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)
34-78331
July 14, 2016
SR-BatsEDGX-2016-26
Notice of Filing of a Proposed Rule Change To Adopt Paragraph (c) to 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 Federal Register version (81 FR 47205)
34-78314
July 13, 2016
SR-BatsEDGA-2016-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to EDGA Rule 13.4(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 Federal Register version (81 FR 46984)
34-78317
July 13, 2016
SR-Phlx-2016-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Implement the Quoting and Trading Provisions of the Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 46979)
34-78316
July 13, 2016
SR-CBOE-2016-056
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Automated Improvement Mechanism Comments Due: Federal Register version (81 FR 46975)
34-78315
July 13, 2016
SR-C2-2016-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Automated Improvement Mechanism Comments Due: Federal Register version (81 FR 46986)
34-78312
July 13, 2016
SR-BOX-2016-30
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce New Risk Protections on the Exchange and Provide Enhancements to Current Risk Protections Comments Due: Exhibit 5 Federal Register version (81 FR 46990)
34-78313
July 13, 2016
SR-BatsEDGX-2016-30
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to EDGX Rule 13.4(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 Federal Register version (81 FR 46974)
34-78303
July 12, 2016
SR-BatsBZX-2016-37
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 11.26(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 Federal Register version (81 FR 46747)
34-78305
July 12, 2016
SR-BatsBZX-2016-36
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 46725)
34-78306
July 12, 2016
SR-BatsBZX-2016-33
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 46738)
34-78302
July 12, 2016
SR-BatsBYX-2016-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BYX Rule 11.26(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 Federal Register version (81 FR 46745)
34-78301
July 12, 2016
SR-Phlx-2016-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Pilot Program Through January 18, 2017 Comments Due: Federal Register version (81 FR 46731)
34-78297
July 12, 2016
SR-NYSEMKT-2016-67
Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE Amex Options Fee Schedule Effective July 1, 2016 Comments Due: Exhibit 5 Federal Register version (81 FR 46749)
34-78298
July 12, 2016
SR-BX-2016-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Detection of Loss of Connection Comments Due: Exhibit 5 Federal Register version (81 FR 46739)
34-78290
July 12, 2016
SR-NASDAQ-2016-071
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF Comments Due: View Received Comments Rel. No. 34-77895 Federal Register version (81 FR 46724)
34-78299
July 12, 2016
SR-MIAX-2016-20
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 46734)
34-78295
July 12, 2016
SR-ISE-2016-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the SPY Pilot Program Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 46728)
34-78292
July 12, 2016
SR-CBOE-2016-054
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 46721)
34-78304
July 12, 2016
SR-BatsEDGX-2016-27
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as They Apply to the Equity Options Platform Comments Due: Exhibit 5 Federal Register version (81 FR 46719)
34-78283
July 11, 2016
SR-NYSEMKT-2016-42
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 Rule 952NY With Respect to Opening Trading in an Options Series Comments Due: View Received Comments Rel. No. 34-77911 , Rel. No. 34-77540 Federal Register version (81 FR 46144)
34-78280
July 11, 2016
SR-NYSEArca-2016-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 3.3 To Delete an Outdated Reference Comments Due: Exhibit 5 Federal Register version (81 FR 46129)
34-78284
July 11, 2016
SR-NYSEARCA-2016-49
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 Rule 6.64 With Respect To Opening Trading in an Options Series Comments Due: View Received Comments Rel. No. 34-77912 , Rel. No. 34-77539 Federal Register version (81 FR 46131)
34-78278
July 11, 2016
SR-BX-2016-041
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Under Rule 7018 Comments Due: Exhibit 5 Federal Register version (81 FR 46126)
34-78286
July 11, 2016
SR-BX-2016-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Automated Removal of Quotes Comments Due: Exhibit 5 Federal Register version (81 FR 46135)
34-78285
July 11, 2016
SR-NASDAQ-2016-087
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Automated Removal of Orders and Quotes Comments Due: Exhibit 5 Federal Register version (81 FR 46147)
34-78279
July 11, 2016
SR-FINRA-2016-022
Notice of Filing of a Proposed Rule Change To Amend Rule 12403 (Cases With Three Arbitrators) of the Code of Arbitration Procedure for Customer Disputes Relating to the Panel Selection Process in Arbitration Comments Due: View Received Comments Rel. No. 34-78836 Federal Register version (81 FR 46139)
