34-77584
April 12, 2016
SR-OPRA-2015-01
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Certain Provisions of the OPRA's Fee Schedule Comments Due: View Received Comments Federal Register version (81 FR 22670)
34-77585
April 12, 2016
SR-OPRA-2015-02
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend the Professional Subscriber Device-Based Fees Set Comments Due: Federal Register version (81 FR 22668)
34-77586
April 12, 2016
SR-OPRA-2015-03
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend the Redistribution Fee Set Forth in OPRA's Fee Sch Comments Due: Federal Register version (81 FR 22675)
34-77590
April 12, 2016
SR-BX-2016-020
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 22678)
34-77592
April 12, 2016
SR-NASDAQ-2016-023
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 4702 and 4703 Comments Due: Rel. No. 34-77226 Federal Register version (81 FR 22674)
34-77593
April 12, 2016
SR-ISE-2016-09
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 22673)
34-77589
April 12, 2016
SR-BatsEDGX-2016-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 8.17 To Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 To Prohibit Layering and Spoofing Comments Due: Exhibit 5 Federal Register version (81 FR 22691)
34-77583
April 11, 2016
SR-BatsEDGA-2016-04
Notice of Filing and Immediate Effectiveness of a Non-Substantive Correction to Rule 11.27 Comments Due: Exhibit 5 Federal Register version (81 FR 22323)
34-77577
April 11, 2016
SR-Phlx-2016-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Qualified Contingent Cross Rebates and Certain Floor Options Transaction Charges Comments Due: Exhibit 5 Federal Register version (81 FR 22324)
34-77576
April 11, 2016
SR-NYSEArca-2016-46
Notice of Filing of Proposed Rule Change To List and Trade Shares of AdvisorShares Cornerstone Small Cap ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-77920 Federal Register version (81 FR 22337)
34-77578
April 11, 2016
SR-NASDAQ-2016-048
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7039 Comments Due: Exhibit 5 Federal Register version (81 FR 22344)
34-77579
April 11, 2016
SR-FINRA-2015-036
Notice of Filing of Amendment No. 2 and Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove 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 and 2 Comments Due: View Received Comments Exhibit 4 , Exhibit 5 , Rel. No. 34-78081 , Rel. No. 34-76908 , Rel. No. 34-76148 Federal Register version (81 FR 22347)
34-77581
April 11, 2016
SR-FINRA-2015-054
Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change Relating to Proposed Rule Change To Adopt FINRA Capital Acquisition Broker Rules Comments Due: Exhibit 4 , Exhibit 5 , Rel. No. 34-78617 , Rel. No. 34-78220 , Rel. No. 34-77391 , Rel. No. 34-76675 Federal Register version (81 FR 22333)
34-77575
April 11, 2016
SR-CBOE-2016-030
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 22334)
34-77580
April 11, 2016
SR-BOX-2016-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 100 (Definitions) Relating to Professionals Comments Due: Exhibit 5 Federal Register version (81 FR 22328)
34-77582
April 11, 2016
SR-BatsEDGX-2016-07
Notice of Filing and Immediate Effectiveness of a Non-Substantive Correction to Rule 11.27 Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 22335)
34-77567
April 8, 2016
SR-BATS-2015-94
Notice of Filing of Amendment No. 1 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3, 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. 34-77209 , Rel. No. 34-76862 Federal Register version (81 FR 22143)
34-77569
April 8, 2016
SR-ISEMercury-2016-07
Notice of Filing of Proposed Rule Change Related to Market Wide Risk Protection Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-77931 Federal Register version (81 FR 22140)
34-77571
April 8, 2016
SR-NYSEArca-2016-28
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade of 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. 34-77183 , Rel. No. 34-77587 Federal Register version (81 FR 22136)
34-77570
April 8, 2016
SR-CBOE-2016-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 6.1A Comments Due: Federal Register version (81 FR 22138)
34-77573
April 8, 2016
SR-CBOE-2016-036
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPXPM Pilot Program Comments Due: Federal Register version (81 FR 22148)
34-77568
April 8, 2016
SR-BOX-2016-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility Comments Due: Exhibit 5 Federal Register version (81 FR 22151)
34-77572
April 8, 2016
SR-BOX-2016-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 22133)
34-77556
April 7, 2016
SR-ISEMercury-2016-08
Notice of Filing 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: View Received Comments Exhibit 5 Federal Register version (81 FR 21933)
34-77557
April 7, 2016
SR-Phlx-2016-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PIXL Comments Due: Federal Register version (81 FR 21935)
34-77549
April 7, 2016
SR-NYSEArca-2016-14
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the WBI Tactical Rotation Shares Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-77160 Federal Register version (81 FR 21916)
34-77552
April 7, 2016
SR-NASDAQ-2016-053
