34-77354
March 11, 2016
SR-NASDAQ-2016-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Quality Incentive Programs Under Rule 7014 Comments Due: Exhibit 5 Federal Register version (81 FR 14502)
34-77355
March 11, 2016
SR-NASDAQ-2016-031
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Under Rule 7018(a) Comments Due: Exhibit 5 Federal Register version (81 FR 14497)
34-77341
March 10, 2016
SR-Phlx-2015-94
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent the Pilot Program Eliminating Minimum Value Sizes for Opening Transactions in New Series of FLEX Options Comments Due: View Received Comments Rel No. 34-76989 , Rel. No. 34-76593 Federal Register version (81 FR 14160)
34-77336
March 10, 2016
SR-OCC-2016-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Simplify the Options Clearing Corporation's Schedule of Fees Comments Due: Exhibit 5 , Exhibit 5 Federal Register version (81 FR 14153)
34-77337
March 10, 2016
SR-NYSEArca-2015-76
Notice of Withdrawal of 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. 34-76630 , Rel. No. 34-76291 , Rel. No. 34-76291 Federal Register version (81 FR 14154)
34-77339
March 10, 2016
SR-BX-2016-016
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Rebates To Adopt the Select Symbols Options Tier Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 14155)
34-77338
March 10, 2016
SR-NASDAQ-2016-030
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Elkhorn Dorsey Wright Commodity Rotation Portfolio of Elkhorn ETF Trust Comments Due: View Received Comments Federal Register version (81 FR 14142)
34-77329
March 9, 2016
SR-EDGX-2016-16
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 13866)
34-77330
March 9, 2016
SR-BATS-2016-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 13861)
34-77333
March 9, 2016
SR-BATS-2016-02
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Rule 14.11(i), Managed Fund Shares, To List and Trade Shares of the iShares iBonds Dec 2023 AMT-Free Muni Bond ETF, iShares iBonds Dec 2024 AMT-Free Muni Bond ETF, iShares iBonds Dec 2025 AMT-Free Muni Bond ETF, and iShares iBonds Dec 2026 AMT-Free Muni Bond ETF of the iShares U.S. ETF Trust Rel. No. 34-76954 Federal Register version (81 FR 13854)
34-77334
March 9, 2016
SR-ISE-Gemini-2016-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Limit Mandatory Participation in Scheduled Functional and Performance Testing Under Regulation SCI to Only Those Primary Market Makers That Meet Specified Criteria Comments Due: Exhibit 5 Federal Register version (81 FR 13864)
34-77331
March 9, 2016
SR-CHX-2016-01
Notice of Filing of Proposed Rule Change To Adopt and Amend Rules To Permit the Exchange To Initiate CHX SNAP SM Comments Due: Exhibit 5 , Rel. No. 34-77711 Federal Register version (81 FR 13857)
34-77332
March 9, 2016
SR-NYSE-2016-16
Notice of Filing of Proposed Rule Change Amending Rule 98 To Provide That When Designated Market Makers Enter Interest for the Purpose of Facilitating the Execution of Customer Orders, Such Orders Would Not Be Required To Be Designated as DMM Interest Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-77708 Federal Register version (81 FR 13851)
34-77335
March 9, 2016
SR-ISE-2016-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Limit Mandatory Participation in Scheduled Functional and Performance Testing Under Regulation SCI to Only Those Primary Market Makers That Meet Specified Criteria Comments Due: Exhibit 5 Federal Register version (81 FR 13869)
34-77323
March 8, 2016
4-443
Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add ISE Mercury, LLC as a Plan S Comments Due: View Received Comments Federal Register version (81 FR 13433)
34-77324
March 8, 2016
4-546
Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add ISE Mercury LLC, as a Participant Comments Due: View Received Comments Federal Register version (81 FR 13425)
34-77320
March 8, 2016
SR-NASDAQ-2016-002
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Shares of the First Trust Municipal High Income ETF Comments Due: View Received Comments Rel. No. 34-78913 , Rel. No. 34-78384 , Rel. No. 34-77705 , Rel. No. 34-76944 Federal Register version (81 FR 13429)
34-77316
March 8, 2016
SR-MSRB-2016-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of an Amendment to Rule G-33, on Calculations, and an Interpretive Notice Comments Due: Exhibit 5 Federal Register version (81 FR 13426)
34-77319
March 8, 2016
SR-CBOE-2016-016
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Related to Options That Overlie the MSCI EAFE Index and the MSCI Emerging Markets Index Comments Due: Exhibit 5 Federal Register version (81 FR 13429)
34-77307
March 7, 2016
