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)
34-78172
June 28, 2016
SR-BOX-2016-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7260 by Extending the Penny Pilot Program Through December 31, 2016 Comments Due: Exhibit 5 Federal Register version (81 FR 43325)
34-78179
June 28, 2016
4-700
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Investors' Exchange LLC Comments Due: Rel. No. 34-78434 Federal Register version (81 FR 43673)
34-78162
June 27, 2016
SR-BatsEDGA-2016-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 13.8(b) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price Comments Due: Exhibit 5 Federal Register version (81 FR 43315)
34-78164
June 27, 2016
SR-BatsBZX-2016-27
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.22(j) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price Comments Due: Exhibit 5 Federal Register version (81 FR 43295)
34-78165
June 27, 2016
SR-BatsBYX-2016-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.22(i) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price Comments Due: Exhibit 5 Federal Register version (81 FR 43330)
34-78157
June 27, 2016
SR-NYSEArca-2016-62
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio Comments Due: View Received Comments Rel. No. 34-79767 , Rel. No. 34-78564 , Rel. No. 34-77849 , Rel. No. 34-79173 Federal Register version (81 FR 43327)
34-78163
June 27, 2016
SR-BatsEDGX-2016-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 13.8(b) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price Comments Due: Exhibit 5 Federal Register version (81 FR 43318)
34-78151
June 24, 2016
SR-OCC-2016-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Acceptance of Pass-Through Letters of Credit as a Form of Margin Asset Comments Due: Federal Register version (81 FR 42777)
34-78155
June 24, 2016
SR-NYSEMKT-2016-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a Temporary Suspension of Those Aspects of Rules 36.20-Equities and 36.21-Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Floor Broker Telephone Services Comments Due: Federal Register version (81 FR 42779)
34-78152
June 24, 2016
SR-NYSEArca-2016-90
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Widen Price Collar Thresholds for the Core Open Auction and Trading Halt Auctions Comments Due: Federal Register version (81 FR 42781)
34-78154
June 24, 2016
SR-NYSE-2016-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Floor Broker Telephone Services Comments Due: Federal Register version (81 FR 42766)
34-78149
June 24, 2016
SR-NASDAQ-2016-085
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Listed Companies Not Currently Subject to Nasdaq's All-Inclusive Annual Listing Fee To Opt In to That Fee Program for 2017 Comments Due: Exhibit 5 Federal Register version (81 FR 42388)
34-78150
June 24, 2016
SR-NASDAQ-2016-086
Notice of Filing of Proposed Rule Change to List and Trade the Shares of the VanEck Vectors Long/Flat Commodity ETF Comments Due: View Received Comments Federal Register version (81 FR 42768)
34-78143
June 23, 2016
SR-CFE-2016-002
Notice of Proposed Rule Change To Make Clarifying Updates to Prohibited Disruptive Trading Practices Comments Due: Exhibit 4 Federal Register version (81 FR 42386)
34-78146
June 23, 2016
SR-CHX-2016-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 42380)
34-78144
June 23, 2016
SR-ICC-2016-007
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Revise the ICC End-of-Day Price Discovery Policies and Procedures Comments Due: Rel. No. 34-77771 Federal Register version (81 FR 42018)
34-78121
June 22, 2016
SR-BatsEDGA-2016-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (81 FR 42027)
34-78122
June 22, 2016
SR-BatsBYX-2016-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (81 FR 42013)
34-78126
June 22, 2016
SR-CHX-2016-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Institutional Broker Fee Cap and Credit Comments Due: Exhibit 5 Federal Register version (81 FR 42022)
34-78124
June 22, 2016
SR-Phlx-2016-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Position Limits Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 42008)
34-78129
June 22, 2016
SR-Phlx-2016-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Risk Monitor Mechanism Comments Due: Exhibit 5 Federal Register version (81 FR 42024)
34-78125
June 22, 2016
SR-BX-2016-030
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Elimination of SPY Position Limits Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 42009)
34-78123
June 22, 2016
SR-NASDAQ-2016-084
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Elimination of SPY Position Limits Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 42030)
34-78120
June 22, 2016
SR-MIAX-2016-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 307 and 309 To Extend the SPY Pilot Program Comments Due: Exhibit 3 , Exhibit 3A , Exhibit 5 Federal Register version (81 FR 42032)
34-78130
June 22, 2016
SR-FINRA-2016-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook Comments Due: Federal Register version (81 FR 42016)
34-78131
June 22, 2016
SR-CBOE-2016-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend a Pilot Program that Eliminates Position and Exercise Limits for Physically-Settled SPDR S&P 500 ETF Trust ("SPY") Options Comments Due: Exhibit 3 Federal Register version (81 FR 42011)
