34-76769
Dec. 24, 2015
SR-NASDAQ-2015-150
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus Comments Due: Exhibit 5 Federal Register version (80 FR 81584)
34-76767
Dec. 24, 2015
SR-FINRA-2015-056
Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2030 and FINRA Rule 4580 To Establish "Pay-To-Play" and Related Rules View Received Comments Rel. No. 34-78683 Federal Register version (80 FR 81650)
34-76756
Dec. 23, 2015
SR-EDGX-2015-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proprietary Trader and Proprietary Trader Principal Registration Categories, Securities Trader and Securities Trader Principal Registration Categories, and Establishing the Series 57 Examination Comments Due: Exhibit 5 Federal Register version (80 FR 81637)
34-76758
Dec. 23, 2015
SR-BATS-2015-118
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proprietary Trader and Proprietary Trader Principal Registration Categories, Securities Trader and Securities Trader Principal Registration Categories, and Establishing the Series 57 Examination Comments Due: Exhibit 5 Federal Register version (80 FR 81645)
34-76755
Dec. 23, 2015
SR-BYX-2015-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proprietary Trader and Proprietary Trader Principal Registration Categories, Securities Trader and Securities Trader Principal Registration Categories, and Establishing the Series 57 Examination Comments Due: Exhibit 5 Federal Register version (80 FR 81606)
34-76759
Dec. 23, 2015
SR-EDGA-2015-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proprietary Trader and Proprietary Trader Principal Registration Categories, Securities Trader and Securities Trader Principal Registration Categories, and Establishing the Series 57 Examination Comments Due: Exhibit 5 Federal Register version (80 FR 81642)
34-76761
Dec. 23, 2015
SR-NYSEArca-2015-107
Notice of Filing of Proposed Rule Change To List and Trade Shares of the REX Gold Hedged S&P 500 ETF and the REX Gold Hedged FTSE Emerging Markets ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-76761 , Rel. No. 34-77463 Federal Register version (80 FR 81564)
34-76754
Dec. 23, 2015
SR-BX-2015-083
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Participant Fee Comments Due: Exhibit 5 Federal Register version (80 FR 81589)
34-76760
Dec. 23, 2015
SR-NASDAQ-2015-154
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fee Comments Due: Exhibit 5 Federal Register version (80 FR 81562)
34-76763
Dec. 23, 2015
SR-MSRB-2015-14
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, Rule G-8, on Books and Records, Rule G-9, on Preservation of Records, and Forms G-37 and G-37x Comments Due: View Received Comments Exhibit 5 Federal Register version (80 FR 81709)
34-76757
Dec. 23, 2015
SR-FINRA-2015-057
Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers) Comments Due: View Received Comments Federal Register version (80 FR 81590)
34-76736
Dec. 22, 2015
SR-NSX-2015-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee and Rebate Schedule Pursuant to Exchange Rule 16.1 Comments Due: Exhibit 5 Federal Register version (80 FR 81402)
34-76737
Dec. 22, 2015
SR-Phlx-2015-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Rule 1068, Execution of Multi-Part Orders Comments Due: Exhibit 5 Federal Register version (80 FR 81405)
34-76742
Dec. 22, 2015
SR-Phlx-2015-49
Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend and Correct Phlx Rule 1080.07 Comments Due: Rel. No. 34-76648 , Rel. No. 34-75942 , Rel. No. 34-75570 , Rel. No. 34-75189 Federal Register version (80 FR 81393)
34-76731
Dec. 22, 2015
SR-NASDAQ-2015-144
Notice of Filing of a Proposed Rule Change To Amend Rules 5810(4), 5810(c), 5815(c) and 5820(d) To Provide Staff With Limited Discretion To Grant a Listed Company That Failed To Hold Its Annual Meeting of Shareholders an Extension of Time To Comply With the Requirement Comments Due: Exhibit 5 Federal Register version (80 FR 81573)
