34-78695
Aug. 26, 2016
SR-NASDAQ-2016-122
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 60072)
34-78698
Aug. 26, 2016
SR-CBOE-2016-061
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 60032)
34-78696
Aug. 26, 2016
SR-BatsEDGX-2016-50
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 60070)
34-78676
Aug. 25, 2016
SR-NSX-2016-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Regarding Qualification, Registration and Continuing Education for Persons Associated With Equity Trading Permit Holders, To Add Definitions, Amend Definitions, and To Make Technical, Non-Substantive and Conforming Amendments to Rules Comments Due: Exhibit 5 Federal Register version (81 FR 60083)
34-78684
Aug. 25, 2016
SR-CHX-2016-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Handling of Intermarket Sweep Orders Comments Due: Exhibit 5 Federal Register version (81 FR 60034)
34-78680
Aug. 25, 2016
SR-Phlx-2016-86
Notice of Filing of Proposed Rule Change to Delete or Amend Outdated Rule Language Comments Due: Rel. No. 34-79087 , Rel. No. 34-79249 Federal Register version (81 FR 60110)
34-78675
Aug. 25, 2016
SR-OCC-2016-009
Notice of Filing of Proposed Rule Change Concerning the Options Clearing Corporation's Escrow Deposit Program Comments Due: Exhibit 5A , Exhibit 5B , Exhibit 5A , Exhibit 5B Federal Register version (81 FR 60099)
34-78673
Aug. 25, 2016
SR-NYSEMKT-2016-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Relating to Pre-Opening Indications and Opening Procedures Comments Due: Exhibit 5 Federal Register version (81 FR 60038)
34-78685
Aug. 25, 2016
SR-NYSEMKT-2016-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.2NY(18A) Comments Due: Exhibit 5 Federal Register version (81 FR 60108)
34-78674
Aug. 25, 2016
SR-NYSEArca-2016-116
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.3(i)(3) To Amend the Requirements for the Dissemination of News in Compliance With the Exchange's Immediate Release Policy Comments Due: Exhibit 5 Federal Register version (81 FR 60091)
34-78679
Aug. 25, 2016
SR-NYSE-2016-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 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, 107B, 123C and 1004 Comments Due: Exhibit 5 Federal Register version (81 FR 60080)
34-78681
Aug. 25, 2016
SR-MIAX-2016-28
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 60077)
34-78686
Aug. 25, 2016
SR-CBOE-2016-062
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program To Allow Wednesday Expirations for SPY Options Comments Due: Exhibit 5 Federal Register version (81 FR 60089)
34-78666
Aug. 24, 2016
SR-BatsBZX-2016-48
Notice of Filing of a Proposed Rule Change to Rule 14.11(c)(4) To List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust Comments Due: View Received Comments Rel. No. 34-79381 , Rel. No. 34-79092 Federal Register version (81 FR 59700)
34-78665
Aug. 24, 2016
SR-Phlx-2016-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Connectivity Fees at Chapter VIII of the NASDAQ PHLX LLC Pricing Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 59693)
34-78663
Aug. 24, 2016
SR-NYSEMKT-2016-80
Notice of Filing of Proposed Rule Change Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78992 Federal Register version (81 FR 59696)
34-78662
Aug. 24, 2016
SR-NYSEArca-2016-119
Notice of Filing of Proposed Rule Change Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78992 Federal Register version (81 FR 59674)
34-78661
Aug. 24, 2016
SR-NYSE-2016-57
Notice of Filing of Proposed Rule Change Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78992 Federal Register version (81 FR 59699)
34-78664
Aug. 24, 2016
SR-NYSE-2016-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Text of Current Rule 8313; Amending Rules Relating to the Imposition of Temporary and Current Cease and Desist Orders to Correspond to Recent Amendments by FINRA; and Making Certain Technical and Conforming Changes to Rule 9310 Comments Due: Exhibit 5 Federal Register version (81 FR 59678)
34-78667
Aug. 24, 2016
SR-Phlx-2016-58
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt Limit Order Protections File Nos.: Comments Due: View Received Comments Rel. No. 34-78246 , Rel. No. 34-78245 , Rel. No. 34-78244 Federal Register version (81 FR 59672)
34-78667
Aug. 24, 2016
SR-NASDAQ-2016-067
