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)
34-78014
June 8, 2016
SR-NASDAQ-2016-035
Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Secondary Contingency Procedures for the Exchange's Closing Cross Comments Due: View Received Comments Rel. No. 34-77678 , Rel. No. 34-77309 Federal Register version (81 FR 38755)
34-78023
June 8, 2016
SR-MIAX-2016-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 519C, Mass Cancellation of Trading Interest Comments Due: Exhibit 5 Federal Register version (81 FR 38751)
34-78013
June 8, 2016
SR-CBOE-2016-048
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program Comments Due: Federal Register version (81 FR 38758)
34-78012
June 8, 2016
SR-C2-2016-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program Comments Due: Federal Register version (81 FR 38753)
34-78005
June 7, 2016
SR-BATS-2015-100
Notice of Filing of Amendment No. 5 To Proposed Rule Change, as Modified by Amendments Nos. 1, 3, and 4 thereto, To Amend Rule 14.11(i) To Adopt Generic Listing Standards for Managed Fund Shares Comments Due: Exhibit 4 , Exhibit 5 , Rel. No. 34-77871 , Rel. No. 34-77202 , Rel. No. 34-76820 , 34-76478 Federal Register version (81 FR 38247)
34-78001
June 7, 2016
SR-Phlx-2016-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to a Proposal To Relocate and Update the Existing Provisions of Rule 1080.07 to New Rule 1098 Comments Due: Exhibit 5 Federal Register version (81 FR 38246)
34-78004
June 7, 2016
SR-Phlx-2016-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Rules Governing Trading of Index Options Comments Due: Exhibit 5 Federal Register version (81 FR 38230)
34-78000
June 7, 2016
SR-NYSEMKT-2016-58
Notice of Filing of Proposed Rule Change Relating to Amendments to NYSE MKT Rules 1600 et seq. and to Changes to the Names and Operation of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79561 , Rel. No. 34-79510 , Rel. No. 34-78804 , Rel. No. 34-78432 Federal Register version (81 FR 38232)
34-78003
June 7, 2016
SR-NYSEArca-2015-93
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 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. 34-76590 , 34-77340 , Rel. No. 34-76955 , Rel. No. 34-78259 Federal Register version (81 FR 38258)
34-77995
June 6, 2016
SR-CHX-2016-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Business Continuity Plan Requirements for Participants Comments Due: Exhibit 5 Federal Register version (81 FR 37656)
34-77996
June 6, 2016
SR-NYSE-2016-22
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 5, To Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopt Listing Fees Specific to Equity Investment Tracking Stocks Comments Due: View Received Comments Rel. No. 34-78153 , Rel. No. 34-77850 , Rel. No. 34-77674 Federal Register version (81 FR 37659)
34-77992
June 3, 2016
SR-NYSEArca-2016-79
Notice of Filing of 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. 34-78386 Federal Register version (81 FR 37222)
34-77989
June 3, 2016
SR-MIAX-2016-13
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 37219)
34-77991
June 3, 2016
SR-DTC-2016-003
Notice of Filing of Proposed Rule Change Pursuant to Which It Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79488 , Rel. No. 34-78774 , Rel. No. 34-78379 Federal Register version (81 FR 37232)
34-77973
June 2, 2016
SR-NYSEMKT-2016-57
Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Eliminate Certain Services That are No Longer Utilized by Users and To Remove Obsolete Text Comments Due: Exhibit 5 Federal Register version (81 FR 36975)
34-77978
June 2, 2016
SR-NYSEMKT-2016-15
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-Location Section of the Fee Schedule To Reflect the Changes Comments Due: View Received Comments Rel. No. 34-78951 , Notice Release No. 34-78389 , Rel. No. 34-77640 Federal Register version (81 FR 36966)
34-77974
June 2, 2016
SR-NYSEArca-2016-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Eliminate Certain Services That Are No Longer Utilized by Users and To Remove Obsolete Text Comments Due: Exhibit 5 Federal Register version (81 FR 36981)
34-77977
June 2, 2016
SR-NYSEARCA-2016-19
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-Location Section of the Fee Schedule To Reflect the Changes Comments Due: View Received Comments Rel. No. 34-78952 , Rel. No. 34-78388 , Rel. No. 34-77641 Federal Register version (81 FR 36967)
