34-76929
Jan. 19, 2016
SR-Phlx-2016-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Nonsubstantive, Clarifying Amendments to Several Rules Relating to the Clearing of Exchange Options Transactions Comments Due: Exhibit 5 Federal Register version (81 FR 4074)
34-76931
Jan. 19, 2016
SR-FINRA-2016-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information Comments Due: Exhibit 5 Federal Register version (81 FR 4076)
34-76920
Jan. 15, 2016
SR-OC-2015-03
Notice of Filing of Proposed Rule Change Relating to the Summary Imposition of Fines Comments Due: Exhibit 4 Federal Register version (81 FR 3850)
34-76923
Jan. 15, 2016
SR-CBOE-2016-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 3841)
34-76902
Jan. 14, 2016
SR-Phlx-2016-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Phlx Rules 792, 794, 797, and 798 Comments Due: Exhibit 5 Federal Register version (81 FR 3527)
34-76910
Jan. 14, 2016
SR-Phlx-2016-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Obsolete Rules 1000B-1012B and To Amend Rule 722 Comments Due: Exhibit 5 Federal Register version (81 FR 3489)
34-76906
Jan. 14, 2016
SR-NYSEMKT-2016-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT BBO and NYSE MKT Trades Comments Due: Exhibit 5 Federal Register version (81 FR 3500)
34-76907
Jan. 14, 2016
SR-NYSEMKT-2016-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132.30(9)-Equities To Conform the Exchange's Rules to Industry-Wide Standards for Recording the Capacity in Which a Member Organization Executes a Transaction Comments Due: Exhibit 5 Federal Register version (81 FR 3530)
34-76911
Jan. 14, 2016
SR-NYSEMKT-2016-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT Order Imbalances Comments Due: Exhibit 5 Federal Register version (81 FR 3496)
34-76901
Jan. 14, 2016
SR-NYSEMKT-2016-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT OpenBook Comments Due: Exhibit 5 Federal Register version (81 FR 3514)
34-76903
Jan. 14, 2016
SR-NYSEARCA-2016-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE ArcaBook Comments Due: Exhibit 5 Federal Register version (81 FR 3547)
34-76914
Jan. 14, 2016
SR-NYSEArca-2016-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca Integrated Feed Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 3484)
34-76900
Jan. 14, 2016
SR-NYSE-2016-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE OpenBook Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 3506)
34-76912
Jan. 14, 2016
SR-NYSE-2016-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades Comments Due: Exhibit 5 Federal Register version (81 FR 3490)
34-76915
Jan. 14, 2016
SR-BX-2016-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 7018 Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 3545)
34-76884
Jan. 13, 2016
SR-BATS-2015-124
Notice of Filing of a Proposed Rule Change to Rule 14.11(i), Managed Fund Shares, To List and Trade Shares of the REX VolMAX Long VIX Weekly Futures Strategy ETF and the REX VolMAXX Inverse VIX Weekly Futures Strategy ETF of the Exchange Traded Concepts Trust Comments Due: View Received Comments Rel. No. 34-77287 , Rel. No. 34-77620 Federal Register version (81 FR 3195)
34-76891
Jan. 13, 2016
SR-BATS-2015-102
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 11.27 Regarding the Data Collection Requirements of the Tick Size Pilot Program Comments Due: Rel. No. 34-76524 , Rel. No. 34-77105 Federal Register version (81 FR 3218)
34-76894
Jan. 13, 2016
SR-ISE-Gemini-2015-17
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 804(g) Comments Due: Rel. No. 34-78424 , Rel. No. 34-77927 , Rel. No. 34-77247 , Rel. No. 34-76505 Federal Register version (81 FR 3213)
34-76889
Jan. 13, 2016
SR-NYSEMKT-2015-113
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Data Fees for the NYSE Amex Options Product Comments Due: Exhibit 5 Federal Register version (81 FR 3225)
34-76890
Jan. 13, 2016
SR-NYSEArca-2015-130
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Data Fees for the NYSE Arca Options Product Comments Due: Exhibit 5 Federal Register version (81 FR 3213)
34-76886