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7015(g)(1) and 7034 Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 21921)
34-77554
April 7, 2016
SR-CBOE-2016-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 21928)
34-77545
April 6, 2016
SR-Phlx-2016-44
Notice of Filing and Immediate Effectiveness of Proposed Rule ChangeTo Amend Rule 1064 Comments Due: Federal Register version (81 FR 21631)
34-77536
April 6, 2016
SR-NYSEMKT-2016-26
Notice of Filing of Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-77901 Federal Register version (81 FR 21636)
34-77540
April 6, 2016
SR-NYSEMKT-2016-42
Notice of Filing of Proposed Rule Change To Amend Rule 952NY With Respect to Opening Trading in an Options Series Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78283 , Rel. No. 34-77911 Federal Register version (81 FR 21623)
34-77535
April 6, 2016
SR-NYSEArca-2016-11
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Section 4.01(a) of the NYSE Arca's Bylaws and NYSE Arca Rule 3.3 To Establish a Committee for Review as a Sub-Committee of the ROC and Making Conforming Changes to NYSE Arca Rules Comments Due: Exhibit 5 , Rel. No. 34-77898 Federal Register version (81 FR 21615)
34-77539
April 6, 2016
SR-NYSEARCA-2016-49
Notice of Filing of Proposed Rule Change to Rule 6.64 With Respect to Opening Trading in an Options Series Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78284 , Rel. No. 34-77912 Federal Register version (81 FR 21639)
34-77547
April 6, 2016
SR-CBOE-2016-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Options That Overlie a Reduced Value of the FTSE 100 Index and the FTSE China 50 Index Comments Due: Exhibit 5 Federal Register version (81 FR 21611)
34-77524
April 5, 2016
SR-BatsBZX-2016-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Its Equity Options Platform Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 21417)
34-77527
April 5, 2016
SR-CHX-2016-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rules of the Exchange Related to Market Makers Comments Due: Exhibit 5 Federal Register version (81 FR 21408)
34-77518
April 5, 2016
SR-NYSEMKT-2016-13
Notice of Filing of 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 ("EOC") Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78742 , Rel. No. 34-78238 , Rel. No. 34-77910 Federal Register version (81 FR 21415)
34-77516
April 5, 2016
SR-NYSEArca-2016-15
Notice of Filing of 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 ("EOC") Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78743 , Rel. No. 34-78239 , Rel. No. 34-77909 Federal Register version (81 FR 21430)
34-77520
April 5, 2016
SR-NYSEArca-2016-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.16 To Specify That Sell Short Post No Preference Orders and Sell Short PNP Blind Orders Priced At or Below the National Best Bid Will Be Rejected on Arrival During the Short Sale Period Comments Due: Exhibit 5 Federal Register version (81 FR 21429)
34-77521
April 5, 2016
SR-NYSEArca-2016-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Add Fees for Reserve Market Maker Options Trading Permits Comments Due: Exhibit 5 Federal Register version (81 FR 21433)
34-77522
April 5, 2016
SR-NYSEArca-2015-125
Notice of Filing of Amendment Nos. 1, 2, and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To List and Trade 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. 34-77184 , Rel. No. 34-76798 Federal Register version (81 FR 21420)
34-77526
April 5, 2016
SR-BatsEDGX-2016-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Its Equity Options Platform Comments Due: Exhibit 5 Federal Register version (81 FR 21405)
34-77509
April 4, 2016
SR-BatsBZX-2016-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes in Connection With the Operation of the Exchange's Equity Options Platform Comments Due: Exhibit 5 Federal Register version (81 FR 20709)
34-77512
April 4, 2016
SR-NYSEArca-2016-17
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the JPMorgan Diversified Alternative ETF Comments Due: View Received Comments Rel. No. 34-77904 , Rel. No. 34-77179 Federal Register version (81 FR 20718)
34-77507
April 4, 2016
SR-MIAX-2016-08
Notice of Filing of a Proposed Rule Change To Amend the Exchange's Amended and Restated By-Laws Comments Due: Exhibit 5 , Rel. No. 34-77876 Federal Register version (81 FR 20716)
34-77505
April 4, 2016
SR-FINRA-2016-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6184 (Transactions in Exchange-Traded Managed Fund Shares ("NextShares")) Comments Due: Federal Register version (81 FR 20714)
34-77511
April 4, 2016
SR-CBOE-2016-024
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to AIM Retained Orders Comments Due: Exhibit 5 Federal Register version (81 FR 20697)
34-77508
April 4, 2016
SR-BatsEDGX-2016-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes in Connection With the Operation of the Exchange's Equity Options Platform Comments Due: Exhibit 5 Federal Register version (81 FR 20711)
34-77499
April 1, 2016
SR-BATS-2016-04
Notice of Filing of Amendment No. 2, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the SPDR DoubleLine Short Duration Total Return Tactical ETF of the SSgA Active Trust Comments Due: Rel. No. 34-77451 , Rel. No. 34-77078 Federal Register version (81 FR 20428)
