34-76588
Dec. 8, 2015
SR-C2-2015-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Its Parent Company Comments Due: Exhibit 5 Federal Register version (80 FR 77394)
34-76565
Dec. 7, 2015
SR-ICEEU-2015-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Gross Margining for Certain Categories of Customer Accounts Comments Due: Federal Register version (80 FR 77032)
34-76567
Dec. 7, 2015
SR-CBOE-2015-109
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (80 FR 77070)
34-76566
Dec. 7, 2015
SR-CBOE-2015-108
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.54 Comments Due: Exhibit 5 Federal Register version (80 FR 77061)
34-76575
Dec. 7, 2015
SR-CBOE-2015-101
Notice of Withdrawal of Proposed Rule Change To Amend the Fees Schedule Comments Due: View Received Comments Rel. No. 34-76442 Federal Register version (80 FR 77037)
34-76557
Dec. 4, 2015
SR-MIAX-2015-65
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 76716)
34-76556
Dec. 4, 2015
SR-FINRA-2015-053
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (80 FR 76724)
34-76552
Dec. 3, 2015
SR-BATS-2015-108
Notice of Filing of a Proposed Rule Change To Adopt Rule 11.27 Regarding the Quoting and Trading Requirements of the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-77291 , Rel. No. 34-76945 Federal Register version (80 FR 76591)
34-76548
Dec. 3, 2015
SR-OCC-2015-804
Notice of No Objection to Advance Notice Filing to Modify The Options Clearing Corporation's Margin Methodology by Incorporating Variations in Implied Volatility Comments Due: Rel. No. 34-76421 Federal Register version (80 FR 76602)
34-76554
Dec. 3, 2015
SR-NYSEMKT-2015-96
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities To Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders That Are Routed on Behalf of Introduced Retail Accounts That Are Carried on a Fully Disclosed Basis Comments Due: Exhibit 5 Federal Register version (80 FR 76598)
34-76549
Dec. 3, 2015
SR-NYSEArca-2015-115
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rules 7.44 and 7.44P To Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders That are Routed on Behalf of Introduced Retail Accounts That are Carried on a Fully Disclosed Basis Comments Due: Exhibit 5 Federal Register version (80 FR 76595)
34-76551
Dec. 3, 2015
SR-NYSE-2015-46
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish Rules To Comply With the Requirements of the Plan To Implement a Tick Size Pilot Plan Submitted to the Commission Pursuant to Rule 608 of Regulation NMS Under the Act Comments Due: View Received Comments Rel. No. 34-76229 , Rel. No. 34-76971 , Rel. No. 34-77703 Federal Register version (80 FR 76602)
34-76553
Dec. 3, 2015
SR-NYSE-2015-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C To Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders That Are Routed on Behalf of Introduced Retail Accounts That Are Carried on a Fully Disclosed Basis Comments Due: Exhibit 5 Federal Register version (80 FR 76607)
34-76550
Dec. 3, 2015
SR-NASDAQ-2015-146
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Record Keeping Change and Substitution Listing Event Fees for Securities Listed Under the Rule 5700 Series Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (80 FR 76605)
34-76547
Dec. 3, 2015
SR-BOX-2015-37
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To amend IM-5050-10 to BOX Rule 5050 (Mini Option Contracts) Comments Due: Exhibit 5 Federal Register version (80 FR 76609)
34-76540
Dec. 2, 2015
SR-NYSEMKT-2015-97
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132-Equities To Delete Supplementary Material .40 Requiring Members Effecting Transactions on the Equities Trading Floor to Submit Certain Data Elements and Badge Information and to Make a Conforming Change Comments Due: Exhibit 5 Federal Register version (80 FR 76333)
34-76539
Dec. 2, 2015
SR-NYSE-2015-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132 To Delete Supplementary Material .40 Requiring Members Effecting Transactions on the NYSE Trading Floor To Submit Certain Data Elements and Badge Information and To Make a Conforming Change Comments Due: View Received Comments Exhibit 5 Federal Register version (80 FR 76343)