Jan. 13, 2016
SR-NASDAQ-2015-166
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Chapter XV, Entitled "Options Pricing" Comments Due: Federal Register version (81 FR 3220)
34-76892
Jan. 13, 2016
SR-MIAX-2016-01
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 3206)
34-76893
Jan. 13, 2016
SR-ISE-2015-30
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 804(g) Comments Due: Rel. No. 34-78423 , Rel. No. 34-77928 , Rel. No. 34-77246 , Rel. No. 34-76506 Federal Register version (81 FR 3217)
34-76888
Jan. 13, 2016
SR-CBOE-2015-122
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to COPS Comments Due: Federal Register version (81 FR 3210)
34-76895
Jan. 13, 2016
SR-CBOE-2015-121
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.3 Relating to Appointment Costs Comments Due: Federal Register version (81 FR 3203)
34-76880
Jan. 12, 2016
SR-Phlx-2015-118
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section (a)(4) of Rule 640, Continuing Education for Registered Persons Comments Due: Exhibit 5 Federal Register version (81 FR 2928)
34-76875
Jan. 12, 2016
SR-BX-2016-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section (a)(6) of Rule 1120 (Continuing Education Requirements) Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 2925)
34-76874
Jan. 12, 2016
SR-NASDAQ-2015-167
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section (a)(6) of Rule 1120, Continuing Education Requirements Comments Due: Exhibit 5 Federal Register version (81 FR 2935)
34-76881
Jan. 12, 2016
SR-CBOE-2015-119
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 2931)
34-76862
Jan. 11, 2016
SR-BATS-2015-94
Notice of Filing of 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. 34-77209 Federal Register version (81 FR 2282)
34-76863
Jan. 11, 2016
SR-BATS-2015-120
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 2275)
34-76864
Jan. 11, 2016
SR-BATS-2015-122
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 27.1, Definitions, and 27.4, Temporary Rule Governing Phase-Out of P and P/A Orders Comments Due: Exhibit 5 Federal Register version (81 FR 2266)
34-76867
Jan. 11, 2016
SR-Phlx-2015-115
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VIII of the Pricing Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 2271)
34-76871
Jan. 11, 2016
SR-NYSEArca-2015-114
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 Market Vectors Dynamic Put Write ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-76530 Federal Register version (81 FR 2261)
34-76865
Jan. 11, 2016
SR-NYSE-2016-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Trading License Fee for Calendar Year 2016, Effective January 4, 2016 Comments Due: Exhibit 5 Federal Register version (81 FR 2264)
34-76868
Jan. 11, 2016
SR-BX-2015-087
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7015 Comments Due: Exhibit 5 Federal Register version (81 FR 2268)
34-76870
Jan. 11, 2016
SR-DTC-2016-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Custody Service Guide To Codify Its Current Procedures for Assigning a Value to Custody Service Securities for Shipping Insurance Valuation Purposes Comments Due: Federal Register version (81 FR 2270)
34-76858
Jan. 8, 2016
SR-Phlx-2015-109
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Permit Fees Comments Due: Federal Register version (81 FR 1976)
34-76857
Jan. 8, 2016
SR-CBOE-2016-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Limit Order Price Protections for Stock-Option Orders Comments Due: Federal Register version (81 FR 1980)
34-76856
Jan. 8, 2016
4-694
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the National Stock Exchange, In Comments Due: Federal Register version (81 FR 1971)
34-76853
Jan. 7, 2016
SR-EDGX-2015-68
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.17, Registration of Market Makers, and 11.20, Obligations of Market Makers Comments Due: Exhibit 5 Federal Register version (81 FR 1651)
34-76844
Jan. 7, 2016
SR-BATS-2015-123
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 1655)
34-76849
Jan. 7, 2016
SR-BATS-2015-121
Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes to Rules 11.5, Registration of Market Makers, 11.6, Obligations of Market Maker Authorized Traders, 11.7, Registration of Market Makers in a Security, and 11.8, Obligations of Market Makers Comments Due: Exhibit 5 Federal Register version (81 FR 1657)
34-76852
Jan. 7, 2016
SR-BYX-2015-53
Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes to Rules 11.5, Registration of Market Makers, 11.6, Obligations of Market Maker Authorized Traders, 11.7, Registration of Market Makers in a Security, and 11.8, Obligations of Market Makers Comments Due: Exhibit 5 Federal Register version (81 FR 1661)
34-76851
Jan. 7, 2016
SR-EDGA-2015-49
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.17, Registration of Market Makers, and 11.20, Obligations of Market Makers Comments Due: Exhibit 5 Federal Register version (81 FR 1647)
34-76845
Jan. 7, 2016
SR-NYSE-2016-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 132.30(9) To Conform the Exchange's Rules to Industry-Wide Standards for Recording the Capacity in Which a Member Organization Executes a Transaction Comments Due: Exhibit 5 Federal Register version (81 FR 1668)
34-76850
Jan. 7, 2016
SR-FINRA-2016-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) Comments Due: Exhibit 5 Federal Register version (81 FR 1666)
34-76854
Jan. 7, 2016
SR-FINRA-2015-048
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Establish Rules To Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 To Implement the Data Collection Requirements of the Plan To Implement a Tick Size Pilot Progra Comments Due: Rel. No. 34-76484 , Rel. No. 34-77164 Federal Register version (81 FR 1670)
34-76855
Jan. 7, 2016
SR-FINRA-2015-047
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Establish Rules 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. 34-77218 , Rel. No. 34-76483 Federal Register version (81 FR 1670)
34-76841
Jan. 6, 2016
SR-BATS-2015-101
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt Rule 8.17 To Provide a Process for an Expedited Client Suspension Proceeding and Rule 12.15 To Prohibit Disruptive Quoting and Trading Activity Rel. No. 34-77171 , Rel. No. 34-76470 Federal Register version (81 FR 1457)
34-76840
Jan. 6, 2016
SR-FICC-2015-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Government Securities Division Fee Schedule Comments Due: Federal Register version (81 FR 1450)
34-76842
Jan. 6, 2016
SR-CBOE-2015-117
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule Comments Due: Federal Register version (81 FR 1455)
34-76832
Jan. 5, 2016
SR-BATS-2015-119
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22, Data Products, To Describe IPO Auction Viewer Comments Due: Exhibit 5 Federal Register version (81 FR 1252)
34-76836
Jan. 5, 2016
SR-ISE-Gemini-2015-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories Comments Due: Exhibit 5 Federal Register version (81 FR 1263)
34-76822
Jan. 5, 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 EDGX Exchange, Inc. ("EDGX") Comments Due: View Received Comments Federal Register version (81 FR 1251)
34-76823
Jan. 5, 2016
4-546
Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the EDGX Exchange, Inc. as a Participant Comments Due: View Received Comments Federal Register version (81 FR 1260)
34-76829
Jan. 5, 2016
SR-BX-2015-086
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Retail Price Improvement Program Comments Due: Exhibit 5 Federal Register version (81 FR 1238)
34-76831
Jan. 5, 2016
SR-BX-2015-088
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay of Implementation of Kill Switch Comments Due: Federal Register version (81 FR 1261)
34-76825
Jan. 5, 2016
SR-NASDAQ-2015-162
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7015 Comments Due: Exhibit 5 Federal Register version (81 FR 1257)
34-76826
Jan. 5, 2016
SR-NASDAQ-2015-164
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7014 Comments Due: Exhibit 5 Federal Register version (81 FR 1249)
34-76830
Jan. 5, 2016
SR-NASDAQ-2015-163
