34-78485
Aug. 5, 2016
SR-NYSEArca-2016-115
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 53184)
34-78484
Aug. 5, 2016
SR-NYSE-2016-48
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Rule 49 Regarding: (1) The Exchange's Emergency Powers; (2) the Exchange's Disaster Recovery Plans; and (3) Exchange Backup Systems and Mandatory Testing Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (81 FR 53180)
34-78482
Aug. 5, 2016
SR-IEX-2016-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.270(c) Concerning Clearly Erroneous Executions Comments Due: Exhibit 5 Federal Register version (81 FR 53174)
34-78479
Aug. 4, 2016
SR-NYSEArca-2016-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 52920)
34-78477
Aug. 4, 2016
4-668
Notice of Filing and Immediate Effectiveness of Amendment No. 4 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Comments Due: View Received Comments Exhibit B Federal Register version (81 FR 52917)
34-78480
Aug. 4, 2016
SR-NASDAQ-2016-097
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Detection of Loss of Connection Comments Due: Exhibit 5 Federal Register version (81 FR 52926)
34-78481
Aug. 4, 2016
SR-IEX-2016-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 11.340(b) To Set Forth the Requirements for the Collection and Transmission of Data Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 52933)
34-78478
Aug. 4, 2016
SR-C2-2016-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to AIM Retained Orders Comments Due: Exhibit 5 Federal Register version (81 FR 52922)
34-78475
Aug. 3, 2016
SR-IEX-2016-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.330 To Combine the TOPS and LAST Data Products and Make Minor Correcting and Conforming Changes to the Description of TOPS Viewer Comments Due: Exhibit 5 Federal Register version (81 FR 52730)
34-78472
Aug. 3, 2016
SR-BatsEDGX-2016-35
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.21, Retail Orders, To Conform to the Rules of Bats BZX Exchange, Inc. and Bats BYX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 52718)
34-78473
Aug. 3, 2016
4-566
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Chicago Stock Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ BX, Inc., NASDAQ PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., and Investors Exchange LLC Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules Comments Due: Federal Register version (81 FR 52722)
34-78459
Aug. 2, 2016
SR-BatsEDGA-2016-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC Comments Due: Exhibit 5a , Exhibit 5b , Exhibit 5c , Exhibit 5d , Exhibit 5e Federal Register version (81 FR 52491)
34-78454
Aug. 2, 2016
SR-BatsBZX-2016-46
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program Comments Due: Exhibit 5 Federal Register version (81 FR 52494)
34-78455
Aug. 2, 2016
SR-BatsBZX-2016-43
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC Comments Due: Exhibit 5 Federal Register version (81 FR 52504)
34-78456
Aug. 2, 2016
SR-BatsBYX-2016-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC Comments Due: Exhibit 5 Federal Register version (81 FR 52503)
34-78462
Aug. 2, 2016
SR-NASDAQ-2016-101
Notice of Filing of Proposed Rule Change To Add Nasdaq Rule 7046 (Nasdaq Trading Insights) Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78886 Federal Register version (81 FR 52486)
34-78461
Aug. 2, 2016
SR-C2-2016-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopting a Principles-Based Approach To Prohibit the Misuse of Material Nonpublic Information by Market-Makers and Designated Primary Market-Makers ("DPMs") Comments Due: Exhibit 5 Federal Register version (81 FR 52498)
34-78460
Aug. 2, 2016
SR-BatsEDGX-2016-36
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC Comments Due: Exhibit 5a , Exhibit 5b , Exhibit 5c , Exhibit 5d , Exhibit 5e Federal Register version (81 FR 52496)
34-78453
Aug. 1, 2016
SR-BatsBZX-2016-42
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: Exhibit 5 , Rel. No. 34-78849 Federal Register version (81 FR 51954)
34-78451
Aug. 1, 2016
SR-NASDAQ-2016-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Eaton Vance Floating-Rate & High Income NextShares of the Eaton Vance NextShares Trust II Comments Due: Federal Register version (81 FR 51946)
34-78450
Aug. 1, 2016
SR-CBOE-2016-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 9/10 Examination Program Comments Due: Federal Register version (81 FR 51949)