34-78132
June 22, 2016
SR-CBOE-2016-046
Notice of Filing of a Proposed Rule Change To Expand the Nonstandard Expirations Pilot Program Comments Due: Rel. No. 34-78531 Federal Register version (81 FR 42018)
34-78111
June 21, 2016
SR-BatsBZX-2016-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (81 FR 41638)
34-78109
June 21, 2016
SR-CHX-2016-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fingerprinting Comments Due: Exhibit 5 Federal Register version (81 FR 41641)
34-78116
June 21, 2016
SR-Phlx-2016-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange's Pricing Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 41629)
34-78117
June 21, 2016
SR-NYSEMKT-2016-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 41634)
34-78108
June 21, 2016
SR-NYSE-2016-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Adopt a Fee Waiver and a Fee Cap Related to the Liquidity Provider Incentive Program on the NYSE BondsSM Comments Due: Exhibit 5 Federal Register version (81 FR 41636)
34-78107
June 21, 2016
SR-BX-2016-036
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 Options Quoting and Trading Activity Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 41619)
34-78119
June 21, 2016
SR-ISE-Gemini-2016-05
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1 Thereto, Relating to a Corporate Transaction in Which Nasdaq, Inc. Will Become the Indirect Parent of ISE, ISE Gemini, and ISE Mercury File Nos.: Comments Due: View Received Comments Rel. No. 34-77794 , Rel. No. 34-77795 Federal Register version (81 FR 41611)
34-78119
June 21, 2016
SR-ISEMercury-2016-10
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1 Thereto, Relating to a Corporate Transaction in Which Nasdaq, Inc. Will Become the Indirect Parent of ISE, ISE Gemini, and ISE Mercury File Nos.: Comments Due: View Received Comments Rel. No. 34-77794 , Rel. No. 34-77795 Federal Register version (81 FR 41611)
34-78119
June 21, 2016
SR-ISE-2016-11
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1 Thereto, Relating to a Corporate Transaction in Which Nasdaq, Inc. Will Become the Indirect Parent of ISE, ISE Gemini, and ISE Mercury File Nos.: Comments Due: View Received Comments Rel. No. 34-77794 , Rel. No. 34-77795 Federal Register version (81 FR 41611)
34-78110
June 21, 2016
SR-CBOE-2016-050
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Order Marking Comments Due: Federal Register version (81 FR 41626)
34-78112
June 21, 2016
SR-BatsEDGX-2016-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (81 FR 41617)
34-78106
June 20, 2016
SR-NYSEMKT-2016-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE MKT Rules 2090-Equities (Know Your Customer) and 2111-Equities (Suitability) That Are Substantially Similar to FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability), Deleting Current NYSE MKT Rule 405-Equities (Diligence as to Accounts), and Making Other Conforming Changes Comments Due: Federal Register version (81 FR 41364)
34-78103
June 20, 2016
SR-NASDAQ-2016-089
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Pricing at Chapter XV, Section 2 Comments Due: Exhibit 5 Federal Register version (81 FR 41359)
34-78091
June 16, 2016
SR-Phlx-2016-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Clarifying Amendments to and Remove Obsolete Language From Rules 1053 and 1056 Comments Due: Exhibit 5 Federal Register version (81 FR 40734)
34-78089
June 16, 2016
SR-NASDAQ-2016-083
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7018(a) and 7014(h) Comments Due: Exhibit 5 Federal Register version (81 FR 40736)
34-78090
June 16, 2016
SR-C2-2016-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 40739)
34-78079
June 15, 2016
SR-BatsBZX-2016-09
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Rule 14.11, Managed Fund Shares, To List and Trade Shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust Comments Due: View Received Comments Rel. No. 34-78415 , Rel. No. 34-77723 Federal Register version (81 FR 40381)
34-78075
June 15, 2016
SR-NYSEArca-2016-84
Notice of Filing of 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. 34-78425 Federal Register version (81 FR 40381)
34-78076
June 15, 2016
SR-NYSEARCA-2016-86
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 40379)
34-78078
June 15, 2016
SR-NASDAQ-2016-064
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Mortgage REIT ETF of First Trust Exchange-Traded Fund VIII Comments Due: Rel. No. 34-78443 , Rel. No. 34-77781 Federal Register version (81 FR 40377)
34-78080
June 15, 2016
SR-MIAX-2016-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510 To Extend the Penny Pilot Program Until December 31, 2016 Comments Due: Federal Register version (81 FR 40377)
34-78081
June 15, 2016
SR-FINRA-2015-036
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval to a Proposed Rule Change To Amend FINRA Rule 4210 (Margin Requirements) To Establish Margin Requirements for the TBA Market, as Modified by Amendment Nos. 1, 2, and 3 Comments Due: View Received Comments Exhibit 4 , Exhibit 5 , Rel. No. 34-77579 , Rel. No. 34-76908 , Rel. No. 34-76148 Federal Register version (81 FR 40364)
34-78061