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay of Implementation of Kill Switch Comments Due: Federal Register version (81 FR 1266)
34-76833
Jan. 5, 2016
SR-NASDAQ-2015-159
Notice of Filing of Proposed Rule Change To Implement Additional Price Protections in the Opening Process Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-77235 Federal Register version (81 FR 1240)
34-76835
Jan. 5, 2016
SR-ISE-2015-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories Comments Due: Exhibit 5 Federal Register version (81 FR 1245)
34-76824
Jan. 5, 2016
SR-CBOE-2015-118
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Credit Option Margin Pilot Program Through January 17, 2017 Comments Due: Federal Register version (81 FR 1255)
34-76828
Jan. 5, 2016
SR-CBOE-2015-115
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for Certain CBOE Real-Time Data Feeds Comments Due: Exhibit 5 Federal Register version (81 FR 1268)
34-76816
Jan. 4, 2016
SR-EDGX-2015-67
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 987)
34-76820
Jan. 4, 2016
SR-BATS-2015-100
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend BATS Rule 14.11(i) To Adopt Generic Listing Standards for Managed Fund Shares Rel. No. 34-78005 , Rel. No. 34-77871 , Rel. No. 34-77202 , 34-76478 Federal Register version (81 FR 989)
34-76821
Jan. 4, 2016
SR-OCC-2015-805
Notice of No Objection to Advance Notice Filing, as Modified by Amendment Nos. 1, 2 and 3, Concerning The Options Clearing Corporation's Non-Bank Liquidity Facility Comments Due: Rel. No. 34-76641 Federal Register version (81 FR 3208)
34-76819
Jan. 4, 2016
SR-NYSEArca-2015-110
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt Generic Listing Standards for Managed Fund Shares Comments Due: View Received Comments Rel. No. 34-77872 , Rel. No. 34-77203 , Rel. No. 34-76974 , Rel. No. 34-76486 Federal Register version (81 FR 987)
34-76817
Jan. 4, 2016
SR-NASDAQ-2015-161
Notice of Filing of Proposed Rule Change 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 the First Trust RiverFront Dynamic Developed International ETF of First Trust Exchange-Traded Fund III Comments Due: View Received Comments Rel. No. 34-77192 , Rel. No. 34-77548 Federal Register version (81 FR 978)
34-76807
Dec. 31, 2015
SR-SCCP-2015-02
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the By-Laws of Nasdaq, Inc. Comments Due: Exhibit 5 , Rel. No. 34-77165 Federal Register version (81 FR 828)
34-76810
Dec. 31, 2015
SR-Phlx-2015-113
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To Amend the By-Laws of Nasdaq, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 841)
34-76814
Dec. 31, 2015
SR-NYSE-2015-02
Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual To Exempt Early Stage Companies From Having To Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities in Which a Related Party Has a Substantial Interest Comments Due: Exhibit 5 , Rel. No. 34-74849 , Rel. No. 34-76599 , Rel. No. 34-75599 , Rel. No. 34-76323 Federal Register version (81 FR 820)
34-76808
Dec. 31, 2015
SR-BX-2015-085
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the By-Laws of Nasdaq, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 831)
34-76809
Dec. 31, 2015
SR-NASDAQ-2015-160
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the By-Laws of Nasdaq, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 817)
34-76812
Dec. 31, 2015
SR-FINRA-2015-058
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 9/10 Examination Program Comments Due: Federal Register version (81 FR 834)
34-76813
Dec. 31, 2015
SR-FINRA-2015-059
Notice of Filing of a Proposed Rule Change To Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) Comments Due: Rel. No. 34-77098 Federal Register version (81 FR 844)
34-76811
Dec. 31, 2015
SR-DTC-2015-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Postponing the Date for Retirement of Computer to Computer Facility Corporate Action Announcement Files, and Implementing a Fee Associated With Its Use Comments Due: Exhibit 5 Federal Register version (81 FR 826)
34-76806
Dec. 31, 2015
SR-BSECC-2015-002