34-78449
Aug. 1, 2016
SR-BOX-2016-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Rules Regarding Participants and Associated Persons Who Are or Become Subject to a Statutory Disqualification Comments Due: Exhibit 5 Federal Register version (81 FR 51947)
34-78452
Aug. 1, 2016
SR-BatsEDGX-2016-33
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt an Options Regulatory Fee Comments Due: Exhibit 5 , Rel. No. 34-78850 Federal Register version (81 FR 51951)
34-78445
July 29, 2016
SR-CHX-2016-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Securities Trader Registration Category and the Series 57 Securities Trader Examination Registration Requirement Comments Due: Exhibit 5 Federal Register version (81 FR 51513)
34-78446
July 29, 2016
SR-CHX-2016-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Web-Based Delivery of the Continuing Education Program Comments Due: Exhibit 5 Federal Register version (81 FR 51530)
34-78442
July 29, 2016
SR-NYSE-2016-31
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSE Rule 6A To Exclude the Physical Area Within Fully Enclosed Telephone Booths Located in 18 Broad Street From the Definition of Trading Floor Comments Due: Rel. No. 34-78855 , Rel. No. 34-78057 Federal Register version (81 FR 51521)
34-78441
July 29, 2016
4-698
Notice of Designation of Longer Period for Commission Action on the Proposed National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, the Investors' Exchange, LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. View Received Comments Rel. No. 34-77724 Federal Register version (81 FR 51527)
34-78447
July 29, 2016
SR-IEX-2016-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Typographical Errors in Certain Referenced Time Frames Comments Due: Exhibit 5 Federal Register version (81 FR 51528)
34-78448
July 29, 2016
SR-ICC-2016-010
Notice of Filing of Proposed Rule Change To Revise the ICC Risk Management Model Description Document and the ICC Risk Management Framework Comments Due: Rel. No. 34-78846 , Rel. No. 34-79220 Federal Register version (81 FR 51532)
34-78444
July 29, 2016
SR-BOX-2016-37
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Detail How Complex Orders Will Execute Through the Facilitation Auction Mechanism Comments Due: Exhibit 5 Federal Register version (81 FR 51533)
34-78438
July 28, 2016
SR-OCC-2016-002
Notice of Filing of Proposed Rule Change Concerning Enhancements to The Options Clearing Corporation's Governance Arrangements Comments Due: Exhibit 5a , Rel. No. 34-78862 , Exhibit 5a , Rel. No. 34-78862 Federal Register version (81 FR 51220)
34-78432
July 28, 2016
SR-NYSEMKT-2016-58
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Amendments to NYSE MKT Rules 1600 et seq. Comments Due: View Received Comments Rel. No. 34-79561 , Rel. No. 34-79510 , Rel. No. 34-78804 , Rel. No. 34-78000 Federal Register version (81 FR 51248)
34-78433
July 28, 2016
SR-NYSEArca-2016-100
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Direxion Daily Municipal Bond Taxable Bear 1X Fund Under NYSE Arca Equities Rule 5.2(j)(3) Comments Due: View Received Comments Rel. No.34-79885 , Rel. No. 34-79211 , Rel. No. 34-78840 Federal Register version (81 FR 51241)
34-78436
July 28, 2016
SR-NYSE-2016-51
Notice of Filing of Proposed Rule Change Amending the Ninth Amended and Restated Operating Agreement of the Exchange Comments Due: Exhibit 5 , Rel. No. 34-78805 Federal Register version (81 FR 51249)
34-78431
July 28, 2016
SR-BX-2016-045
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Tiers Related to SPY Options Comments Due: Exhibit 5 Federal Register version (81 FR 51258)
34-78437
July 28, 2016
SR-NASDAQ-2016-056
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the PowerShares Variable Rate Investment Grade Portfolio, a Series of the PowerShares Actively Managed Exchange-Traded Fund Trust Comments Due: View Received Comments Rel. No. 34-78063 , Rel. No. 34-77715 Federal Register version (81 FR 51251)
34-78435
July 28, 2016
SR-FINRA-2016-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Operation of the Regulation NMS Plan To Address Extraordinary Market Volatility Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 51239)
34-78422
July 27, 2016
SR-NYSEARCA-2016-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a New NYSE Arca Rule 13.9 and a New NYSE Arca Equities Rule 11.9 and To Make Conforming Changes to NYSE Arca Rule 3.2 and NYSE Arca Equities Rule 3.2 Comments Due: Exhibit 5 Federal Register version (81 FR 50750)