SR-BATS-2016-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules as Well as Certain Corporate Documents of the Exchange To Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries Comments Due: Exhibit 5A , Exhibit 5B , Exhibit 5C , Exhibit 5D , Exhibit 5E Federal Register version (81 FR 12996)
34-77310
March 7, 2016
SR-BATS-2016-27
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.27(b), Compliance With Data Collection Requirements, Relating to the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 13012)
34-77308
March 7, 2016
SR-BYX-2016-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules as Well as Certain Corporate Documents of the Exchange To Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries Comments Due: Exhibit 5A , Exhibit 5B , Exhibit 5C , Exhibit 5D Federal Register version (81 FR 12975)
34-77304
March 7, 2016
SR-NYSEMKT-2016-17
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-Located Users, Including the Waiver of Certain Fees, and To Amend the Visitor Security Escort Requirements and Fee Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-77680 Federal Register version (81 FR 12981)
34-77306
March 7, 2016
SR-NYSEMKT-2016-31
Notice of Filing of Proposed Rule Change Amending Rule 123C-Equities To Provide for How the Exchange Would Determine an Official Closing Price if the Exchange Is Unable To Conduct a Closing Transaction Comments Due: Exhibit 5 , Rel. No. 34-77676 Federal Register version (81 FR 12986)
34-77303
March 7, 2016
SR-NYSEArca-2016-21
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-Located Users, Including the Waiver of Certain Fees, and To Amend the Visitor Security Escort Requirements and Fee Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-77682 Federal Register version (81 FR 13003)
34-77305
March 7, 2016
SR-NYSE-2016-18
Notice of Filing of Proposed Rule Change Amending Rule 123C To Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable To Conduct a Closing Transaction Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-77677 Federal Register version (81 FR 12977)
34-77302
March 7, 2016
SR-NYSE-2016-13
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-Located Users, Including the Waiver of Certain Fees, and To Amend the Visitor Security Escort Requirements and Fee Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-77681 Federal Register version (81 FR 12998)
34-77301
March 7, 2016
SR-NASDAQ-2016-028
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the iSectors Post-MPT Growth ETF of ETFis Series Trust I Comments Due: View Received Comments Rel. No. 34-77623 , Rel. No. 34-77714 Federal Register version (81 FR 12990)
34-77309
March 7, 2016
SR-NASDAQ-2016-035
Notice of Filing of Proposed Rule Change To Establish a Secondary Contingency Procedure To Enable the Exchange To Report an Official Closing Price on Behalf of an Impaired Primary Listing Exchange Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-77678 , Rel. No. 34-78014 Federal Register version (81 FR 13007)
34-77311
March 7, 2016
SR-ICEEU-2016-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Delegation of Authority To Approve Certain Rule and Procedure Amendments Comments Due: Federal Register version (81 FR 13010)
34-77298
March 4, 2016
SR-EDGX-2016-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries Comments Due: Exhibit 5A , Exhibit 5B , Exhibit 5C , Exhibit 5D , Exhibit 5E Federal Register version (81 FR 12757)
34-77299
March 4, 2016
SR-EDGA-2016-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Rules as Well as Certain Corporate Documents of the Exchange To Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries Comments Due: Exhibit 5A , Exhibit 5B , Exhibit 5C , Exhibit 5D Federal Register version (81 FR 12759)
34-77292
March 4, 2016
SR-ISEMercury-2016-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (81 FR 12770)
34-77295
March 4, 2016
SR-Phlx-2016-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Provisions Related to Options Disputes Comments Due: Exhibit 5 Federal Register version (81 FR 12769)
34-77293
March 4, 2016
SR-NYSEMKT-2016-34
Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE Amex Options Fee Schedule Relating to ByRDs Transaction Fees Comments Due: Exhibit 5 Federal Register version (81 FR 12762)
34-77294
March 4, 2016
SR-NYSEArca-2016-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Relating to ByRDs Transaction Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 12775)
34-77297
March 4, 2016
SR-CBOE-2016-014
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Complex Orders Comments Due: Federal Register version (81 FR 12764)
34-77284
March 3, 2016
SR-BATS-2016-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.23, Auctions, To Lengthen the Auction Information Dissemination Periods for the Opening and Closing Auctions in BZX Listed Securities Comments Due: Exhibit 5 Federal Register version (81 FR 12175)
34-77287
March 3, 2016