34-76738
Dec. 22, 2015
SR-NASDAQ-2015-152
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Level 2 Professional Subscriber Fee Comments Due: Federal Register version (80 FR 81387)
34-76739
Dec. 22, 2015
SR-NASDAQ-2015-153
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Options Market-Fees and Rebates Comments Due: Exhibit 5 Federal Register version (80 FR 81407)
34-76732
Dec. 22, 2015
SR-BOX-2015-38
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 2020 (Participant Eligibility and Registration) To Replace the Limited Representative-Proprietary Trader and Limited Principal-Proprietary Trader Registration Categories and Establish the Securities Trader and Securities Trader Principal Registration Categories Comments Due: Exhibit 5 Federal Register version (80 FR 81390)
34-76708
Dec. 21, 2015
SR-EDGX-2015-63
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for EDGX Options Comments Due: Exhibit 5 Federal Register version (80 FR 80832)
34-76713
Dec. 21, 2015
SR-EDGX-2015-62
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc. Comments Due: View Received Comments Exhibit 5 Federal Register version (80 FR 80867)
34-76714
Dec. 21, 2015
SR-EDGX-2015-64
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.6(n)(1), Routing/Posting Instructions, To Amend the Aggressive Instruction Comments Due: Exhibit 5 Federal Register version (80 FR 80825)
34-76715
Dec. 21, 2015
SR-EDGX-2015-65
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.8, Order Display and Book Processing Comments Due: Exhibit 5 Federal Register version (80 FR 80865)
34-76706
Dec. 21, 2015
SR-BATS-2015-116
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for BZX Options Comments Due: Exhibit 5 Federal Register version (80 FR 80844)
34-76707
Dec. 21, 2015
SR-BATS-2015-117
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for BZX Options Comments Due: Exhibit 5 Federal Register version (80 FR 80870)
34-76709
Dec. 21, 2015
SR-BATS-2015-115
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 (80 FR 80827)
34-76711
Dec. 21, 2015
SR-EDGA-2015-46
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 (80 FR 80854)
34-76712
Dec. 21, 2015
SR-EDGA-2015-47
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.6(n)(1), Routing/Posting Instructions, To Amend the Aggressive Instruction Comments Due: Exhibit 5 Federal Register version (80 FR 80851)
34-76719
Dec. 21, 2015
SR-NYSEArca-2015-73
Notice of Filing of Amendment Nos. 3, 4, 5, and 6 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 3, 4, 5 and 6, To List and Trade of Shares of the Guggenheim Total Return Bond ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-76362 , Rel. No. 34-75930 Federal Register version (80 FR 80859)
34-76716
Dec. 21, 2015
SR-MIAX-2015-72
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (80 FR 80830)
34-76717
Dec. 21, 2015
SR-MIAX-2015-73
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (80 FR 80849)
34-76710
Dec. 21, 2015
SR-BOX-2015-39
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Update Certain Fees Assessed Under Section V (Connectivity Fees) Comments Due: Exhibit 5 Federal Register version (80 FR 80823)
34-76688
Dec. 18, 2015
SR-BATS-2015-114
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to ALLB Routing and Other Fees for Use of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (80 FR 80428)
34-76689
Dec. 18, 2015
SR-BYX-2015-50
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to ALLB Routing and Other Fees for Use of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (80 FR 80420)
34-76687
Dec. 18, 2015
SR-Phlx-2015-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Sections (e) Through (h) of Exchange Rule 1020, Registration and Functions of Options Specialists Comments Due: Exhibit 5 Federal Register version (80 FR 80403)
34-76697
Dec. 18, 2015