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt Limit Order Protections File Nos.: Comments Due: View Received Comments Rel. No. 34-78246 , Rel. No. 34-78245 , Rel. No. 34-78244 Federal Register version (81 FR 59672)
34-78667
Aug. 24, 2016
SR-BX-2016-037
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt Limit Order Protections File Nos.: Comments Due: View Received Comments Rel. No. 34-78246 , Rel. No. 34-78245 , Rel. No. 34-78244 Federal Register version (81 FR 59672)
34-78660
Aug. 24, 2016
SR-FINRA-2016-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of SR-FINRA-2016-028 Comments Due: Federal Register version (81 FR 59676)
34-78640
Aug. 23, 2016
SR-BatsBZX-2016-26
Notice of Designation of a Longer Period for Commission Action on 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 Rel. No. 34-79069 , Rel. No. 34-78236 Federal Register version (81 FR 59257)
34-78643
Aug. 23, 2016
SR-BatsBZX-2016-34
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to BZX Rule 14.11(i), Managed Fund Shares, To List and Trade Shares of the ProShares Crude Oil Strategy ETF Comments Due: View Received Comments Rel. No. 34-78847 , Rel. No. 34-78346 Federal Register version (81 FR 59253)
34-78653
Aug. 23, 2016
SR-BatsBZX-2016-30
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, To List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust Comments Due: View Received Comments Federal Register version (81 FR 59256)
34-78644
Aug. 23, 2016
SR-NYSEArca-2016-87
Notice of Withdrawal of 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. 34-78587 , Rel. No. 34-78191 Federal Register version (81 FR 59711)
34-78641
Aug. 23, 2016
SR-NYSE-2016-44
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Allowing the Exchange To Trade Pursuant To Unlisted Trading Privileges for Any NMS Stock Listed on Another National Securities Exchange; Establishing Listing and Trading Requirements for Exchange Traded Products; and Adopting New Equity Trading Rules Relating To Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform Comments Due: View Received Comments Rel. No. 34-80214 , Rel. No. 34-79736 , Rel. No. 34-79085 , Rel. No. 34-78263 Federal Register version (81 FR 59259)
34-78654
Aug. 23, 2016
SR-NASDAQ-2016-117
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elkhorn Commodity Rotation Strategy ETF of the Elkhorn ETF Trust Comments Due: Federal Register version (81 FR 59257)
34-78636
Aug. 22, 2016
SR-BatsEDGA-2016-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.8, EDGA Book Feeds, To Adopt a New Market Data Product Known as EDGA Summary Depth Comments Due: Exhibit 5 Federal Register version (81 FR 59020)
34-78632
Aug. 22, 2016
SR-BatsBZX-2016-50
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22, Data Products, To Adopt a New Market Data Product Known as BZX Summary Depth Comments Due: Exhibit 5 Federal Register version (81 FR 59014)
34-78631
Aug. 22, 2016
SR-BatsBYX-2016-21
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22, Data Products, To Adopt a New Market Data Product Known as BYX Summary Depth Comments Due: Exhibit 5 Federal Register version (81 FR 59018)
34-78629
Aug. 22, 2016
SR-NYSEMKT-2016-63
Notice of Filing of Proposed 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. 34-80309 , Rel. No. 34-79672 , Rel. No. 34-79378 , Rel. No. 34-78968 , Rel. No. 34-80077 Federal Register version (81 FR 58992)
34-78628
Aug. 22, 2016
SR-NYSEArca-2016-89
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. 34-80310 , Rel. No. 34-80076 , Rel. No. 34-79673 , Rel. No. 34-79379 , Rel. No. 34-78967 Federal Register version (81 FR 59004)
34-78633
Aug. 22, 2016
SR-NYSEArca-2016-114
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Schedule of Fees and Charges To Eliminate the Listing Fee in Connection With Exchange Listing of Certain Exchange Traded Products Comments Due: Exhibit 5 Federal Register version (81 FR 59025)
34-78634
Aug. 22, 2016
SR-NASDAQ-2016-113
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Options Pricing Comments Due: Exhibit 5 Federal Register version (81 FR 59023)
34-78622
Aug. 22, 2016
SR-MSRB-2016-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Due Date for Certain Submissions Under Rule G-45 and Provide Guidance on the Application of Rules G-42 and G-44 to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities Comments Due: Exhibit 5 Federal Register version (81 FR 58989)
34-78630