34-77975
June 2, 2016
SR-NYSE-2016-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List To Eliminate Certain Services That Are No Longer Utilized by Users and To Remove Obsolete Text Comments Due: Federal Register version (81 FR 36973)
34-77976
June 2, 2016
SR-NYSE-2016-11
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-Location Section of the Price List To Reflect the Changes Comments Due: View Received Comments Rel. No. 34-78953 , Rel. No. 34-78387 , Rel. No. 34-77642 Federal Register version (81 FR 36981)
34-77983
June 2, 2016
SR-MIAX-2016-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1015, Disciplinary Functions Comments Due: Exhibit 5 Federal Register version (81 FR 36965)
34-77982
June 2, 2016
SR-ICC-2016-005
Notice of Filing of Amendment No. 1 and Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Update and Formalize the ICC Stress Testing Framework Comments Due: Federal Register version (81 FR 36979)
34-77956
June 1, 2016
SR-CFE-2016-001
Notice of Proposed Rule Change Regarding the Reporting Time for Exchange of Contract for Related Position Transactions and Block Trades That Involve Trade at Settlement Transactions Comments Due: Exhibit 4 Federal Register version (81 FR 36637)
34-77958
June 1, 2016
SR-BatsBZX-2016-01
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Under BZX Rule 14.11(c)(4) Shares of the Following Series of Market Vectors ETF Trust: Market Vectors 6-8 Year Municipal Index ETF; Market Vectors 8-12 Year Municipal Index ETF; and Market Vectors 12-17 Year Municipal Index ETF Comments Due: View Received Comments Rel. No. 34-78329 , Rel. No. 34-77594 Federal Register version (81 FR 36627)
34-77960
June 1, 2016
SR-BatsBZX-2016-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.13, Company Listing Fees Comments Due: Exhibit 5 Federal Register version (81 FR 36632)
34-77970
June 1, 2016
SR-Phlx-2016-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1000A(b)(8) Comments Due: Exhibit 5 Federal Register version (81 FR 36646)
34-77957
June 1, 2016
SR-MIAX-2016-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 506 Comments Due: Exhibit 5 Federal Register version (81 FR 36635)
34-77963
June 1, 2016
SR-FINRA-2016-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) Comments Due: Federal Register version (81 FR 36628)
34-77962
June 1, 2016
SR-CBOE-2016-047
Notice of Filing of a Proposed Rule Change Relating to Senior Management Authority Comments Due: Rel. No. 34-78293 Federal Register version (81 FR 36641)
34-77961
June 1, 2016
SR-C2-2016-005
Notice of Filing of a Proposed Rule Change Relating to Senior Management Authority Comments Due: Rel. No. 34-78294 Federal Register version (81 FR 36639)
34-77949
May 31, 2016
SR-NYSEMKT-2016-56
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing the Quoting and Trading Provisions of the Plan To Implement a Tick Size Pilot Program Submitted to the Commission Pursuant to Rule 608 of Regulation NMS Under the Act Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 36367)
34-77951
May 31, 2016
SR-NYSEMKT-2016-49
Notice of Designation of a Longer Period for Commission Action on a 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-Equitie Comments Due: Rel. No. 34-78367 , Rel. No. 34-77734 Federal Register version (81 FR 36367)
34-77947
May 31, 2016
SR-NYSEARCA-2016-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing the Quoting and Trading Provisions of the Plan To Implement a Tick Size Pilot Program Submitted to the Commission Pursuant to Rule 608 of Regulation NMS Under the Act Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 36361)
34-77952
May 31, 2016
SR-NYSEArca-2016-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Change to the Benchmark Index Applicable to the WisdomTree Managed Futures Strategy Fund Comments Due: Federal Register version (81 FR 36357)
34-77950
May 31, 2016
SR-NYSE-2016-30
Notice of Designation of a Longer Period for Commission Action on a 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. 34-78368 , Rel. No. 34-77701 Federal Register version (81 FR 36357)
34-77938
May 27, 2016
SR-OCC-2016-007
Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Membership Approval Process Comments Due: Exhibit 5a , Exhibit 5b , Rel. No. 34-78277 , Exhibit 5a , Exhibit 5b , Rel. No. 34-78277 Federal Register version (81 FR 35402)
34-77941
May 27, 2016
SR-NYSEArca-2016-63
Notice of Filing of 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. 34-78328 Federal Register version (81 FR 35425)
34-77943
May 27, 2016
SR-ICEEU-2016-004
Notice of Filing of Amendment No. 1 and Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Additions to Permitted Cover Comments Due: Rel. No. 34-77634 , Rel. No. 34-77234 Federal Register version (81 FR 35401)
34-77927
May 26, 2016
SR-ISE-Gemini-2015-17
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 804(g) Comments Due: Rel. No. 34-78424 , Rel. No. 34-77247 , Rel. No. 34-76894 , Rel. No. 34-76505 Federal Register version (81 FR 35411)
34-77925
May 26, 2016
SR-NYSEArca-2016-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees Effective June 1, 2016 Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 35412)
34-77934
May 26, 2016
SR-NYSEArca-2016-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31P(e) Regarding ALO Orders Comments Due: Exhibit 5 Federal Register version (81 FR 35415)
34-77929
May 26, 2016
SR-NYSE-2016-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Comments Due: Exhibit 5 Federal Register version (81 FR 35406)
34-77930
May 26, 2016
SR-NYSE-2016-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 130 Comments Due: Exhibit 5 Federal Register version (81 FR 35410)
34-77928
May 26, 2016
SR-ISE-2015-30
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 804(g) Comments Due: Rel. No. 34-78423 , Rel. No. 34-77246 , Rel. No. 34-76893 , Rel. No. 34-76506 Federal Register version (81 FR 35409)
34-77923
May 26, 2016
SR-FINRA-2016-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) Comments Due: Exhibit 5 Federal Register version (81 FR 35432)
34-77926
May 26, 2016
SR-CBOE-2016-045
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 35421)
34-77906
May 25, 2016
SR-BatsEDGA-2016-10
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 35075)
34-77915
May 25, 2016
SR-BatsBZX-2016-19
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 35069)
34-77918
May 25, 2016
SR-BatsBYX-2016-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (81 FR 35078)
34-77919
May 25, 2016
SR-BatsBYX-2016-09
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 35116)
34-77908
May 25, 2016
SR-Phlx-2016-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to PIXL Pricing Comments Due: Exhibit 5 Federal Register version (81 FR 35094)
34-77916
May 25, 2016
SR-Phlx-2016-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 900.1, 910, and 921 Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (81 FR 35074)
34-77902
May 25, 2016
SR-NYSEMKT-2016-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 930NY Regarding Definition of Floor Broker Comments Due: Exhibit 5 Federal Register version (81 FR 35090)
34-77910
May 25, 2016
SR-NYSEMKT-2016-13
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order Into the Electronic Order Capture System Comments Due: View Received Comments Rel. No. 34-78742 , Rel. No. 34-78238 , Rel. No. 34-77518 Federal Register version (81 FR 35098)
34-77911
May 25, 2016
SR-NYSEMKT-2016-42
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 952NY With Respect to Opening Trading in an Options Series Comments Due: View Received Comments Rel. No. 34-78283 , Rel. No. 34-77540 Federal Register version (81 FR 35115)
34-77904
May 25, 2016
SR-NYSEArca-2016-17
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 of Shares of the JPMorgan Diversified Alternative ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-77512 , Rel. No. 34-77179 Federal Register version (81 FR 35101)
34-77909
May 25, 2016
SR-NYSEArca-2016-15
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 6.67(c) by Revising the Clearing Member Requirements for Entering an Order Into the Electronic Order Capture System Comments Due: View Received Comments Rel. No. 34-78239 , Rel. No. 34-77516 , Rel. No. 34-78743 Federal Register version (81 FR 35079)
34-77912
May 25, 2016
SR-NYSEARCA-2016-49
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 6.64 With Respect to Opening Trading in an Options Series Comments Due: View Received Comments Rel. No. 34-78284 , Rel. No. 34-77539 Federal Register version (81 FR 35105)