SR-Phlx-2015-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Trading Halts Comments Due: Exhibit 5 Federal Register version (80 FR 80416)
34-76686
Dec. 18, 2015
SR-OCC-2015-018
Notice of Filing of a Proposed Rule Change Concerning the Adoption of a Charter of a New Committee of The Options Clearing Corporation's Board of Directors, the Technology Committee Comments Due: Exhibit 5 , Rel. No. 34-77042 , Exhibit 5 , Rel. No. 34-77042 Federal Register version (80 FR 80422)
34-76690
Dec. 18, 2015
SR-NYSEARCA-2015-121
Notice of Filing of Proposed Rule Change To Amend Rule 1.1(s) To Provide for Price Collar Thresholds for Trading Halt Auctions Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-76994 Federal Register version (80 FR 80430)
34-76692
Dec. 18, 2015
SR-BX-2015-081
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Rebates and Tiers Related to BX Options Comments Due: Exhibit 5 Federal Register version (80 FR 80432)
34-76693
Dec. 18, 2015
SR-BX-2015-079
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees and Rebates Related to BX Price Improvement Auction (PRISM) Comments Due: Exhibit 5 Federal Register version (80 FR 80408)
34-76691
Dec. 18, 2015
SR-MIAX-2015-71
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories and To Establish the Series 57 Examination as the Appropriate Qualification Examination for Securities Traders Comments Due: Exhibit 5 Federal Register version (80 FR 80425)
34-76696
Dec. 18, 2015
SR-ICEEU-2015-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to ICC End-of-Day Price Discovery Policy Comments Due: Federal Register version (80 FR 80414)
34-76673
Dec. 17, 2015
SR-NYSEArca-2015-104
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt a New Policy Relating to Trade Reports for Exchange Traded Products Comments Due: View Received Comments Rel. No. 34-77170 , Rel. No. 34-76431 Federal Register version (80 FR 79963)
34-76674
Dec. 17, 2015
SR-MIAX-2015-70
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (80 FR 79986)
34-76675
Dec. 17, 2015
SR-FINRA-2015-054
Notice of Filing of a Proposed Rule Change To Adopt the Capital Acquisition Broker Rules Comments Due: View Received Comments Exhibit 2a , Exhibit 2b , Exhibit 2c , Exhibit 5 , Rel. No. 34-78617 , Rel. No. 34-78220 , Rel. No. 34-77581 , Rel. No. 34-77391 Federal Register version (80 FR 79969)
34-76677
Dec. 17, 2015
SR-FINRA-2015-055
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide FINRA with Authority To Grant Exemptions from TRACE Reporting Requirements for Certain ATS Transactions Comments Due: View Received Comments Exhibit 5 Federal Register version (80 FR 79966)
34-76672
Dec. 17, 2015
SR-CBOE-2015-113
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Technical Disconnect Mechanism Comments Due: Federal Register version (80 FR 79984)
34-76664
Dec. 16, 2015
SR-BATS-2015-110
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 13.3, Forwarding of Proxy and Other Issuer Materials; Proxy Voting Comments Due: Exhibit 5 Federal Register version (80 FR 79636)
34-76665
Dec. 16, 2015
SR-BYX-2015-48
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 13.3, Forwarding of Proxy and Other Issuer Materials; Proxy Voting Comments Due: Exhibit 5 Federal Register version (80 FR 79629)
34-76671
Dec. 16, 2015
SR-Phlx-2015-103
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Cabinet Trading Pilot Program Comments Due: Federal Register version (80 FR 79642)
34-76668
Dec. 16, 2015
SR-NYSEMKT-2015-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place at a Price That Is Below $1 Per Option Contract Until January 5, 2017 Comments Due: Exhibit 5 Federal Register version (80 FR 79645)
34-76669
Dec. 16, 2015
SR-NYSEMKT-2015-80
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting Rule 410B-Equities Governing Reporting Requirements for Off-Exchange Transactions Comments Due: Release No. 34-76982 , Rel. No. 34-76276 Federal Register version (80 FR 79640)
34-76667
