34-76408
Nov. 10, 2015
SR-C2-2015-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Qualification and Registration of Permit Holders Comments Due: Exhibit 5 Federal Register version (80 FR 71873)
34-76393
Nov. 9, 2015
SR-BATS-2015-57
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt New Rule 8.17 To Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 To Prohibit Layering and Spoofing on BATS Exchange, Inc. Rel. No. 34-75970 , Rel. No. 34-75693 Federal Register version (80 FR 70851)
34-76394
Nov. 9, 2015
SR-BATS-2015-56
Notice of Filing of Amendments Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change to List and Trade Shares of the ProShares Managed Futures Strategy ETF of the ProShares Trust Under BATS Rule 14.11 on BATS Exchange, Inc. Comments Due: Rel. No. 34-76019 , Rel. No. 34-75664 Federal Register version (80 FR 70857)
34-76390
Nov. 9, 2015
SR-NSX-2015-05
Notice of Filing of Proposed Rule Change Amending Rule 11.1, Hours of Trading, To Rescind Interpretations and Policies .01, "Cessation of Trading Operations on NSX;" Adopting Rule 11.25 Relating to Use of Market Data Feeds; Amending NSX Rule 11.13 Relating to the Order Delivery Mode of Order Interaction; Amending NSX Rule 11.11 To Remove Certain Order Types and Correct Technical Deficiencies in the Numbering of Certain Sections of the Rule; and Amending Rule 11.12, Cross Message and Making Conforming Amendments to NSX Rules 11.11(c) and 16.2 Comments Due: Rel. No. 34-76640 , Exhibit 5 Federal Register version (80 FR 70261)
34-76395
Nov. 9, 2015
SR-NYSEARCA-2015-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Principles-Based Approach To Prohibit the Misuse of Material Nonpublic Information by Lead Market Makers ("LMMs") by Deleting Rule 6.83 Comments Due: Exhibit 5 Federal Register version (80 FR 70852)
34-76400
Nov. 9, 2015
SR-NYSE-2015-56
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Modify Certain Fees for Transactions that Remove Liquidity from the Exchange Comments Due: Exhibit 5 Federal Register version (80 FR 70860)
34-76392
Nov. 9, 2015
SR-MIAX-2015-62
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Rule 521 Comments Due: Exhibit 5 Federal Register version (80 FR 70856)
34-76391
Nov. 9, 2015
SR-FINRA-2015-044
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish an Examination Fee for the Securities Trader Qualification Examination (Series 57) Comments Due: Federal Register version (80 FR 70862)
34-76383
Nov. 6, 2015
SR-BX-2015-063
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus Comments Due: Exhibit 5 Federal Register version (80 FR 70279)
34-76384
Nov. 6, 2015
SR-NASDAQ-2015-131
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus Comments Due: Exhibit 5 Federal Register version (80 FR 70268)
34-76386
Nov. 6, 2015
SR-NASDAQ-2015-128
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Chapter XV, Entitled "Options Pricing," at Section 2 Governing Pricing for NASDAQ Members Comments Due: Exhibit 5 Federal Register version (80 FR 70282)
34-76385
Nov. 6, 2015
SR-FINRA-2015-045
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7640A (Data Products Offered by Nasdaq) Comments Due: Federal Register version (80 FR 70277)
34-76370
Nov. 5, 2015
SR-Phlx-2015-90
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Business Continuity and Disaster Recovery Plans Testing Requirements Comments Due: Exhibit 5 Federal Register version (80 FR 70036)
34-76366
Nov. 5, 2015
SR-NYSEMKT-2015-85
Notice of Filing of Proposed Rule Change to the Co-Location Services Offered by the Exchange (the Offering of a Wireless Connection To Allow Users To Receive Market Data Feeds From Third Party Markets) and To Reflect Changes to the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule Related to These Services Comments Due: Exhibit 5 , Rel. No. 34-76750 Federal Register version (80 FR 70047)
34-76373
Nov. 5, 2015
SR-NYSEMKT-2015-90