SR-BATS-2015-124
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to BATS Rule 14.11(i), Managed Fund Shares, To List and Trade Shares of the REX VolMAXX Long VIX Weekly Futures Strategy ETF and the REX VolMAXX Inverse VIX Weekly Futures Strategy ETF of the Exchange Traded Concepts Trust Rel. No. 34-76884 , Rel. No. 34-77620 Federal Register version (81 FR 12540)
34-77291
March 3, 2016
SR-BATS-2015-108
Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change To Adopt BATS Rule 11.27(a) To Implement the Quoting and Trading Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Rel. No. 34-76552 , Rel. No. 34-76945 , Exemptive Letter Federal Register version (81 FR 12543)
34-77283
March 3, 2016
SR-Phlx-2016-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 12160)
34-77286
March 3, 2016
SR-Phlx-2016-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Access Services Fees Under Chapter VIII of the Pricing Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 12541)
34-77279
March 3, 2016
SR-NYSEMKT-2016-32
Notice of Filing and Immediate Effectiveness of a Proposed Change Amending the Fees for NYSE MKT Proprietary Market Data as They Apply to Federal Agency Customers Comments Due: Exhibit 5 Federal Register version (81 FR 12150)
34-77281
March 3, 2016
SR-NYSEArca-2016-37
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Arca Proprietary Market Data as They Apply to Federal Agency Customers Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 12163)
34-77289
March 3, 2016
SR-NYSEArca-2016-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fees for the NYSE Arca Order Imbalances Data Feed Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 12535)
34-77280
March 3, 2016
SR-NYSE-2016-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Proprietary Market Data as They Apply to Federal Agency Customers Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 12177)
34-77277
March 3, 2016
4-657
Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Implement a Tick Size Pilot Program To Add National Stock Exchange, Inc. as a Participant Comments Due: View Received Comments Federal Register version (81 FR 12162)
34-77282
March 3, 2016
SR-BX-2016-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Access Services Fees under Rule 7015 Comments Due: Exhibit 5 Federal Register version (81 FR 12184)
34-77285
March 3, 2016
SR-NASDAQ-2016-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Access Services Fees Under Rule 7015 Comments Due: Exhibit 5 Federal Register version (81 FR 12151)
34-77275
March 2, 2016
SR-NYSEMKT-2016-28
Notice of Filing and Immediate Effectiveness of a Proposed Change Amending the Fees for NYSE Amex Options Proprietary Market Data as They Apply to Federal Agency Customers Comments Due: Exhibit 5 Federal Register version (81 FR 12187)
34-77274
March 2, 2016
SR-NYSEARCA-2016-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 12154)
34-77276
March 2, 2016
SR-NYSEArca-2016-32
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Arca Options Proprietary Market Data as They Apply to Federal Agency Customers Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 12188)
34-77256
March 1, 2016
SR-BATS-2016-23
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 11872)
34-77264
March 1, 2016
SR-Phlx-2016-12
Notice of Withdrawal of Proposed Rule Change to Adopt Limit Order Protection and Market Order Protection Comments Due: Rel. No. 34-77007 Federal Register version (81 FR 11850)
34-77268
March 1, 2016
SR-NYSEARCA-2016-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7.21, Obligations of Market Maker Authorized Traders Comments Due: Exhibit 5 Federal Register version (81 FR 11870)
34-77266
March 1, 2016
SR-BX-2016-008
Notice of Withdrawal of Proposed Rule Change To Adopt Limit Order Protection and Market Order Protection Comments Due: Rel. No. 34-77006 Federal Register version (81 FR 11872)
34-77267
March 1, 2016
SR-NASDAQ-2016-005
Notice of Withdrawal of Proposed Rule Change To Adopt Limit Order Protection and Market Order Protection Comments Due: Rel. No. 34-76956 Federal Register version (81 FR 11872)
34-77269
March 1, 2016
SR-FINRA-2016-010
Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 4554 (Alternative Trading Systems-Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) Comments Due: View Received Comments Exhibit 2a , Exhibit 2b , Exhibit 2c , Exhibit 5 , Rel. No. 34-77635 , Rel. No. 34-77798 Federal Register version (81 FR 11851)
34-77252
Feb. 29, 2016
SR-BX-2016-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Options Chapter VII, Section 6 Comments Due: Federal Register version (81 FR 11634)
34-77251
Feb. 29, 2016
SR-MIAX-2016-06
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 11614)
34-77242
Feb. 26, 2016
SR-EDGX-2016-12
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 11335)