Dec. 16, 2015
SR-NYSEARCA-2015-122
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions to Take Place at a Price That Is Below $1 Per Option Contract Until January 5, 2017 Comments Due: Exhibit 5 Federal Register version (80 FR 79630)
34-76666
Dec. 16, 2015
SR-NYSE-2015-48
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting Rule 410B Governing Reporting Requirements for Off-Exchange Transactions Comments Due: Rel No. 34-76983 , Rel. No. 34-76277 Federal Register version (80 FR 79644)
34-76663
Dec. 16, 2015
SR-BX-2015-078
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Exposure Comments Due: Exhibit 5 Federal Register version (80 FR 79640)
34-76644
Dec. 15, 2015
SR-NFA-2015-01
Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for SFPs Comments Due: Federal Register version (80 FR 79390)
34-76648
Dec. 15, 2015
SR-Phlx-2015-49
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend and Correct Rule 1080.07 Comments Due: Rel. No. 34-76742 , Rel. No. 34-75942 , Rel. No. 34-75570 , Rel. No. 34-75189 Federal Register version (80 FR 79385)
34-76654
Dec. 15, 2015
SR-Phlx-2015-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Certificate of Formation, By-Laws and First Amended Limited Liability Company Agreement Comments Due: Federal Register version (80 FR 79396)
34-76657
Dec. 15, 2015
SR-Phlx-2015-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Rule 108 Comments Due: Federal Register version (80 FR 79394)
34-76655
Dec. 15, 2015
SR-NYSEMKT-2015-103
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Equities To Eliminate Good Til Cancelled Orders and Stop Orders, and Make Conforming Changes to Equities Rules 49, 61, 70, 104, 115A, 116, 118, 123, 123A, 123C, 123D, 501, 1000, 1004, and 6140 Comments Due: View Received Comments Exhibit 5 Federal Register version (80 FR 79382)
34-76646
Dec. 15, 2015
SR-NYSEArca-2015-113
Notice of Filing of Proposed Rule Change Relating to the Index Underlying the WisdomTree Put Write Strategy Fund Comments Due: Rel. No. 34-77045 Federal Register version (80 FR 79371)
34-76649
Dec. 15, 2015
SR-NYSE-2015-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 13 To Eliminate Good til Cancelled ("GTC") Orders and Stop Orders, and Make Conforming Changes to Rules 49, 61, 70, 104, 109, 115A, 116, 118, 123, 123A, 123C, 123D, 1000, 1004 and 6140 Comments Due: View Received Comments Exhibit 5 Federal Register version (80 FR 79365)
34-76658
Dec. 15, 2015
SR-BX-2015-071
Notice of Withdrawal of Proposed Rule Change To Amend the Fees Schedule Comments Due: Rel. No. 34-76520 Federal Register version (80 FR 79362)
34-76656
Dec. 15, 2015
SR-BX-2015-080
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Certificate of Incorporation and By-Laws Comments Due: Federal Register version (80 FR 79381)
34-76647
Dec. 15, 2015
SR-NASDAQ-2015-148
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Options Market-Fees and Rebates Comments Due: Exhibit 5 Federal Register version (80 FR 79375)
34-76651
Dec. 15, 2015
SR-NASDAQ-2015-149
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Options Market-Fees and Rebates Comments Due: Exhibit 5 Federal Register version (80 FR 79387)
34-76653
Dec. 15, 2015
SR-MSRB-2015-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Forms G-37, G-37x and G-38t To Change the MSRB's Address on the Forms Comments Due: Exhibit 3 Federal Register version (80 FR 79386)
34-76650
Dec. 15, 2015
SR-FINRA-2015-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NASD Rules 1022 (Categories of Principal Registration) and 1032 (Categories of Representative Registration) Comments Due: Exhibit 5 Federal Register version (80 FR 79362)
34-76641
Dec. 14, 2015
SR-OCC-2015-805
Notice of Filing of an Advance Notice, as Modified by Amendment Nos. 1, 2 and 3, Concerning The Options Clearing Corporation's Non-Bank Liquidity Facility Comments Due: Rel. No. 34-76821 Federal Register version (80 FR 79114)