34-77495
April 1, 2016
SR-NASDAQ-2016-046
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Under Rules 7015(b) and (g) Comments Due: Exhibit 5 Federal Register version (81 FR 25464)
34-77488
March 31, 2016
SR-ISEGemini-2016-03
Notice of Filing of Proposed Rule Change Related to Market Wide Risk Protection Comments Due: Exhibit 5 , Rel. No. 34-77881 Federal Register version (81 FR 20021)
34-77483
March 31, 2016
SR-NSX-2016-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 11.26 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 20040)
34-77484
March 31, 2016
SR-NYSEARCA-2016-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 20024)
34-77491
March 31, 2016
SR-NYSE-2016-24
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Amending Its Rules Relating to Pre-Opening Indications and Opening Procedures To Promote Greater Efficiency and Transparency at the Open of Trading on the Exchange Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78228 Federal Register version (81 FR 20030)
34-77489
March 31, 2016
SR-ISE-2016-08
Notice of Filing of Proposed Rule Change Related to Market Wide Risk Protection Comments Due: Exhibit 5 , Rel. No. 34-77875 Federal Register version (81 FR 20004)
34-77475
March 30, 2016
SR-Phlx-2016-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Partnerships Comments Due: Exhibit 5 Federal Register version (81 FR 19664)
34-77478
March 30, 2016
SR-NYSEMKT-2016-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 19665)
34-77477
March 30, 2016
SR-NYSE-2016-17
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Rule 86 To Add Additional Order Types to the NYSE BondsSM Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-77880 Federal Register version (81 FR 19671)
34-77481
March 30, 2016
SR-NASDAQ-2016-013
Notice of Filing of 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 Exhibit 5 , Rel. No. 34-77879 , 34-78223 Federal Register version (81 FR 19678)
34-77479
March 30, 2016
SR-CBOE-2016-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 19653)
34-77469
March 29, 2016
SR-CHX-2016-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Article 20, Rule 13 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program ("Plan") Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 19275)
34-77468
March 29, 2016
SR-NYSE-2016-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan to Implement a Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Exemptive Letter Federal Register version (81 FR 19269)
34-77458
March 28, 2016
SR-Phlx-2016-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 3317 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 18919)
34-77455
March 28, 2016
SR-NYSEARCA-2016-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 18900)
34-77457
March 28, 2016
SR-BX-2016-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 4770 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 18913)
34-77461
March 28, 2016
SR-BX-2016-018
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete From the Exchange's Rulebook Section 10, Limitations on Dealings, of Chapter VII, Market Participants Comments Due: Exhibit 5 Federal Register version (81 FR 18907)
34-77454
March 28, 2016
SR-NASDAQ-2016-039
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Maximum Number of Times an Order on Nasdaq May Be Updated Before The System Cancels The Order Comments Due: Exhibit 5 Federal Register version (81 FR 18911)
34-77456
March 28, 2016
SR-NASDAQ-2016-043
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 4770 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 18925)
34-77460
March 28, 2016
SR-NASDAQ-2016-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete From the Rulebook Section 10, Limitations on Dealings, of Chapter VII, Market Participants Comments Due: Exhibit 5 Federal Register version (81 FR 18902)
34-77451
March 25, 2016
SR-BATS-2016-04
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the SPDR DoubleLine Short Duration Total Return Tactical ETF Comments Due: Rel. No. 34-77078 , Rel. No. 34-77499 Federal Register version (81 FR 18660)
34-77443
March 25, 2016
SR-Phlx-2016-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Rule 756 Comments Due: Exhibit 5 Federal Register version (81 FR 18664)
34-77444
March 25, 2016
SR-Phlx-2016-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Continuing Education Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 18671)
34-77449
March 25, 2016
SR-Phlx-2016-10
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Professional Customer Definition Comments Due: View Received Comments 34-77054 , 34-77054 Federal Register version (81 FR 18665)
34-77448
March 25, 2016
SR-ICEEU-2016-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Equity Futures and Options Comments Due: Federal Register version (81 FR 18660)
34-77446
March 25, 2016
SR-ICC-2016-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Single Name Backloading Incentive Program Comments Due: Federal Register version (81 FR 18662)
34-77450
March 25, 2016
SR-CBOE-2016-005