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That the Co-Location Services Offered by the Exchange Include 40 Gigabit Internet Protocol Network Connections in the Exchange's Data Center and To Amend the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Implement Fees for the New Service Comments Due: Exhibit 5 Federal Register version (80 FR 70024)
34-76362
Nov. 5, 2015
SR-NYSEArca-2015-73
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendments No. 1 and 3, Relating to Listing and Trading of Shares of the Guggenheim Total Return Bond ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-76719 , Rel. No. 34-75930 Federal Register version (80 FR 70044)
34-76364
Nov. 5, 2015
SR-NYSEArca-2015-99
Notice of Filing of Proposed Rule Change to the Co-Location Services Offered by the Exchange (the Offering of a Wireless Connection To Allow Users To Receive Market Data Feeds From Third Party Markets) and To Reflect Changes to the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges Related to These Services Comments Due: Exhibit 5 , Rel. No. 34-76749 Federal Register version (80 FR 70051)
34-76372
Nov. 5, 2015
SR-NYSEARCA-2015-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That the Co-Location Services Offered by the Exchange Include 40 Gigabit Internet Protocol Network Connections in the Exchange's Data Center and To Amend the Exchange's Price List To Implement Fees for the New Services Comments Due: Exhibit 5 Federal Register version (80 FR 70039)
34-76369
Nov. 5, 2015
SR-NYSE-2015-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That the Co-Location Services Offered by the Exchange Include 40 Gigabit Internet Protocol Network Connections in the Exchange's Data Center and To Amend the Exchange's Price List To Implement Fees for the New Service Comments Due: Exhibit 5 Federal Register version (80 FR 70027)
34-76374
Nov. 5, 2015
SR-NYSE-2015-52
Notice of Filing of Proposed Rule Change to the Co-Location Services Offered by the Exchange (the Offering of a Wireless Connection To Allow Users To Receive Market Data Feeds From Third Party Markets) and To Reflect Changes to the Exchange's Price List Related to These Services Comments Due: Exhibit 5 , Rel. No. 34-76748 Federal Register version (80 FR 70021)
34-76371
Nov. 5, 2015
SR-BX-2015-065
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Business Continuity and Disaster Recovery Plans Testing Requirements Comments Due: Exhibit 5 Federal Register version (80 FR 69988)
34-76375
Nov. 5, 2015
SR-BX-2015-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Price Improving and Post-Only Orders Comments Due: Exhibit 5 Federal Register version (80 FR 70054)
34-76363
Nov. 5, 2015
SR-NASDAQ-2015-127
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Chapter XV, Entitled "Options Pricing," at Section 2 Governing Pricing for NASDAQ Members Comments Due: Exhibit 5 Federal Register version (80 FR 70032)
34-76365
Nov. 5, 2015
SR-NASDAQ-2015-130
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Chapter XV, Entitled "Options Pricing," at Section 2 Governing Pricing for NASDAQ Members Comments Due: Exhibit 5 Federal Register version (80 FR 70030)
34-76368
Nov. 5, 2015
SR-NASDAQ-2015-134
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Business Continuity and Disaster Recovery Plans Testing Requirements Comments Due: Exhibit 5 Federal Register version (80 FR 70045)
34-76360
Nov. 5, 2015
SR-FINRA-2015-046
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing Under Regulation SCI Comments Due: Exhibit 5 Federal Register version (80 FR 70042)
34-76367
Nov. 5, 2015
SR-BOX-2015-35
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Business Continuity and Disaster Recovery Plans ("BC/DR plans") Testing Requirements for Certain Options Participants in Connection With Regulation Systems Compliance and Integrity ("Regulation SCI") Comments Due: Exhibit 5 Federal Register version (80 FR 70000)
34-76351
Nov. 4, 2015