34-76531
Dec. 1, 2015
SR-BX-2015-074
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Order Spread Protection Comments Due: Exhibit 5 Federal Register version (80 FR 76052)
34-76532
Dec. 1, 2015
SR-FINRA-2015-050
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules Comments Due: Federal Register version (80 FR 76053)
34-76530
Nov. 30, 2015
SR-NYSEArca-2015-114
Notice of Filing of Proposed Rule Change Relating To Listing and Trading of Shares of the Market Vectors Dynamic Put Write ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-76871 Federal Register version (80 FR 75883)
34-76527
Nov. 30, 2015
SR-BX-2015-075
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees and Rebates Related to Order Exposure Comments Due: Exhibit 5 Federal Register version (80 FR 75889)
34-76529
Nov. 30, 2015
SR-CBOE-2015-106
Notice of Filing of a Proposed Rule Change To Permit P.M.-Settled Options on Broad-Based Indexes To Expire on Any Wednesday of the Month by Expanding the End of Week/End of Month Pilot Program Comments Due: Rel. No. 34-76909 Federal Register version (80 FR 75695)
34-76524
Nov. 25, 2015
SR-BATS-2015-102
Notice of Filing of a Proposed Rule Change To Adopt Rule 11.27 Regarding the Data Collection Requirements of the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-76891 , Rel. No. 34-77105 Federal Register version (80 FR 75141)
34-76525
Nov. 25, 2015
SR-NYSEMKT-2015-95
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Establishing Fees for the NYSE MKT Integrated Feed Comments Due: Exhibit 5 Federal Register version (80 FR 75148)
34-76520
Nov. 24, 2015
SR-BX-2015-071
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees and Rebates Related to BX Price Improvement Auction (PRISM) Comments Due: Rel. No. 34-76658 Federal Register version (80 FR 75157)
34-76518
Nov. 24, 2015
SR-NASDAQ-2015-145
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Managed Fund Shares in the Lead Market Maker Program Comments Due: Exhibit 5 Federal Register version (80 FR 75147)
34-76519
Nov. 24, 2015
SR-FINRA-2015-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) Comments Due: Exhibit 5 Federal Register version (80 FR 75155)
34-76505
Nov. 23, 2015
SR-ISE-Gemini-2015-17
Notice of Filing of Proposed Rule Change To Amend Rule 804(g) Comments Due: Exhibit 5 , Rel. No. 34-78424 , Rel. No. 34-77927 , Rel. No. 34-77247 , Rel. No. 34-76894 Federal Register version (80 FR 74824)
34-76506
Nov. 23, 2015
SR-ISE-2015-30
Notice of Filing of Proposed Rule Change To Amend Rule 804(g) Comments Due: Exhibit 5 , Rel. No. 34-78423 , Rel. No. 34-77928 , Rel. No. 34-77246 , Rel. No. 34-76893 Federal Register version (80 FR 74829)
34-76507
Nov. 23, 2015
SR-ISE-2015-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (80 FR 74822)
34-76508
Nov. 23, 2015
SR-ISE-2015-42
Notice of Filing of Proposed Rule Change Relating Alternative Primary Market Makers Comments Due: Exhibit 5 Federal Register version (80 FR 74826)
34-76510
Nov. 23, 2015
SR-DTC-2015-011
Notice of Filing of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks Comments Due: Exhibit 5 Federal Register version (80 FR 74819)
34-76500
Nov. 20, 2015
SR-ISEGemini-2015-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (80 FR 74179)
34-76497
Nov. 20, 2015
SR-NSX-2015-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 2.13, Mandatory Participation in Testing of Backup Systems Comments Due: Exhibit 5 Federal Register version (80 FR 74155)
34-76496
Nov. 20, 2015
SR-OCC-2015-016
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify The Options Clearing Corporation's Margin Methodology by Incorporating Variations in Implied Volatility Comments Due: Rel. No. 34-76781 , Rel. No. 34-76128 , Rel. No. 34-76781 , Rel. No. 34-76128 Federal Register version (80 FR 74179)
34-76486
Nov. 20, 2015
SR-NYSEArca-2015-110
Notice of Filing of Proposed Rule Change 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. 34-77203 , Rel. No. 34-76974 , Rel. No. 34-76819 Federal Register version (80 FR 74169)
34-76492
Nov. 20, 2015
SR-NYSEArca-2015-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting a Rule Relating to Fingerprint-Based Background Checks of Directors, Officers, Employees, and Others Comments Due: Federal Register version (80 FR 74153)