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 Interpretation and Policy .01 to Rule 1.1(ggg) Relating to the Professional Customer Definition Comments Due: View Received Comments Rel. No. 34-77049 Federal Register version (81 FR 18668)
34-77440
March 24, 2016
SR-NYSEArca-2016-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.2 To Create a Reserve Market Maker Options Trading Permit Comments Due: Exhibit 5 Federal Register version (81 FR 17746)
34-77441
March 24, 2016
SR-NYSEArca-2016-44
Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31P(h) To Add a New Discretionary Pegged Order Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78181 , Rel. No. 34-77820 Federal Register version (81 FR 17749)
34-77435
March 23, 2016
SR-NYSEMKT-2016-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 964.2NY Regarding the Participation Entitlement Formula for Specialists and e-Specialists Comments Due: Exhibit 5 Federal Register version (81 FR 17527)
34-77424
March 23, 2016
SR-NYSEMKT-2016-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 17522)
34-77433
March 23, 2016
SR-NYSEMKT-2016-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities To Expand the Availability of Self-Trade Prevention Modifiers to Non-Algorithmically Entered Floor Broker Interest Comments Due: Exhibit 5 Federal Register version (81 FR 17520)
34-77425
March 23, 2016
SR-NYSEArca-2016-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program, Which Is Currently Scheduled To Expire on March 31, 2016, Until August 31, 2016 Comments Due: Exhibit 5 Federal Register version (81 FR 17523)
34-77426
March 23, 2016
SR-NYSE-2016-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Comments Due: Exhibit 5 Federal Register version (81 FR 17533)
34-77434
March 23, 2016
SR-NYSE-2016-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 to Expand the Availability of Self-Trade Prevention Modifiers to Non-Algorithmically Entered Floor Broker Interest Comments Due: Exhibit 5 Federal Register version (81 FR 17532)
34-77429
March 23, 2016
SR-BX-2016-017
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XI (Doing Business With the Public), Section 8 (Supervision of Accounts) of the Exchange's Rulebook Comments Due: Federal Register version (81 FR 17511)
34-77428
March 23, 2016
SR-NASDAQ-2016-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XI (Doing Business With the Public), Section 8 (Supervision of Accounts) of the Exchange's Rulebook Comments Due: Federal Register version (81 FR 17525)
34-77427
March 23, 2016
SR-ICEEU-2016-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Additions to Permitted Cover Comments Due: Federal Register version (81 FR 17529)
34-77417
March 22, 2016
SR-BatsEDGA-2016-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 11.27 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 17219)
34-77418
March 22, 2016
SR-BatsBYX-2016-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 11.27 to Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 17213)
34-77415
March 22, 2016
SR-OCC-2016-006
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Voluntary Termination by Offset and Re-Matching of Matched-Book Positions in the Stock Loan/Hedge Program Comments Due: Federal Register version (81 FR 17231)
34-77419
March 22, 2016
SR-NASDAQ-2016-041
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Eaton Vance Global Income Builder NextShares of the Eaton Vance ETMF Trust Comments Due: View Received Comments Federal Register version (81 FR 17211)
34-77416
March 22, 2016
SR-BatsEDGX-2016-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 11.27 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 17225)
34-77409
March 21, 2016
SR-ISEMercury-2016-05
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 16240)
34-77412
March 21, 2016
SR-ISEMercury-2016-06
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 16238)
34-77410
March 21, 2016
SR-ISE-2016-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Strict Concentration Limits on Primary Market Makers Comments Due: Exhibit 5 Federal Register version (81 FR 16248)
34-77413
March 21, 2016
SR-ICC-2016-003
Notice of Filing of Proposed Rule Change To Revise the ICC Operational Risk Management Framework Comments Due: Federal Register version (81 FR 16245)
34-77402
March 18, 2016
SR-Phlx-2016-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rebates and Fees for Adding and Removing Liquidity in SPY Comments Due: Exhibit 5 Federal Register version (81 FR 15761)
34-77405
March 18, 2016
SR-NYSEArca-2016-08
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change 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. 34-78261 , Rel. No. 34-77845 , Rel. No. 34-77117 Federal Register version (81 FR 15774)
34-77404
March 18, 2016
SR-FINRA-2016-011
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Dissemination Protocols for TRACE-Eligible Securities Comments Due: Federal Register version (81 FR 15770)
34-77403
March 18, 2016
SR-BOX-2016-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Comply With the Requirements of the Amended and Restated Limited Liability Company Agreement of BOX Holdings, and To Permit Certain Ownership Changes Pursuant Thereto Comments Due: Federal Register version (81 FR 15772)