SR-CBOE-2015-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Business and Disaster Recovery Plans Testing Requirements for Certain Participants in Connection With Regulation Systems Compliance and Integrity Comments Due: View Received Comments Exhibit 5 Federal Register version (80 FR 69734)
34-76351
Nov. 4, 2015
SR-CHX-2015-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Business and Disaster Recovery Plans Testing Requirements for Certain Participants in Connection With Regulation Systems Compliance and Integrity Comments Due: Exhibit 5 Federal Register version (80 FR 69734)
34-76343
Nov. 4, 2015
SR-NYSEMKT-2015-82
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring Certain Member Organizations To Participate in Business Continuity and Disaster Recovery Plans Testing in Connection With Regulation Systems Compliance and Integrity Comments Due: Exhibit 5 Federal Register version (80 FR 69738)
34-76345
Nov. 4, 2015
SR-NYSEMKT-2015-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 19-Equities To Specify in Exchange Rules the Exchange's Use of Data Feeds From National Stock Exchange, Inc. for Order Handling and Execution, Order Routing, and Regulatory Compliance Comments Due: Exhibit 5 Federal Register version (80 FR 69749)
34-76342
Nov. 4, 2015
SR-NYSEARCA-2015-96
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring Certain ETP Holders To Participate in Business Continuity and Disaster Recovery Plans Testing in Connection With Regulation Systems Compliance and Integrity Comments Due: Exhibit 5 Federal Register version (80 FR 69745)
34-76347
Nov. 4, 2015
SR-NYSEARCA-2015-98
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Specifying in Exchange Rules the Exchange's Use of Data Feeds From National Stock Exchange, Inc. for Order Handling and Execution, Order Routing, and Regulatory Compliance Comments Due: Exhibit 5 Federal Register version (80 FR 69748)
34-76349
Nov. 4, 2015
SR-NYSEARCA-2015-97
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring OTP Holders To Participate in Business Continuity and Disaster Recovery Plans Testing in Connection With Regulation Systems Compliance and Integrity Comments Due: Exhibit 5 Federal Register version (80 FR 69731)
34-76339
Nov. 4, 2015
SR-NYSE-2015-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 19 To Specify in Exchange Rules the Exchange's Use of Data Feeds From National Stock Exchange, Inc. for Order Handling and Execution, Order Routing, and Regulatory Compliance Comments Due: Exhibit 5 Federal Register version (80 FR 69737)
34-76346
Nov. 4, 2015
SR-NYSE-2015-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring Certain Member Organizations To Participate in Business Continuity and Disaster Recovery Plans Testing in Connection With Regulation Systems Compliance and Integrity Comments Due: Exhibit 5 Federal Register version (80 FR 69765)
34-76348
Nov. 4, 2015
SR-NSCC-2015-007
Notice of Filing of Proposed Rule Change To Provide Mechanism for Sub-Account Settlement With Respect to the Alternative Investment Product Services Comments Due: Exhibit 3 , Exhibit 5 , Rel. No. 34-76652 Federal Register version (80 FR 69728)
34-76340
Nov. 4, 2015
SR-NASDAQ-2015-135
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the LIST Routing Option Comments Due: Exhibit 5 Federal Register version (80 FR 69761)
34-76344
Nov. 4, 2015
SR-NASDAQ-2015-115
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Chapter XV, Entitled "Options Pricing," at Section 2 Governing Pricing for NASDAQ Members Comments Due: Exhibit 5 Federal Register version (80 FR 69755)
34-76341
Nov. 4, 2015
SR-CBOE-2015-098
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Mini Options Comments Due: Exhibit 5 Federal Register version (80 FR 69767)
34-76352
Nov. 4, 2015
SR-CBOE-2015-093
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 69760)
34-76353
Nov. 4, 2015
SR-CBOE-2015-100