Aug. 22, 2016
SR-BatsEDGX-2016-46
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.8, Order Display and Book Processing Comments Due: Exhibit 5 Federal Register version (81 FR 59016)
34-78635
Aug. 22, 2016
SR-BatsEDGX-2016-45
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.8, EDGX Book Feeds, To Adopt a New Market Data Product Known as EDGX Summary Depth Comments Due: Exhibit 5 Federal Register version (81 FR 58987)
34-78613
Aug. 18, 2016
SR-BatsBZX-2016-35
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the JPMorgan Global Bond Opportunities ETF Comments Due: View Received Comments Rel. No. 34-79053 , Rel. No. 34-78264 Federal Register version (81 FR 57967)
34-78610
Aug. 18, 2016
SR-NYSEArca-2016-82
Notice of Designation of a Longer Period for Commission Action on a 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. 34-77934 Federal Register version (81 FR 57960)
34-78615
Aug. 18, 2016
SR-NYSEArca-2016-117
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Equities Rules 7.35P, 7.34P, 7.18P and 7.31P Regarding Order Processing Following an Auction or When Transitioning From One Trading Session to Another Comments Due: Exhibit 5 Federal Register version (81 FR 57986)
34-78616
Aug. 18, 2016
SR-NASDAQ-2016-104
Notice of Filing of Proposed Rule Change To Amend Nasdaq Rule 5735 To Adopt Generic Listing Standards for Managed Fund Shares Comments Due: Exhibit 5 Federal Register version (81 FR 57968)
34-78611
Aug. 18, 2016
SR-MSRB-2016-07
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities Comments Due: View Received Comments Exhibit 4 , Exhibit 5 , Rel. No. 34-77903 Federal Register version (81 FR 57960)
34-78612
Aug. 18, 2016
SR-MIAX-2016-29
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 803 and 1308 Comments Due: Exhibit 5 Federal Register version (81 FR 57984)
34-78620
Aug. 18, 2016
SR-MIAX-2016-26
Notice of Filing of a Proposed Rule Change by Miami International Securities Exchange, LLC To Adopt New Rules To Govern the Trading of Complex Orders on the Exchange Comments Due: Exhibit 5 , Rel. No. 34-79072 Federal Register version (81 FR 58769)
34-78609
Aug. 18, 2016
SR-FINRA-2016-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the Alternative Display Facility for Trade Reporting Purpose Only Comments Due: Federal Register version (81 FR 57964)
34-78618
Aug. 18, 2016
SR-BOX-2016-41
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 57977)
34-78598
Aug. 17, 2016
SR-NYSEMKT-2016-52
Notice for Securities Industry Registration ("U5") Comments Due: View Received Comments Rel. No. 34-79055 , Rel. No. 34-78198 , Rel. No. 34-80154 Federal Register version (81 FR 57642)
34-78602
Aug. 17, 2016
SR-NYSEMKT-2016-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Comments Due: Exhibit 5 Federal Register version (81 FR 57639)
34-78601
Aug. 17, 2016
SR-NYSEArca-2016-113
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Comments Due: Exhibit 5 Federal Register version (81 FR 63243)
34-78600
Aug. 17, 2016
SR-NYSE-2016-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Comments Due: Exhibit 5 Federal Register version (81 FR 57642)
34-78605
Aug. 17, 2016
SR-NASDAQ-2016-118
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct a Typographical Error in Rules IM-5910-1 and IM-5920-1 Comments Due: Exhibit 5 Federal Register version (81 FR 57641)
34-78604
Aug. 17, 2016
SR-ICEEU-2016-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Settlement of UK Spot Natural Gas Contracts and European Emissions Contracts Comments Due: Federal Register version (81 FR 57635)
34-78588
Aug. 16, 2016
SR-Phlx-2016-79
Notice of Filing of Proposed Rule Change To Amend Rule 1017, Openings in Options Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 56733)
34-78593
Aug. 16, 2016
SR-Phlx-2016-82
Notice of Filing of Proposed Rule Change To Adopt a New Exception in Exchange Rule 1000(f) for Sub-MPV Split-Priced Orders Comments Due: Rel. No. 34-79345 , Rel. No. 34-79023 Federal Register version (81 FR 56724)
34-78586
Aug. 16, 2016
SR-NYSEMKT-2016-62
Notice of Filing of Proposed Rule Change Amending Section 146 of the NYSE MKT Company Guide To Adjust the Entitlement to Services of Special Purpose Acquisition Companies Comments Due: Exhibit 5 , Rel. No. 34-79056 Federal Register version (81 FR 56720)
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)