34-76493
Nov. 20, 2015
SR-NYSEARCA-2015-86
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt New Equity Trading Rules Relating to Auctions for Pillar, the Exchange's New Trading Technology Platform Comments Due: View Received Comments Rel. No. 34-76869 , Rel. No. 34-76085 Federal Register version (80 FR 74169)
34-76485
Nov. 20, 2015
SR-NYSE-2015-57
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Establishing Fees for the NYSE Integrated Feed Comments Due: View Received Comments Exhibit 5 Federal Register version (80 FR 74158)
34-76487
Nov. 20, 2015
SR-BX-2015-068
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to BX PRISM Comments Due: Exhibit 5 Federal Register version (80 FR 74184)
34-76490
Nov. 20, 2015
SR-BX-2015-073
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Retail Price Improvement Program Until December 1, 2016 Comments Due: Exhibit 5 Federal Register version (80 FR 74165)
34-76499
Nov. 20, 2015
SR-NASDAQ-2015-142
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Order Spread Protection Comments Due: View Received Comments Exhibit 5 Federal Register version (80 FR 74175)
34-76491
Nov. 20, 2015
SR-MIAX-2015-64
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Exchange Rule 519 Comments Due: Exhibit 5 Federal Register version (80 FR 74167)
34-76501
Nov. 20, 2015
SR-ISE-2015-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (80 FR 74181)
34-76489
Nov. 20, 2015
SR-CBOE-2015-103
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Technical Disconnect Mechanism Comments Due: Federal Register version (80 FR 74149)
34-76498
Nov. 20, 2015
SR-CBOE-2015-105
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (80 FR 74151)
34-76488
Nov. 20, 2015
SR-C2-2015-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Technical Disconnect Mechanism Comments Due: Federal Register version (80 FR 74186)
34-76478
Nov. 19, 2015
SR-BATS-2015-100
Notice of Filing of Proposed Rule Change To Amend BATS Rule 14.11(i) To Adopt Generic Listing Standards for Managed Fund Shares Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78005 , Rel. No. 34-77871 , Rel. No. 34-77202 , Rel. No. 34-76820 Federal Register version (80 FR 73841)
34-76483
Nov. 19, 2015
SR-FINRA-2015-047
Notice of Filing of 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: View Received Comments Exhibit 5 , Rel. No. 34-77218 , Rel. No. 34-76855 Federal Register version (80 FR 73853)
34-76484
Nov. 19, 2015
SR-FINRA-2015-048
Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 To Implement the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-76854 , Rel. No. 34-77164 Federal Register version (80 FR 73858)
34-76482
Nov. 19, 2015
SR-CBOE-2015-104
Notice of Proposed Rule Change To Trade Expiring MSCI EAFE Index Options Until 3:00 p.m. Comments Due: Rel. No. 34-76632 Federal Register version (80 FR 73839)
34-76470
Nov. 18, 2015
SR-BATS-2015-101
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt Rule 8.17 To Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 To Prohibit Disruptive Quoting and Trading Activity Comments Due: View Received Comments Exhibit 4 , Exhibit 5 , Rel. No. 34-77171 , Rel. No. 34-76841 Federal Register version (80 FR 73247)
34-76468
Nov. 18, 2015
SR-ISEGemini-2015-24
Notice of Withdrawal of a Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent Comments Due: Rel. No. 34-76416 Federal Register version (80 FR 73254)
34-76467
Nov. 18, 2015
SR-ISE-2015-36
Notice of Withdrawal of a Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent Comments Due: Rel. No. 34-76415 Federal Register version (80 FR 73252)
34-76471
Nov. 18, 2015
SR-CBOE-2015-102
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Administration of Livevol X License Agreements Comments Due: Federal Register version (80 FR 73256)
34-76466
Nov. 18, 2015
SR-C2-2015-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Delivery of the Regulatory Element of C2's Continuing Education Program Comments Due: Federal Register version (80 FR 73254)
34-76453
Nov. 17, 2015
SR-EDGX-2015-56
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (80 FR 72999)