34-78425
July 27, 2016
SR-NYSEArca-2016-84
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Global Currency Gold Fund Under NYSE Arca Equities Rule 8.201 Comments Due: View Received Comments Rel. No. 34-79518 , Rel. No. 34-78859 , Rel. No. 34-78075 Federal Register version (81 FR 50759)
34-78426
July 27, 2016
SR-NYSEArca-2016-101
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust Under NYSE Arca Equities Rule 8.201 Comments Due: Exhibit 3 , Rel. No. 34-80319 , Rel. No. 34-80099 , Rel. No. 34-79726 , Rel. No. 34-79171 , Rel. No. 34-78770 Federal Register version (81 FR 50763)
34-78416
July 27, 2016
SR-IEX-2016-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Collection of Exchange Fees and Other Claims and Billing Policy Comments Due: Exhibit 5 Federal Register version (81 FR 50573)
34-78420
July 27, 2016
SR-IEX-2016-02
Notice of Filing of Proposed Rule Change To Amend Rule 11.230 To Rename the "Router Plus" Routing Option to "Router" Comments Due: Exhibit 5 Federal Register version (81 FR 50572)
34-78427
July 27, 2016
SR-BOX-2016-34
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility Comments Due: Exhibit 5 Federal Register version (81 FR 50777)
34-78428
July 27, 2016
SR-BOX-2016-36
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility Comments Due: Exhibit 5 Federal Register version (81 FR 50761)
34-78419
July 26, 2016
SR-Phlx-2016-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rule 754 (Employees' Discretion as to Customers' Accounts) Comments Due: Federal Register version (81 FR 50582)
34-78421
July 26, 2016
SR-C2-2016-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 50580)
34-78403
July 25, 2016
SR-NSX-2016-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to NSX Rule 11.25(a), Stating it Will Utilize IEX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 50028)
34-78408
July 25, 2016
SR-Phlx-2016-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Public Disclosure of Exchange Usage of Market Data Comments Due: Federal Register version (81 FR 50026)
34-78405
July 25, 2016
SR-BX-2016-044
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 51949)
34-78404
July 25, 2016
SR-NASDAQ-2016-099
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 50024)
34-78406
July 25, 2016
SR-NASDAQ-2016-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Options Market LLC Pricing at Chapter XV Comments Due: Exhibit 5 Federal Register version (81 FR 50029)
34-78407
July 25, 2016
SR-CBOE-2016-057
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Tied to Stock Orders Comments Due: Federal Register version (81 FR 50036)
34-78394
July 22, 2016
SR-Phlx-2016-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Price Improvement XL Pricing Comments Due: Exhibit 5 Federal Register version (81 FR 49709)
34-78392
July 22, 2016
SR-NASDAQ-2016-098
Notice of Filing of Proposed Rule Change To Modify the Complimentary Services Offered to Certain New Listings Comments Due: Exhibit 5 Federal Register version (81 FR 49705)
34-78391
July 21, 2016
SR-NSX-2016-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.26 To Implement the Quoting and Trading Provisions of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 49348)
34-78382
July 21, 2016
SR-Phlx-2016-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Affiliated Entities Comments Due: Exhibit 5 Federal Register version (81 FR 49293)
34-78376
July 21, 2016
SR-NYSEMKT-2016-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 49311)
34-78389
July 21, 2016
SR-NYSEMKT-2016-15
Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Change, as Modified by Amendment Nos. 1 and 2, 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 Rel. No. 34-78951 , Rel. No. 34-77978 , Rel. No. 34-77640 Federal Register version (81 FR 49304)
34-78377
July 21, 2016
SR-NYSEArca-2016-99
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Comments Due: Exhibit 5 Federal Register version (81 FR 49327)
34-78381
July 21, 2016
SR-NYSEArca-2016-103
Notice for Securities Industry Registration With the Rules of Other Exchanges and FINRA Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79055 , Rel. No. 34-78755 , Rel. No. 34-80154 Federal Register version (81 FR 49286)
34-78383
July 21, 2016
SR-NYSEArca-2016-104
Notice for Securities Industry Registration With the Rules of Other Exchanges and FINRA Comments Due: Exhibit 5 , Rel. No. 34-78809 Federal Register version (81 FR 49309)