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the By-Laws of Nasdaq, Inc. Comments Due: Rel. No. 34-77165 , Exhibit 5
34-76799
Dec. 30, 2015
SR-Phlx-2015-112
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fees for Managed Data Solutions Comments Due: Federal Register version (81 FR 551)
34-76800
Dec. 30, 2015
SR-Phlx-2015-114
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1060 Comments Due: Federal Register version (81 FR 549)
34-76801
Dec. 30, 2015
SR-Phlx-2015-99
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Order Exposure Comments Due: Exhibit 5 Federal Register version (81 FR 541)
34-76798
Dec. 30, 2015
SR-NYSEArca-2015-125
Notice of Filing of Proposed Rule Change 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. 34-77522 , Rel. No. 34-77184 Federal Register version (81 FR 526)
34-76803
Dec. 30, 2015
SR-NYSE-2015-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New Rules To Reflect the Implementation of Pillar, the Exchange's New Trading Technology Platform Comments Due: Exhibit 5 Federal Register version (81 FR 536)
34-76796
Dec. 30, 2015
SR-BX-2015-084
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fees for Managed Data Solutions Comments Due: Federal Register version (81 FR 555)
34-76797
Dec. 30, 2015
SR-NASDAQ-2015-158
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fees for Managed Data Solutions Comments Due: Federal Register version (81 FR 544)
34-76802
Dec. 30, 2015
SR-DTC-2015-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Fee To Be Charged To Transfer Agents of DTC-Eligible Issues Subject to a Corporate Action Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 535)
34-76789
Dec. 29, 2015
SR-NYSE-2015-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Modify Certain Fees for Executions at the Close Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 281)
34-76787
Dec. 29, 2015
SR-NSCC-2015-009
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adjust Fees Related to Automated Customer Account Transfer Service, Obligation Warehouse, Fund/SERV, Insurance and Retirement Processing Services, and Alternative Investment Product Services Comments Due: Exhibit 5 Federal Register version (81 FR 283)
34-76786
Dec. 29, 2015
SR-ICC-2015-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Single Name Backloading Incentive Program Comments Due: Federal Register version (81 FR 286)
34-76788
Dec. 29, 2015
SR-C2-2015-036
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 288)
34-76778
Dec. 28, 2015
SR-EDGX-2015-61
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 119)
34-76776
Dec. 28, 2015
SR-BATS-2015-105
Notice of Filing of a Proposed Rule Change to Rule 14.11(i), Managed Fund Shares, To List and Trade the Shares of the Elkhorn S&P GSCI Dynamic Roll Commodity ETF of Elkhorn ETF Trust Comments Due: View Received Comments Rel. No. 34-77487 , Rel. No. 34-77159 Federal Register version (81 FR 120)
34-76777
Dec. 28, 2015
SR-EDGA-2015-45
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 129)
34-76780
Dec. 28, 2015
SR-Phlx-2015-111
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NASDAQ OMX PHLX Fee Schedule To Increase the Options Surcharge Fee for MNX and NDX Comments Due: Exhibit 5 Federal Register version (81 FR 116)
34-76779
Dec. 28, 2015
SR-NASDAQ-2015-157
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Professional Subscriber Fee for Non-Display Usage via Direct Access Comments Due: Federal Register version (81 FR 131)
34-76774
Dec. 24, 2015
SR-BYX-2015-51
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (80 FR 81581)
34-76770
Dec. 24, 2015
SR-Phlx-2015-110
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus Comments Due: Exhibit 5 Federal Register version (80 FR 81576)
34-76771
Dec. 24, 2015
SR-BX-2015-082
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus Comments Due: Exhibit 5 Federal Register version (80 FR 81601)
34-76768
Dec. 24, 2015
SR-NASDAQ-2015-155
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NOM Rules at Chapter XV, Section 2 Comments Due: Exhibit 5 Federal Register version (80 FR 81612)