June 14, 2016
SR-BatsBZX-2016-22
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 39972)
34-78060
June 14, 2016
SR-Phlx-2016-47
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted Comments Due: Federal Register version (81 FR 39979)
34-78065
June 14, 2016
SR-NYSEArca-2016-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Comments Due: Exhibit 5 Federal Register version (81 FR 39976)
34-78064
June 14, 2016
SR-BX-2016-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7018(a) Comments Due: Exhibit 5 Federal Register version (81 FR 39984)
34-78063
June 14, 2016
SR-NASDAQ-2016-056
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 PowerShares Variable Rate Investment Grade Portfolio, a Series of the PowerShares Actively Managed Exchange-Traded Fund Trust Comments Due: View Received Comments Rel. No. 34-78437 , Rel. No. 34-77715 Federal Register version (81 FR 39972)
34-78062
June 14, 2016
SR-BatsEDGX-2016-21
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 39981)
34-78048
June 13, 2016
SR-NSX-2016-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule To Adopt a Market Data Revenue Sharing Program Comments Due: Exhibit 5 Federal Register version (81 FR 39727)
34-78057
June 13, 2016
SR-NYSE-2016-31
Notice of Filing of 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: Exhibit 5 , Rel. No. 34-78855 , Rel. No. 34-78442 Federal Register version (81 FR 39722)
34-78047
June 13, 2016
SR-NASDAQ-2016-077
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Certain Fees Charged to Securities Listed on Nasdaq Under the Rule 5700 Series Comments Due: Federal Register version (81 FR 39736)
34-78050
June 13, 2016
SR-NASDAQ-2016-081
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Limited WebLink ACT or Nasdaq Workstation Post Trade Fee Tier Under Rule 7015(e) Comments Due: Exhibit 5 Federal Register version (81 FR 39724)
34-78051
June 13, 2016
SR-NASDAQ-2016-078
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Assessed Under Rule 7015(h) Comments Due: Federal Register version (81 FR 39739)
34-78045
June 13, 2016
SR-ICEEU-2016-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Clearance of Containerised White Sugar Futures Contracts Comments Due: Federal Register version (81 FR 39729)
34-78055
June 13, 2016
SR-ICC-2016-008
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise the ICC Clearing Rules Comments Due: Federal Register version (81 FR 39743)
34-78052
June 13, 2016
SR-BatsEDGX-2016-22
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 39731)
34-78038
June 10, 2016
SR-BatsEDGA-2016-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.7, Opening Process Comments Due: Exhibit 5 Federal Register version (81 FR 39301)
34-78032
June 10, 2016
SR-BatsBZX-2016-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 39307)
34-78034
June 10, 2016
SR-BatsBZX-2016-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24, Opening Process for Non-BZX-Listed Securities Comments Due: Exhibit 5 Federal Register version (81 FR 39296)
34-78035
June 10, 2016
SR-BatsBYX-2016-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.23, Opening Process Comments Due: Exhibit 5 Federal Register version (81 FR 39294)
34-78036
June 10, 2016
SR-BX-2016-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted Comments Due: Federal Register version (81 FR 39308)
34-78037
June 10, 2016
SR-NASDAQ-2016-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted Comments Due: Federal Register version (81 FR 39299)
34-78031
June 10, 2016
SR-DTC-2016-004
Notice of Filing of Proposed Rule Change To Establish a Link With Euroclear Comments Due: Exhibit 5 , Rel. No. 34-78358 Federal Register version (81 FR 39303)
34-78039
June 10, 2016
SR-BatsEDGX-2016-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.7, Opening Process Comments Due: Exhibit 5 Federal Register version (81 FR 39310)
34-78027
June 9, 2016
SR-Phlx-2016-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule Under Section VIII Comments Due: Exhibit 5 Federal Register version (81 FR 39078)
34-78026
June 9, 2016
SR-FINRA-2016-018
Notice of Filing of a Proposed Rule Change To Amend 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) Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78823 Federal Register version (81 FR 39081)
34-78024
June 9, 2016
SR-BOX-2016-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Make Non-Substantive Clerical Amendments Comments Due: Exhibit 5 Federal Register version (81 FR 39092)
34-78016
June 8, 2016
SR-NYSEArca-2015-110
Notice of Filing of Amendment No. 6 to a Proposed Rule Change To Amend NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares Comments Due: View Received Comments Rel. No. 34-76486 , Rel. No. 34-76819 , Rel. No. 34-77872 , Rel. No. 34-77203 , Rel. No. 34-76974 Federal Register version (81 FR 38759)
34-78015
June 8, 2016
SR-NYSEMKT-2016-31
Notice of Filings of Amendment No. 1, and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendment No. 1, To Provide for How the Exchanges Would Determine an Official Closing Price if the Exchanges Are Unable To Conduct a Closing Transaction File Nos.: Comments Due: Rel. No. 34-77305 , Rel. No. 34-77677 , Rel. No. 34-77306 , Rel. No. 34-77676 Federal Register version (81 FR 38747)