34-78386
July 21, 2016
SR-NYSEArca-2016-79
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of the Virtus Japan Alpha ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-78414 , Rel. No. 34-77992 Federal Register version (81 FR 49299)
34-78388
July 21, 2016
SR-NYSEARCA-2016-19
Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and the NYSE Arca Options Fee Schedule To Reflect the Changes Comments Due: View Received Comments Rel. No. 34-78952 , Rel. No. 34-77977 , Rel. No. 34-77641 Federal Register version (81 FR 49332)
34-78378
July 21, 2016
SR-NYSE-2016-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List Comments Due: Exhibit 5 Federal Register version (81 FR 49315)
34-78387
July 21, 2016
SR-NYSE-2016-11
Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as Well as Amending the NYSE Price List To Reflect the Changes Comments Due: View Received Comments Rel. No. 34-78953 , Rel. No. 34-77976 , Rel. No. 34-77642 Federal Register version (81 FR 49300)
34-78380
July 21, 2016
SR-NASDAQ-2016-090
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Affiliated Entities Comments Due: Exhibit 5 Federal Register version (81 FR 49288)
34-78384
July 21, 2016
SR-NASDAQ-2016-002
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III Comments Due: View Received Comments Rel. No. 34-77705 , Rel. No. 34-77320 , Rel. No. 34-76944 , Rel. No. 34-78913 Federal Register version (81 FR 49286)
34-78385
July 21, 2016
SR-NASDAQ-2016-103
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Exchange-Traded Managed Funds Comments Due: Federal Register version (81 FR 49341)
34-78379
July 21, 2016
SR-DTC-2016-003
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Pursuant to Which DTC Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers Comments Due: View Received Comments Rel. No. 34-79488 , Rel. No. 34-78774 , Rel. No. 34-77991 Federal Register version (81 FR 49309)
34-78390
July 21, 2016
SR-BOX-2016-33
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 49336)
34-78367
July 20, 2016
SR-NYSEMKT-2016-49
Notice of Withdrawal 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: Rel. No. 34-77951 , Rel. No. 34-77734 Federal Register version (81 FR 48860)
34-78373
July 20, 2016
SR-NYSEArca-2016-97
Notice of Filing of 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. 34-78750 , Rel. No. 34-78373 Federal Register version (81 FR 48869)
34-78374
July 20, 2016
SR-NYSEARCA-2016-98
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rules 1.1(s) and 7.35P(a)(10)(A) to Extend the Period for the Current Trading Halt Auction Collar Price Collar Thresholds Comments Due: Exhibit 5 Federal Register version (81 FR 48876)
34-78368
July 20, 2016
SR-NYSE-2016-30
Notice of Withdrawal 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: Rel. No. 34-77950 , Rel. No. 34-77701 Federal Register version (81 FR 48876)
34-78371
July 20, 2016
SR-NYSE-2016-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a New Rule 346 Prohibiting Association by Member Organizations, Principal Executives, Approved Persons, and Persons Associated With a Member Organization or Control Persons of Member Organizations With Persons Subject to a Statutory Disqualification Comments Due: Exhibit 5 Federal Register version (81 FR 48879)
34-78372
July 20, 2016
SR-NYSE-2016-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Regarding Payment of Compensation and Rebates, and Research Analyst Attestation Requirements, Harmonizing With Certain Financial Industry Regulatory Authority, Inc. Rules and Making Other Conforming Changes Comments Due: Exhibit 5 Federal Register version (81 FR 48861)
34-78375
July 20, 2016
SR-BX-2016-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Affiliated Entities Comments Due: Exhibit 5 Federal Register version (81 FR 48864)
34-78369
July 20, 2016
SR-BatsEDGX-2016-32
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as They Apply to the Recently Adopted Step Up Mechanism on Its Equity Options Platform Comments Due: Exhibit 5 Federal Register version (81 FR 48859)
34-78357
July 19, 2016
SR-NYSEArca-2016-94
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 1.1 To Establish an Official Closing Price for Exchange-Listed Securities if the Exchange Is Unable To Conduct a Closing Auction Comments Due: Exhibit 5 Federal Register version (81 FR 48477)
34-78361