34-77245
Feb. 26, 2016
SR-Phlx-2016-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Kill Switch Comments Due: Exhibit 5 Federal Register version (81 FR 11307)
34-77241
Feb. 26, 2016
SR-NYSEMKT-2016-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Investigation, Disciplinary, Sanction, and Other Procedural Rules Modeled on the Rules of the New York Stock Exchange LLC and Certain Conforming and Technical Changes Comments Due: Exhibit 5 Federal Register version (81 FR 11311)
34-77243
Feb. 26, 2016
SR-FINRA-2016-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) Comments Due: Federal Register version (81 FR 11337)
34-77230
Feb. 25, 2016
SR-ISE-Gemini-2016-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct the Text of ISE Gemini Rule 306 Comments Due: Exhibit 5 Federal Register version (81 FR 10937)
34-77236
Feb. 25, 2016
SR-NYSEArca-2016-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.44P Retail Liquidity Program Comments Due: Exhibit 5 Federal Register version (81 FR 10943)
34-77232
Feb. 25, 2016
SR-NASDAQ-2016-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5745 Comments Due: Exhibit 5 Federal Register version (81 FR 10933)
34-77233
Feb. 25, 2016
SR-NASDAQ-2016-021
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Alternative Absolute Return Strategy ETF of First Trust Exchange-Traded Fund VII Comments Due: View Received Comments Rel. No. 34-77619 Federal Register version (81 FR 10925)
34-77239
Feb. 25, 2016
SR-NASDAQ-2016-027
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7018 Comments Due: Exhibit 5 Federal Register version (81 FR 10946)
34-77234
Feb. 25, 2016
SR-ICEEU-2016-004
Notice of Filing of a Proposed Rule Change Relating to Additions to Permitted Cover Comments Due: Rel. No. 34-77943 , Rel. No. 34-77634 Federal Register version (81 FR 10949)
34-77229
Feb. 25, 2016
SR-BOX-2016-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Controversial and Clerical Amendments to Its Rules Comments Due: Exhibit 5 Federal Register version (81 FR 10945)
34-77222
Feb. 24, 2016
SR-BATS-2016-17
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Its Rules Regarding the Auction Process for Securities Subject to an Initial Public Offering Comments Due: Exhibit 5 , Rel. No. 34-77480 Federal Register version (81 FR 10345)
34-77221
Feb. 24, 2016
SR-Phlx-2016-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section II of the Exchange's Pricing Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 10693)
34-77226
Feb. 24, 2016
SR-NASDAQ-2016-023
Notice of Filing of Proposed Rule Change To Amend Rules 4702 and 4703 Comments Due: Exhibit 5 , Rel. No. 34-77592 Federal Register version (81 FR 10687)
34-77211
Feb. 23, 2016
SR-EDGX-2016-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as Applicable to the Equity Options Platform Comments Due: Exhibit 5 Federal Register version (81 FR 10300)
34-77209
Feb. 23, 2016
SR-BATS-2015-94
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust Comments Due: View Received Comments Rel. No. 34-77567 , Rel. No. 34-76862 Federal Register version (81 FR 10315)
34-77214
Feb. 23, 2016
SR-BATS-2016-14
Notice of Filing of a Proposed Rule Change To Adopt an Early Trading Session and Three New Time-in-Force Instructions Comments Due: Exhibit 5 , Rel. No. 34-77611 Federal Register version (81 FR 10350)
34-77213
Feb. 23, 2016
SR-BYX-2016-03
Notice of Filing of a Proposed Rule Change To Adopt an Early Trading Session and Three New Time-In Force Instructions Comments Due: Exhibit 5 , Rel. No. 34-77607 Federal Register version (81 FR 10310)
34-77210
Feb. 23, 2016
SR-NYSEMKT-2016-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 1206 and 1212T of the NYSE MKT Company Guide Comments Due: Exhibit 5 Federal Register version (81 FR 10308)
34-77212
Feb. 23, 2016
SR-FINRA-2016-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 0151 (Coordination with the MSRB) and Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities) Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 10306)
34-77218
Feb. 23, 2016
SR-FINRA-2015-047
Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change To Adopt FINRA Rule 6191(a) To Implement the Quoting and Trading Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Rel. No. 34-76855 , Rel. No. 34-76483 , Exemptive Letter Federal Register version (81 FR 10290)
34-77202
Feb. 22, 2016
SR-BATS-2015-100
Notice of Filing of Amendments No. 1, No. 3, and No. 4 to, and Order Instituting Proceedings to Determine Whether To Approve or Disapprove, a Proposed Rule Change, as Modified by Amendments No. 1, No. 3, and No. 4, To Amend BATS Rule 14.11(i) To Adopt Generic Listing Standards for Managed Fund Shares Comments Due: Exhibit 5 , Rel. No. 34-78005 , Rel. No. 34-77871 , Rel. No. 34-76820 , 34-76478 Federal Register version (81 FR 9889)