34-78281
July 11, 2016
SR-FINRA-2016-025
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fee for the Regulatory Element of Continuing Education Comments Due: Exhibit 5 Federal Register version (81 FR 46133)
34-78276
July 11, 2016
SR-CBOE-2016-041
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 46125)
34-78262
July 8, 2016
SR-BatsBZX-2016-30
Notice of Filing of a 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 45554)
34-78264
July 8, 2016
SR-BatsBZX-2016-35
Notice of Filing of 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. 34-78613 Federal Register version (81 FR 45546)
34-78266
July 8, 2016
SR-NYSEMKT-2016-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY Regarding Transactions That Qualify as a Catastrophic Error as it Relates to Binary Return Derivatives Contracts Comments Due: Exhibit 5 Federal Register version (81 FR 45575)
34-78259
July 8, 2016
SR-NYSEArca-2015-93
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Shares of the Cumberland Municipal Bond ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel No. 34-78003 , 34-77340 , Rel. No. 34-76955 , Rel. No. 34-76590 Federal Register version (81 FR 45577)
34-78260
July 8, 2016
SR-NYSEArca-2016-95
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 45590)
34-78261
July 8, 2016
SR-NYSEArca-2016-08
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt NYSE Arca Equities Rule 8.900 To Permit Listing and Trading of Managed Portfolio Shares and To Permit Listing and Trading of Shares of Fifteen Issues of the Precidian ETFs Trust Comments Due: View Received Comments Rel. No. 34-77405 , Rel. No. 34-77117 , Rel. No. 34-77845 Federal Register version (81 FR 45577)
34-78267
July 8, 2016
SR-NYSEArca-2016-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.87 Regarding Transactions That Qualify as a Catastrophic Error as it Relates to Binary Return Derivatives Contracts Comments Due: Federal Register version (81 FR 45573)
34-78263
July 8, 2016
SR-NYSE-2016-44
Notice of Filing of Proposed Rule Change 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 Exhibit 5 , Rel. No. 34-80214 , Rel. No. 34-79736 , Rel. No. 34-79085 , Rel. No. 34-78641 Federal Register version (81 FR 45580)
34-78265
July 8, 2016
SR-MIAX-2016-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A To Extend the MIAX Price Improvement Mechanism ("PRIME") Auction Pilot Program Until January 18, 2017 Comments Due: Exhibit 5 Federal Register version (81 FR 45578)
34-78248
July 7, 2016
SR-CFE-2016-003
Notice of Proposed Rule Change Regarding Account and Order Ticket Information Comments Due: Exhibit 4 Federal Register version (81 FR 45326)
34-78245
July 7, 2016
SR-Phlx-2016-58
Notice of Filing of Proposed Rule Change To Adopt Limit Order Protection Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78667 Federal Register version (81 FR 45337)
34-78241
July 7, 2016
SR-NYSEMKT-2016-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Rule 904 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 45325)
34-78240
July 7, 2016
SR-NYSEArca-2016-64
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the AdvisorShares KIM Korea Equity ETF Comments Due: View Received Comments Rel. No. 34-79062 , Rel. No. 34-78614 , Rel. No. 34-77847 Federal Register version (81 FR 45332)
34-78242
July 7, 2016
SR-NYSEArca-2016-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Rule 6.8 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 45330)
34-78244
July 7, 2016
SR-BX-2016-037
Notice of Filing of Proposed Rule Change To Adopt Limit Order Protection Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78667 Federal Register version (81 FR 45320)
34-78249
July 7, 2016
SR-BX-2016-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend PRISM Pilot Program Through January 18, 2017 Comments Due: Exhibit 5 Federal Register version (81 FR 45334)
34-78250
July 7, 2016
SR-BX-2016-039
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Implement the Quoting and Trading Provisions of the Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 45340)
34-78246
July 7, 2016
SR-NASDAQ-2016-067
Notice of Filing of Proposed Rule Change To Adopt Limit Order Protection Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78667 Federal Register version (81 FR 45332)
34-78251
July 7, 2016
SR-NASDAQ-2016-093
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Implement the Quoting and Trading Provisions of the Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 45315)
34-78237
July 7, 2016
SR-FINRA-2016-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Application of FINRA Rule 2210 ("Communications With the Public") to Debt Research Reports Comments Due: Exhibit 5 Federal Register version (81 FR 45328)
34-78243
July 7, 2016
SR-BOX-2016-28