34-76637
Dec. 14, 2015
SR-NYSEMKT-2015-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add to the Rules of the Exchange the Ninth Amended and Restated Operating Agreement of New York Stock Exchange LLC Comments Due: Exhibit 5 Federal Register version (80 FR 79124)
34-76638
Dec. 14, 2015
SR-NYSEMKT-2015-106
Notice of Filing of Proposed Rule Change Amending the Seventh Amended and Restated Operating Agreement of the Exchange To Establish a Committee for Review as a Sub-Committee of the ROC and Make Conforming Changes to Rules and the NYSE MKT Company Guide Comments Due: Exhibit 5 , Rel. No. 34-77008 Federal Register version (80 FR 79117)
34-76636
Dec. 14, 2015
SR-NYSEArca-2015-119
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (80 FR 79126)
34-76623
Dec. 11, 2015
SR-BATS-2015-112
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.13(b)(4)(A) and 21.9(a)(3)(A), Amending Aggressive Re-Route Instruction Comments Due: Exhibit 5 Federal Register version (80 FR 78800)
34-76625
Dec. 11, 2015
SR-BYX-2015-49
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13(b)(4)(A), Amending Aggressive Re-Route Instruction Comments Due: Exhibit 5 Federal Register version (80 FR 78804)
34-76631
Dec. 11, 2015
SR-Phlx-2015-98
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Pricing Schedule Under Section VIII With Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share Comments Due: Exhibit 5 Federal Register version (80 FR 78797)
34-76627
Dec. 11, 2015
SR-NYSEArca-2015-118
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (80 FR 78806)
34-76629
Dec. 11, 2015
SR-NYSEARCA-2015-120
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Comments Due: Exhibit 5 Federal Register version (80 FR 78809)
34-76613
Dec. 10, 2015
SR-NYSEMKT-2015-89
Notice of Filing of Proposed Rule Change to Its Rules To Provide That the Co-Location Services Offered by the Exchange Include Three Time Feeds and Four Bundles of Co-Location Services Comments Due: View Received Comments Exhibit 5 Federal Register version (80 FR 78262)
34-76616
Dec. 10, 2015
SR-NYSEARCA-2015-102
Notice of Filing of Proposed Rule Change to Its Rules To Provide That the Co-location Services Offered by the Exchange Include Three Time Feeds and Four Bundles of Co-location Services Comments Due: View Received Comments Exhibit 5 Federal Register version (80 FR 78275)
34-76612
Dec. 10, 2015
SR-NYSE-2015-53
Notice of Filing of Proposed Rule Change to Its Rules To Provide That the Co-Location Services Offered by the Exchange Include Three Time Feeds and Four Bundles of Co-Location Services Comments Due: View Received Comments Exhibit 5 Federal Register version (80 FR 78269)
34-76597
Dec. 9, 2015
SR-EDGX-2015-60
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 19.6, Series of Options Contracts Open for Trading Comments Due: Exhibit 5 Federal Register version (80 FR 77686)
34-76603
Dec. 9, 2015
SR-EDGX-2015-58
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 (80 FR 77683)
34-76596
Dec. 9, 2015
SR-BATS-2015-111
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 19.6, Series of Options Contracts Open for Trading Comments Due: Exhibit 5 Federal Register version (80 FR 77678)
34-76602
Dec. 9, 2015
SR-EDGA-2015-44
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 (80 FR 77675)
34-76600
Dec. 9, 2015
SR-NYSEMKT-2015-101
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE MKT Trades Market Data Product Offering Comments Due: Federal Register version (80 FR 77684)
34-76601
Dec. 9, 2015
SR-NYSEMKT-2015-98
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C-Equities To Define the Term "Official Closing Price" Comments Due: Exhibit 5 Federal Register version (80 FR 77680)
34-76598
Dec. 9, 2015
SR-NYSE-2015-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C To Define the Term "Official Closing Price" Comments Due: Exhibit 5 Federal Register version (80 FR 77688)