34-77203
Feb. 22, 2016
SR-NYSEArca-2015-110
Notice of Filing of Amendment No. 4 to, and Order Instituting 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 Exhibit 5 , Rel. No. 34-77872 , Rel. No. 34-76974 , Rel. No. 34-76819 , Rel. No. 34-76486 Federal Register version (81 FR 9900)
34-77205
Feb. 22, 2016
4-631
Notice of Filing of the Tenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATSY-Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., 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 Federal Register version (81 FR 10315)
34-77199
Feb. 22, 2016
SR-ISE-2016-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct the Text of ISE Rule 313 Comments Due: Exhibit 5 Federal Register version (81 FR 9909)
34-77200
Feb. 22, 2016
SR-CBOE-2016-009
Notice of Filing of a Proposed Rule Change Relating to LMMs and DPMs Comments Due: Exhibit 5 , Rel. No. 34-77553 Federal Register version (81 FR 9910)
34-77181
Feb. 19, 2016
SR-EDGX-2016-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rules 8.15, Imposition of Fines for Minor Violation(s) of Rules, and 25.3, Penalty for Minor Rule Violations, Amending the Exchange's Minor Rule Violation Plan Comments Due: Exhibit 5 Federal Register version (81 FR 9566)
34-77189
Feb. 19, 2016
SR-EDGX-2016-08
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.6, Definitions, To Amend the Operation of Orders With a Non-Displayed Instruction and Orders With Reserve Quantity Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 9571)
34-77182
Feb. 19, 2016
SR-BATS-2016-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rules 8.15, Imposition of Fines for Minor Violation(s) of Rules, and 25.3, Penalty for Minor Rule Violations, To Amend the Minor Rule Violation Plan Comments Due: Exhibit 5 Federal Register version (81 FR 9543)
34-77188
Feb. 19, 2016
SR-BATS-2016-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13(b)(3)(H), Order Execution and Routing, To Amend the Operation of Non-Displayed Orders and Reserve Orders Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 9568)
34-77187
Feb. 19, 2016
SR-BYX-2016-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13(b)(3)(H), Order Execution and Routing, To Amend the Operation of Non-Displayed Orders and Reserve Orders Comments Due: Exhibit 5 Federal Register version (81 FR 9556)
34-77190
Feb. 19, 2016
SR-EDGA-2016-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.6, Definitions, To Amend the Operation of Orders With a Non-Displayed Instruction and Orders With Reserve Quantity Comments Due: Exhibit 5 Federal Register version (81 FR 9570)
34-77186
Feb. 19, 2016
SR-Phlx-2016-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Partnerships Comments Due: Exhibit 5 Federal Register version (81 FR 9531)
34-77179
Feb. 19, 2016
SR-NYSEArca-2016-17
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the JPMorgan Diversified Alternative ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-77904 , Rel. No. 34-77512 Federal Register version (81 FR 9521)
34-77183
Feb. 19, 2016
SR-NYSEArca-2016-28
Notice of Filing of Proposed Rule Change To List and Trade Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-77571 , Rel. No. 34-77587 Federal Register version (81 FR 9535)
34-77184
Feb. 19, 2016
SR-NYSEArca-2015-125
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade of Shares of RiverFront Dynamic Unconstrained Income ETF and RiverFront Dynamic Core Income ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-77522 , Rel. No. 34-76798 Federal Register version (81 FR 9532)
34-77197
Feb. 19, 2016
SR-NYSEArca-2016-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.31P(a)(2)(C) Relating to Repricing Events Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 9573)
34-77198
Feb. 19, 2016
SR-NYSE-2016-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Listed Company Manual To Adopt a Requirement That Listed Foreign Private Issuers Must, at a Minimum, Submit a Form 6-K to the Securities and Exchange Commission Containing Semi-Annual Unaudited Financial Information Comments Due: Exhibit 5 Federal Register version (81 FR 9563)
34-77191
Feb. 19, 2016
SR-NASDAQ-2016-025
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 5940 To Adopt Entry and Annual Fees for NextShares Comments Due: Exhibit 5 Federal Register version (81 FR 9559)
34-77192
Feb. 19, 2016
SR-NASDAQ-2015-161
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of the First Trust RiverFront Dynamic Europe ETF, First Trust RiverFront Dynamic Asia Pacific ETF, First Trust RiverFront Dynamic Emerging Markets ETF, and First Trust RiverFront Dynamic Developed International ETF of First Trust Exchange-Traded Fund III Comments Due: View Received Comments Rel. No. 34-76817 , Rel. No. 34-77548 Federal Register version (81 FR 9575)