Notice of Filing of Proposed Rule Change To Expand the Short Term Option Series Program To Allow Wednesday Expirations for SPY Options Comments Due: Exhibit 5 , Rel. No. 34-78668 Federal Register version (81 FR 45346)
34-78247
July 7, 2016
SR-BOX-2016-31
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-3120-2 to Rule 3120 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF ("SPY") ("SPY Pilot Program") Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 45348)
34-78236
July 6, 2016
SR-BatsBZX-2016-26
Notice of Filing of Proposed Rule Change to BZX Rule 14.11(d) To Add the EURO STOXX 50 Volatility Futures to the Definition of Futures Reference Asset Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79069 , Rel. No. 34-78640 Federal Register version (81 FR 45185)
34-78232
July 6, 2016
SR-PHLX-2016-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3100 Comments Due: Exhibit 5 Federal Register version (81 FR 45194)
34-78233
July 6, 2016
SR-NYSE-2016-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Comments Due: Exhibit 5 Federal Register version (81 FR 45190)
34-78234
July 6, 2016
SR-BX-2016-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4120 Comments Due: Exhibit 5 Federal Register version (81 FR 45188)
34-78235
July 6, 2016
SR-C2-2016-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules Related to Execution and Priority Comments Due: Exhibit 5 Federal Register version (81 FR 45196)
34-78226
July 5, 2016
SR-BatsBZX-2016-31
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Interpretation and Policy .01 to Rule 16.1 To Specify the Calculation Methodology for Counting Professional Orders Comments Due: Exhibit 5 Federal Register version (81 FR 44903)
34-78228
July 5, 2016
SR-NYSE-2016-24
Notice of Filing of Partial Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 2 and 3, Relating to Pre-Opening Indications and Opening Procedures Comments Due: View Received Comments Rel. No. 34-77829 , Rel. No. 34-77491 Federal Register version (81 FR 44907)
34-78225
July 5, 2016
SR-NASDAQ-2016-072
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the Amplify Dow Theory Forecasts Buy List ETF of Amplify ETF Trust Comments Due: Rel. No. 34-77890 , Rel. No. 34-78626 Federal Register version (81 FR 44902)
34-78227
July 5, 2016
SR-NASDAQ-2016-061
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the First Trust Equity Market Neutral ETF of the First Trust Exchange-Traded Fund VIII Comments Due: Rel. No. 34-78592 , Rel. No. 34-77854 Federal Register version (81 FR 44907)
34-78218
July 1, 2016
SR-NYSEArca-2016-82
Notice of Filing of Proposed Rule Change To List and Trade Shares of the JPMorgan Diversified Event Driven ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel.No. 34-79683 , Rel. No. 34-78610 Federal Register version (81 FR 44339)
34-78223
July 1, 2016
SR-NASDAQ-2016-013
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Board of Director's Members or Nominees Comments Due: View Received Comments Rel. No. 34-77879 , Rel. No. 34-77481 Federal Register version (81 FR 44400)
34-78222
July 1, 2016
SR-MIAX-2016-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 44390)
34-78219
July 1, 2016
SR-FINRA-2016-024
Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) Comments Due: View Received Comments Exhibit 2a , Exhibit 2b , Exhibit 2c , Exhibit 5 Federal Register version (81 FR 44359)
34-78220
July 1, 2016
SR-FINRA-2015-054
Notice of Filing of Partial Amendment No. 2 to Proposed Rule Change To Adopt FINRA Capital Acquisition Broker Rules Comments Due: Exhibit 4 , Exhibit 5 , Rel. No. 34-78617 , Rel. No. 34-77581 , Rel. No. 34-77391 , Rel. No. 34-76675 Federal Register version (81 FR 44372)
34-78221
July 1, 2016
SR-BatsEDGX-2016-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Interpretation and Policy .01 to Rule 16.1 To Specify the Calculation Methodology for Counting Professional Orders Comments Due: Exhibit 5 Federal Register version (81 FR 44353)
34-78202
June 30, 2016
SR-ISEMercury-2016-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 44377)
34-78201
June 30, 2016
SR-ISE-Gemini-2016-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 44393)
34-78198
June 30, 2016
SR-NYSEMKT-2016-52
Notice for Securities Industry Registration Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79055 , Rel. No. 34-78598 , Rel. No. 34-80154 Federal Register version (81 FR 44363)
34-78204
June 30, 2016
SR-NYSEArca-2016-67
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Shares of the Natixis Seeyond International Minimum Volatility ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-78758 , Rel. No. 34-78627 , Rel. No. 34-77861 Federal Register version (81 FR 44393)
34-78207
June 30, 2016
SR-NYSEArca-2016-70
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Regarding Use of Rule 144A Securities By the Fidelity Corporate Bond ETF, Fidelity Investment Grade Bond ETF, Fidelity Limited Term Bond ETF, and Fidelity Total Bond ET Comments Due: View Received Comments Rel. No. 34-77891 , Rel. No. 34-78712 , Rel No. 34-79384 Federal Register version (81 FR 44338)