34-77917
May 25, 2016
4-668
Notice of Filing and Immediate Effectiveness of Amendment No. 3 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, 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 35072)
34-77914
May 25, 2016
SR-BX-2016-028
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 35106)
34-77913
May 25, 2016
SR-NASDAQ-2016-074
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: View Received Comments Exhibit 5 Federal Register version (81 FR 35081)
34-77903
May 25, 2016
SR-MSRB-2016-07
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to MSRB Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities Comments Due: View Received Comments Exhibit 2 , Exhibit 5 , Rel. No. 34-78611 Federal Register version (81 FR 35111)
34-77907
May 25, 2016
SR-ISE-2016-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (81 FR 35079)
34-77905
May 25, 2016
SR-BatsEDGX-2016-19
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 35099)
34-77889
May 24, 2016
SR-BatsEDGA-2016-09
Notice of Filing and Immediate Effectiveness of a Proposed Change to the Market Data Section of its Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 34398)
34-77891
May 24, 2016
SR-NYSEArca-2016-70
Notice of Filing of 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 ETF Comments Due: View Received Comments Rel. No. 34-77891 , Rel. No. 34-78712 , Rel No. 34-79384 Federal Register version (81 FR 34388)
34-77897
May 24, 2016
SR-NYSEArca-2016-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.43 Regarding Definition of Floor Broker Comments Due: Exhibit 5 Federal Register version (81 FR 34401)
34-77899
May 24, 2016
SR-NYSE-2016-37
Notice of Filing of Proposed Rule Change Removing From Its Rules Certain Internal Procedures Regarding the Use of Fine Income Comments Due: View Received Comments Rel. No. 34-78326 Federal Register version (81 FR 34393)
34-77892
May 24, 2016
SR-BX-2016-027
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Pricing at Chapter XV, Section 2 Comments Due: Exhibit 5 Federal Register version (81 FR 34414)
34-77890
May 24, 2016
SR-NASDAQ-2016-072
Notice of Filing of 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. 34-78225 , Rel. No. 34-78626 Federal Register version (81 FR 34419)
34-77895
May 24, 2016
SR-NASDAQ-2016-071
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF of First Trust Exchange-Traded Fund VIII Comments Due: View Received Comments Rel. No. 34-78290 Federal Register version (81 FR 34407)
34-77888
May 24, 2016
SR-BatsEDGX-2016-18
Notice of Filing and Immediate Effectiveness of a Proposed Change to the Market Data Section of Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 34384)
34-77884
May 23, 2016
SR-BatsBZX-2016-17
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 33718)
34-77886
May 23, 2016
SR-BatsBYX-2016-08
Notice of Filing and Immediate Effectiveness of a Proposed Change to the Market Data Section of Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 33722)
34-77883
May 23, 2016
SR-NYSEArca-2016-69
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 33720)
34-77885
May 23, 2016
SR-NYSEArca-2016-75
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 33716)
34-77871
May 20, 2016
SR-BATS-2015-100
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 Amendments Nos. 1, 3, and 4 Thereto, To Amend BATS Rule 14.11(i) To Adopt Generic Listing Standards for Managed Fund Shares Rel. No. 34-78005 , Rel. No. 34-77202 , Rel. No. 34-76820 , 34-76478 Federal Register version (81 FR 33567)
34-77872
May 20, 2016
SR-NYSEArca-2015-110
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 No. 4 Thereto, Amending NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares Comments Due: View Received Comments Rel. No. 34-77203 , Rel. No. 34-76974 , Rel. No. 34-76819 , Rel. No. 34-76486 Federal Register version (81 FR 33570)
34-77878
May 20, 2016
SR-NASDAQ-2016-070
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Pricing at Chapter XV, Section 2 Comments Due: Exhibit 5 Federal Register version (81 FR 33572)
34-77879
May 20, 2016
SR-NASDAQ-2016-013
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change 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. 34-77481 , 34-78223 Federal Register version (81 FR 33571)