July 19, 2016
SR-BX-2016-043
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Adjustments to Its Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (81 FR 48485)
34-78354
July 19, 2016
SR-NASDAQ-2016-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7018 Comments Due: Exhibit 5 Federal Register version (81 FR 48487)
34-78360
July 19, 2016
SR-NASDAQ-2016-096
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Adjustments to Nasdaq's Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (81 FR 48475)
34-78359
July 19, 2016
SR-FINRA-2016-027
Notice of Filing of a Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79116 Federal Register version (81 FR 48465)
34-78353
July 18, 2016
SR-BOX-2016-32
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs That Permit the Exchange to Have No Minimum Size Requirement for Orders Entered Into the PIP and COPIP Comments Due: Exhibit 5 Federal Register version (81 FR 47843)
34-78342
July 15, 2016
SR-ISEMercury-2016-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Price Improvement Mechanism Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 47481)
34-78343
July 15, 2016
SR-ISEGemini-2016-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Price Improvement Mechanism Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 47483)
34-78338
July 15, 2016
SR-BatsBZX-2016-41
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 47458)
34-78346
July 15, 2016
SR-BatsBZX-2016-34
Notice of Filing of a Proposed Rule Change to BZX Rule 14.11(i), Managed Fund Shares, To List and Trade Shares of the ProShares Crude Oil Strategy ETF, a Series of ProShares Comments Due: View Received Comments Rel. No. 34-78847 , Rel. No. 34-78643 Federal Register version (81 FR 47475)
34-78348
July 15, 2016
SR-NYSEMKT-2016-48
Notice of Filing of Proposed Rule Change To Amend Certain Rules Related to Flexible Exchange Options Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78744 Federal Register version (81 FR 47469)
34-78345
July 15, 2016
SR-NYSEArca-2016-96
Notice of Filing of 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. 34-78727 , Rel. No. 34-79111 , Rel. No. 34-79802 , Rel. No. 34-80254 Federal Register version (81 FR 47447)
34-78344
July 15, 2016
SR-ISE-2016-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Price Improvement Mechanism Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 47459)
34-78347
July 15, 2016
SR-FICC-2016-003
Notice of Filing of Proposed Rule Change To Describe the Blackout Period Exposure Charge That May Be Imposed on GCF Repo Participants Comments Due: Exhibit 5 , Rel. No. 34-79077 Federal Register version (81 FR 47466)
34-78339
July 15, 2016
SR-BatsEDGX-2016-29
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Functionality Offered by the Exchange's Options Platform To: Modify Various Rules To Eliminate the Display-Price Sliding Option; Modify Various Rules To Eliminate Price Improving Orders; and Adopt the Step Up Mechanism Comments Due: Exhibit 5 Federal Register version (81 FR 47461)
34-78330
July 14, 2016
SR-BatsEDGA-2016-15
Notice of Filing of a Proposed Rule Change To Adopt Paragraph (c) to 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 Federal Register version (81 FR 47223)
34-78334
July 14, 2016
SR-BatsBZX-2016-29
Notice of Filing of a Proposed Rule Change To Adopt Paragraph (c) to 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 47187)
34-78333
July 14, 2016
SR-BatsBYX-2016-17
Notice of Filing of a Proposed Rule Change 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 47198)
34-78324
July 14, 2016
SR-NYSEMKT-2016-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to the Customer Best Execution Auction per Rule 971.1NY Comments Due: Exhibit 5 Federal Register version (81 FR 47196)
34-78328
July 14, 2016
SR-NYSEArca-2016-63
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of BlackRock Government Collateral Pledge Unit Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-79498 , 34-79398 , Rel. No. 334-78728 , Rel. No. 34-77941 Federal Register version (81 FR 47222)
34-78323
July 14, 2016
SR-MSRB-2016-09
Notice of Filing of a Proposed Rule Change To Establish the MSRB Academic Historical Transaction Data Product Comments Due: View Received Comments Federal Register version (81 FR 47211)
34-78327
July 14, 2016
SR-FINRA-2016-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules Comments Due: Exhibit 5 Federal Register version (81 FR 47229)