34-76599
Dec. 9, 2015
SR-NYSE-2015-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Trades Market Data Product Offering Comments Due: Federal Register version (80 FR 77676)
34-76576
Dec. 8, 2015
SR-EDGX-2015-59
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Rule 22.10, Limitation on Dealings, Related to the EDGX Options Market Comments Due: Exhibit 5 Federal Register version (80 FR 77072)
34-76593
Dec. 8, 2015
SR-Phlx-2015-94
Notice of Filing of Proposed Rule Change To Make Permanent the Pilot Program Eliminating Minimum Value Sizes for Opening Transactions in New Series of FLEX Options Comments Due: View Received Comments Exhibit 3 , Exhibit 5 , Rel No. 34-77341 , Rel No. 34-76989 Federal Register version (80 FR 77399)
34-76579
Dec. 8, 2015
SR-NYSEMKT-2015-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules To Establish the Securities Trader and Securities Trader Principal Registration Categories Comments Due: Exhibit 5 Federal Register version (80 FR 77058)
34-76580
Dec. 8, 2015
SR-NYSEMKT-2015-99
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules To Prescribe the Securities Traders Examination as the Qualifying Examination for Persons Associated With a Member Organization Engaged Solely in Proprietary Trading, and Amend Continuing Education Requirement Applicable to Such Members Comments Due: Exhibit 5 Federal Register version (80 FR 77035)
34-76577
Dec. 8, 2015
SR-NYSEARCA-2015-116
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 2.23 To Establish the Securities Trader and Securities Trader Principal Registration Categories Comments Due: Exhibit 5 Federal Register version (80 FR 77063)
34-76578
Dec. 8, 2015
SR-NYSEARCA-2015-117
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules To Prescribe the Securities Traders Examination as the Qualifying Examination for Employees of ETP Holders Engaged Solely in Proprietary Trading, and Amend Continuing Education Requirement Applicable to Such Members Comments Due: Exhibit 5 Federal Register version (80 FR 77068)
34-76590
Dec. 8, 2015
SR-NYSEArca-2015-93
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of Cumberland Municipal Bond ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-76955 , 34-77340 , Rel. No. 34-76590 , Rel. No. 34-78259 Federal Register version (80 FR 77384)
34-76587
Dec. 8, 2015
SR-NYSE-2015-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules To Prescribe the Securities Traders Examination as the Qualifying Examination for Persons Associated With a Member Organization Engaged Solely in Proprietary Trading, and Amend Continuing Education Requirement Applicable to Such Members Comments Due: Exhibit 5 Federal Register version (80 FR 77065)
34-76591
Dec. 8, 2015
SR-NYSE-2015-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Listed Company Manual To Provide That Any Senior Official of a Listed Company With the Rank of Corporate Secretary or Higher Can Sign the Written Request of a Listed Company Seeking To Change Its Designated Market Maker Unit Required by Section 806.01 of the Manual Comments Due: Exhibit 5 Federal Register version (80 FR 77392)
34-76586
Dec. 8, 2015
SR-NASDAQ-2015-147
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7018 Comments Due: Exhibit 5 Federal Register version (80 FR 77057)
34-76585
Dec. 8, 2015
SR-CBOE-2015-107
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Price Protection Mechanisms Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-76960 Federal Register version (80 FR 77038)
34-76589
Dec. 8, 2015
SR-CBOE-2015-110
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of Its Parent Company Comments Due: Exhibit 5 Federal Register version (80 FR 77402)
34-76584
Dec. 8, 2015
SR-C2-2015-033
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Price Protection Mechanisms Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-76959 Federal Register version (80 FR 77047)
