81 FR 60097)
34-78693
Aug. 26, 2016
SR-Phlx-2016-89
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (81 FR 60074)
34-78692
Aug. 26, 2016
SR-NYSEMKT-2016-81
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities To Eliminate Orders With a Sell "Plus" and Buy "Minus" Instruction and Retain Orders With a "Buy Minus Zero Plus" Instruction, and Make Conforming Changes to Rules 104-Equities, 107B-Equities, 123C-Equities and 1004-Equities Comments Due: Exhibit 5 Federal Register version (81 FR 60094)
34-78704
Aug. 26, 2016
4-518
Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS To Add the Investors Exchange LLC as a Participant Comments Due: Federal Register version (81 FR 60398)
34-78703
Aug. 26, 2016
4-631
Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Address Extraordinary Market Volatility To Add the Investors Exchange LLC as a Participant Comments Due: View Received Comments Federal Register version (81 FR 60397)
34-78702
Aug. 26, 2016
4-657
Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Implement a Tick Size Pilot Program To Add the Investors Exchange LLC as a Participant Comments Due: View Received Comments Federal Register version (81 FR 60399)
34-78700
Aug. 26, 2016
S7-24-89
Notice of Filing and Immediate Effectiveness of Amendment No. 37 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis To Add the Investors Exchange LLC as a Participant Comments Due: Federal Register version (81 FR 60395)
34-78701
Aug. 26, 2016
SR-CTA/CQ-2016-01
Notice of Filing and Immediate Effectiveness of Amendment No. 26 to the Second Restatement of the CTA Plan and Amendment No. 19 to the Restated CQ Plan To Add the Investors Exchange LLC as a Participant Comments Due: Federal Register version (81 FR 60394)
34-78694
Aug. 26, 2016
SR-BX-2016-047
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (81 FR 60049)