34-76456
Nov. 17, 2015
SR-EDGX-2015-53
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.11, Routing to Away Trading Centers Comments Due: Exhibit 5 Federal Register version (80 FR 73032)
34-76459
Nov. 17, 2015
SR-BATS-2015-97
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.13, Order Execution and Routing Comments Due: Exhibit 5 Federal Register version (80 FR 73024)
34-76457
Nov. 17, 2015
SR-BYX-2015-46
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.13, Order Execution and Routing Comments Due: Exhibit 5 Federal Register version (80 FR 73026)
34-76455
Nov. 17, 2015
SR-EDGA-2015-42
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.11, Routing to Away Trading Centers Comments Due: Exhibit 5 Federal Register version (80 FR 73009)
34-76452
Nov. 17, 2015
SR-Phlx-2015-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Sponsored Access Comments Due: Exhibit 5 Federal Register version (80 FR 73019)
34-76454
Nov. 17, 2015
SR-BX-2015-067
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Sponsored Access Comments Due: Exhibit 5 Federal Register version (80 FR 73006)
34-76449
Nov. 17, 2015
SR-NASDAQ-2015-140
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Sponsored Access Comments Due: Exhibit 5 Federal Register version (80 FR 73011)
34-76450
Nov. 17, 2015
SR-NASDAQ-2015-137
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Quality Incentive Program and Certain Other Fees and Credits for Execution and Routing Comments Due: Exhibit 5 Federal Register version (80 FR 73016)
34-76451
Nov. 17, 2015
SR-ISE-2015-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (80 FR 73034)
34-76441
Nov. 16, 2015
SR-Phlx-2015-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1014, "Obligations and Restrictions Applicable to Specialists and Registered Options Traders" Comments Due: Exhibit 5 Federal Register version (80 FR 72773)
34-76446
Nov. 16, 2015
SR-Phlx-2015-89
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to a Market Access and Routing Subsidy or "MARS" Comments Due: Exhibit 5 Federal Register version (80 FR 72768)
34-76445
Nov. 16, 2015
SR-NASDAQ-2015-133
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Create a Market Access and Routing Subsidy or "MARS" Comments Due: Exhibit 5 Federal Register version (80 FR 72763)
34-76443
Nov. 16, 2015
SR-MSRB-2015-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Proposed New MSRB Rule A-18, on Mandatory Participation in Business Continuity and Disaster Recovery Testing Comments Due: Exhibit 5 Federal Register version (80 FR 72756)
34-76444
Nov. 16, 2015
SR-FINRA-2015-034
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc. Rel. No. 34-76670 , Rel. No. 34-76082 Federal Register version (80 FR 72775)
34-76442
Nov. 16, 2015
SR-CBOE-2015-101
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-76442 Federal Register version (80 FR 72761)
34-76447
Nov. 16, 2015
SR-BOX-2015-36
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC Options Facility Comments Due: Exhibit 5 Federal Register version (80 FR 72758)
34-76438
Nov. 13, 2015
SR-NYSEARCA-2015-108
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 72465)
34-76439
Nov. 13, 2015
SR-NYSEARCA-2015-112
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Effective December 1, 2015 Comments Due: Exhibit 5 Federal Register version (80 FR 72457)
34-76436
Nov. 13, 2015
SR-NYSE-2015-35
Notice of Filing of Amendment Nos. 3 and 5 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 3 and 5, Amending Exchange Disciplinary Rules To Facilitate the Reintegration of Certain Regulatory Functions From Financial Industry Regulatory Authority, Inc. Comments Due: View Received Comments Rel. No. 34-76088 , Rel. No. 34-75721 Federal Register version (80 FR 72460)
34-76437
Nov. 13, 2015
SR-ICC-2015-018
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise ICC End-of-Day Price Discovery Policies and Procedures Comments Due: Federal Register version (80 FR 72458)
34-76427
Nov. 12, 2015
SR-NYSEMKT-2015-76
Notice of Filing of Proposed Rule Change Constituting a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 28-Equities Comments Due: Federal Register version (80 FR 71851)