34-78199
June 30, 2016
SR-BX-2016-035
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Professional Designation Comments Due: Exhibit 5 Federal Register version (81 FR 44373)
34-78200
June 30, 2016
SR-NASDAQ-2016-091
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professionals Order Counting Comments Due: Exhibit 5 Federal Register version (81 FR 44349)
34-78208
June 30, 2016
SR-NASDAQ-2016-092
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule To Prohibit Disruptive Quoting and Trading Activity Comments Due: Exhibit 5 Federal Register version (81 FR 44366)
34-78203
June 30, 2016
SR-ISE-2016-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 44404)
34-78205
June 30, 2016
SR-ICC-2016-009
Notice of Filing of Proposed Rule Change To Revise the ICC Treasury Operations Policies and Procedures Comments Due: Rel. No. 34-78566 Federal Register version (81 FR 44357)
34-78193
June 29, 2016
SR-BatsBZX-2016-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Interpretation and Policy .01 From Rule 11.13, Order Execution and Routing Comments Due: Exhibit 5 Federal Register version (81 FR 44076)
34-78194
June 29, 2016
SR-BatsBYX-2016-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Interpretation and Policy .01 From Rule 11.13, Order Execution and Routing Comments Due: Exhibit 5 Federal Register version (81 FR 44073)
34-78192
June 29, 2016
SR-Phlx-2016-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Detection of Loss of Connection Comments Due: Exhibit 5 Federal Register version (81 FR 44079)
34-78191
June 29, 2016
SR-NYSEArca-2016-87
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of First Trust Horizon Managed Volatility Domestic ETF and First Trust Horizon Managed Volatility Developed International ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-78587 , Rel. No. 34-78644 Federal Register version (81 FR 44056)
34-78196
June 29, 2016
SR-FINRA-2016-023
Notice of Filing of a Proposed Rule Change To Increase Transparency for CMO Transactions Comments Due: View Received Comments Exhibit 2a , Exhibit 2b , Exhibit 2c , Exhibit 5 , Rel. No. 34-78925 Federal Register version (81 FR 44065)
34-78180
June 28, 2016
SR-BatsBYX-2016-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24, Retail Price Improvement Program, To Extend the Pilot Period Comments Due: Exhibit 5 Federal Register version (81 FR 43306)
34-78176
June 28, 2016
SR-NYSEMKT-2016-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY in Order To Extend the Penny Pilot Through December 31, 2016 Comments Due: Exhibit 5 Federal Register version (81 FR 43320)
34-78174
June 28, 2016
SR-NYSEArca-2016-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to Exchange Rule 6.72 in Order To Extend the Penny Pilot Through December 31, 2016 Comments Due: Exhibit 5 Federal Register version (81 FR 43332)
34-78181
June 28, 2016
SR-NYSEArca-2016-44
Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add a New Discretionary Pegged Order Comments Due: View Received Comments Rel. No. 34-77820 , Rel. No. 34-77441 Federal Register version (81 FR 43297)
34-78175
June 28, 2016
SR-NASDAQ-2016-088
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce the Fees for Certain Real Estate Investment Trusts Listed on Nasdaq Comments Due: Federal Register version (81 FR 43327)
34-78188
June 28, 2016
SR-NASDAQ-2016-082
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the AdvisorShares Market Adaptive Unconstrained Income ETF of the AdvisorShares Trust Comments Due: Federal Register version (81 FR 43678)
34-78186
June 28, 2016
SR-MSRB-2016-08
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50) Comments Due: Exhibit 3a , Exhibit 3b Federal Register version (81 FR 43687)
34-78182
June 28, 2016
SR-FINRA-2016-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) Comments Due: Exhibit 5 Federal Register version (81 FR 43690)
34-78177
June 28, 2016
SR-CBOE-2016-049
Notice of Filing of a Proposed Rule Change To List Options That Overlie the FTSE Developed Europe Index and the FTSE Emerging Index, To Raise the Comprehensive Surveillance Agreement Percentage Applicable to Certain Index Options, and To Amend the Maintenance Listing Criteria Applicable to Certain Index Options Comments Due: Exhibit 3 , Exhibit 5 , Rel. No. 34-78760 , Rel. No. 34-78511 Federal Register version (81 FR 43308)
34-78187
June 28, 2016
SR-C2-2016-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Professionals Order Counting Comments Due: Federal Register version (81 FR 43681)
34-78171
June 28, 2016
SR-BOX-2016-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7150 (Price Improvement Period ("PIP")) To Establish the Quality Market Maker Allocation in a PIP Order Comments Due: Exhibit 5 Federal Register version (81 FR 43322)