34-77877
May 20, 2016
SR-BOX-2016-22
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 12140 (Imposition of Fines for Minor Rule Violations) To Amend the Sanctions for Quotation Parameters and Permit the Aggregation of Violations for the Purpose of Determining What Is an Occurrence Comments Due: Exhibit 5 Federal Register version (81 FR 33568)
34-77859
May 19, 2016
SR-NYSEMKT-2016-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities and Related Rules Regarding Market Orders Comments Due: Exhibit 5 Federal Register version (81 FR 33286)
34-77858
May 19, 2016
SR-NYSEArca-2016-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reflecting a Change to the Means of Achieving the Investment Objective With Respect to the AdvisorShares EquityPro ETF Comments Due: Federal Register version (81 FR 33299)
34-77861
May 19, 2016
SR-NYSEArca-2016-67
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of 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. 34-78204 Federal Register version (81 FR 33291)
34-77860
May 19, 2016
SR-NYSE-2016-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 13 and Related Rules Regarding Market Orders Comments Due: Exhibit 5 Federal Register version (81 FR 33278)
34-77854
May 19, 2016
SR-NASDAQ-2016-061
Notice of Filing of Proposed Rule Change Relating To Listing and Trading of 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. 34-78227 Federal Register version (81 FR 33307)
34-77855
May 19, 2016
SR-NASDAQ-2016-057
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend and Clarify Closed-End Funds Annual Fees Comments Due: Federal Register version (81 FR 33275)
34-77856
May 19, 2016
SR-MSRB-2016-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation Comments Due: Exhibit 5 Federal Register version (81 FR 33285)
34-77853
May 19, 2016
SR-MIAX-2016-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100 Concerning Professional Customers Comments Due: Exhibit 5 Federal Register version (81 FR 33301)
34-77846
May 17, 2016
SR-BatsBZX-2016-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 15.1(a) and (c) in Order To Implement a Tape B Quoting Tier Comments Due: Exhibit 5 Federal Register version (81 FR 32356)
34-77847
May 17, 2016
SR-NYSEArca-2016-64
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of the AdvisorShares KIM Korea Equity ETF Comments Due: View Received Comments Rel. No. 34-79062 , Rel. No. 34-78614 , Rel. No. 34-78240 Federal Register version (81 FR 32364)
34-77849
May 17, 2016
SR-NYSEArca-2016-62
Notice of Filing of 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. 34-78564 , Rel. No. 34-78157 , Rel. No. 34-79173 , Rel. No. 34-79767 Federal Register version (81 FR 32371)
34-77850
May 17, 2016
SR-NYSE-2016-22
Notice of Filing of Amendment No. 5 to Proposed Rule Change Adopting Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopting Listing Fees Specific to Equity Investment Tracking Stocks Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78153 , Rel. No. 34-77996 , Rel. No. 34-77674 Federal Register version (81 FR 32360)
34-77844
May 17, 2016
SR-FINRA-2016-015
Notice of Filing 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 Comments Due: View Received Comments Rel. No. 34-78557 Federal Register version (81 FR 32359)
34-77841
May 16, 2016
SR-ISEMercury-2016-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (81 FR 31986)
34-77836
May 16, 2016
SR-NYSEMKT-2016-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Professional Customer in Rule 900.2NY(18A) Comments Due: Exhibit 5 Federal Register version (81 FR 31994)
34-77835
May 16, 2016
SR-NYSEARCA-2016-61
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 31984)
34-77837
May 16, 2016
SR-NYSEARCA-2016-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Professional Customer in Rule 6.1A(a)(4A) Comments Due: Exhibit 5 Federal Register version (81 FR 31981)
34-77838
May 16, 2016
SR-NYSE-2016-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE Rules 2090 (Know Your Customer) and 2111 (Suitability) That Are Substantially Similar to FINRA Rules 2090 and 2111 and Deleting Current Rule 405 and the Related NYSE Rule Interpretation To Harmonize Its Rules With Certain Financial Industry Regulatory Authority, Inc. Rules Comments Due: Federal Register version (81 FR 31974)