34-76428
Nov. 12, 2015
SR-NYSEMKT-2015-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Discontinue the NYSE MKT Realtime Reference Price Market Data Product Offering Comments Due: Exhibit 5 Federal Register version (80 FR 72124)
34-76429
Nov. 12, 2015
SR-NYSEARCA-2015-109
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Discontinue the NYSE Arca Realtime Reference Price Market Data Product Offering Comments Due: Exhibit 5 Federal Register version (80 FR 72129)
34-76431
Nov. 12, 2015
SR-NYSEArca-2015-104
Notice of Filing of 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. 34-76673 Federal Register version (80 FR 72126)
34-76423
Nov. 10, 2015
SR-EDGX-2015-55
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (80 FR 71862)
34-76411
Nov. 10, 2015
SR-BATS-2015-98
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 71892)
34-76419
Nov. 10, 2015
SR-BATS-2015-99
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (80 FR 71871)
34-76418
Nov. 10, 2015
SR-BYX-2015-47
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (80 FR 71879)
34-76417
Nov. 10, 2015
SR-EDGA-2015-43
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (80 FR 71850)
34-76416
Nov. 10, 2015
SR-ISEGemini-2015-24
Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent Comments Due: Exhibit 5a , Exhibit 5b , Rel. No. 34-76468 Federal Register version (80 FR 71876)
34-76403
Nov. 10, 2015
SR-Phlx-2015-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus Comments Due: Exhibit 5 Federal Register version (80 FR 71855)
34-76414
Nov. 10, 2015
SR-Phlx-2015-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories and To Retire Other Registration Categories Comments Due: Exhibit 5 Federal Register version (80 FR 71903)
34-76421
Nov. 10, 2015
SR-OCC-2015-804
Notice of Filing of an Advance Notice to Modify The Options Clearing Corporation's Margin Methodology by Incorporating Variations in Implied Volatility Comments Due: Rel. No. 34-76548 Federal Register version (80 FR 71900)
34-76413
Nov. 10, 2015
SR-NYSEMKT-2015-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Certain Representations Relating to the NYSE Best Quote & Trades Data Feed Comments Due: Federal Register version (80 FR 71867)
34-76402
Nov. 10, 2015
SR-NYSEARCA-2015-103
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Certain Representations Relating to the NYSE Best Quote & Trades Data Feed Comments Due: Federal Register version (80 FR 71890)
34-76412
Nov. 10, 2015
SR-NYSEArca-2015-111
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of Shares of the RiverFront Strategic Income Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Federal Register version (80 FR 71880)
34-76406
Nov. 10, 2015
SR-NYSE-2015-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Discontinue the NYSE Realtime Reference Price Market Data Product Offering Comments Due: Exhibit 5 Federal Register version (80 FR 71853)
34-76422
Nov. 10, 2015
SR-NYSE-2015-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Constituting a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 28 Comments Due: Federal Register version (80 FR 71868)
34-76409
Nov. 10, 2015
SR-BX-2015-066
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 (80 FR 71847)
34-76410
Nov. 10, 2015
SR-NASDAQ-2015-138
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories and To Retire Other Registration Categories Comments Due: Exhibit 5 Federal Register version (80 FR 71887)
34-76420
Nov. 10, 2015
SR-MSRB-2015-03
Notice of Filing of Amendment No. 2 to Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records To Be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors Comments Due: View Received Comments Rel. No. 34-76753 , Rel. No. 34-75737 , Rel. No. 34-75628 , Rel. No.34-74860 Federal Register version (80 FR 71858)
34-76405
Nov. 10, 2015
SR-MIAX-2015-63
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Exchange Rule 610, Limitations on Dealings Comments Due: Exhibit 5 Federal Register version (80 FR 71883)
34-76415
Nov. 10, 2015
SR-ISE-2015-36
Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent Comments Due: Exhibit 5a , Exhibit 5b , Rel. No. 34-76467 Federal Register version (80 FR 71864)