Notice of Filing of a Proposed Rule Change To List and Trade Options That Overlie a Reduced Value of the FTSE 100 Index Comments Due: Exhibit 3 , Exhibit 5 , Rel. No. 34-76626 Federal Register version (80 FR 69751)
34-76354
Nov. 4, 2015
SR-CBOE-2015-099
Notice of Filing of a Proposed Rule Change To List and Trade Options That Overlie a Reduced Value of the FTSE China 50 Index Comments Due: Exhibit 3 , Exhibit 5 , Rel. No. 34-76676 Federal Register version (80 FR 69741)
34-76329
Nov. 3, 2015
SR-EDGX-2015-51
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 3.22, Proxy Voting, and 13.3, Forwarding of Proxy and Other Issuer Materials Comments Due: Exhibit 5 Federal Register version (80 FR 69259)
34-76330
Nov. 3, 2015
SR-EDGA-2015-41
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 3.22, Proxy Voting, and 13.3, Forwarding of Proxy and Other Issuer Materials Comments Due: Exhibit 5 Federal Register version (80 FR 69264)
34-76332
Nov. 3, 2015
SR-ISEGemini-2015-23
Notice of Filing of Proposed Rule Change To Comply With the Requirements of Rule 1004 of Regulation SCI Comments Due: Exhibit 5 Federal Register version (80 FR 69266)
34-76335
Nov. 3, 2015
SR-NASDAQ-2015-112
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Establish a Retail Order Process Known as "RTFY" Comments Due: View Received Comments Rel. No. 34-76718 , Rel. No. 34-75987 Federal Register version (80 FR 69256)
34-76334
Nov. 3, 2015
SR-ISE-2015-35
Notice of Filing of Proposed Rule Change To Comply With the Requirements of Rule 1004 of Regulation SCI Comments Due: Exhibit 5 Federal Register version (80 FR 69256)
34-76331
Nov. 3, 2015
SR-ICC-2015-017
Notice of Filing of Proposed Rule Change To Revise the ICC Risk Management Framework and ICC Treasury Operations Policies and Procedures, and Adopt the ICC Risk Management Model Description Document Comments Due: Rel. No. 34-76733 Federal Register version (80 FR 69261)
34-76327
Nov. 2, 2015
SR-BATS-2015-93
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Rule 22.10, Limitations on Dealings Comments Due: Exhibit 5 Federal Register version (80 FR 68884)
34-76326
Nov. 2, 2015
SR-CHX-2015-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Smart Versus Direct Routing Protocol Comments Due: Federal Register version (80 FR 68888)
34-76321
Oct. 30, 2015
SR-EDGX-2015-50
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 21.2, 21.6, and 21.7, as They Relate To Order Acceptance Time Comments Due: Exhibit 5 Federal Register version (80 FR 68583)
34-76320
Oct. 30, 2015
SR-BATS-2015-92
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 21.2, 21.6, and 21.7, as They Relate to Order Acceptance Time Comments Due: Exhibit 5 Federal Register version (80 FR 68581)
34-76323
Oct. 30, 2015
SR-NYSE-2015-02
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change, as Modified by Amendment No. 1, 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: Rel. No. 34-74849 , Rel. No. 34-75248 , Rel. No. 34-75599 , Rel. No. 34-76814 Federal Register version (80 FR 68585)
34-76317
Oct. 30, 2015
SR-BX-2015-060
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Risk Monitor Mechanism Comments Due: Exhibit 5 Federal Register version (80 FR 68586)
34-76316
Oct. 30, 2015
SR-NASDAQ-2015-122
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Monitor Mechanism Comments Due: Exhibit 5 Federal Register version (80 FR 68595)
34-76302
Oct. 29, 2015
SR-EDGX-2015-52
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 68371)
34-76295
Oct. 29, 2015
SR-Phlx-2015-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Risk Monitor Mechanism Comments Due: Exhibit 5 Federal Register version (80 FR 68338)
34-76294
Oct. 29, 2015
SR-NYSEMKT-2015-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 46-Equities, 46A-Equities, 103B-Equities, and 497-Equities To Replace References to the NYSE Regulation Board of Directors With the Exchange's Regulatory Oversight Committee Comments Due: Exhibit 5 Federal Register version (80 FR 68376)
34-76296
Oct. 29, 2015
SR-NYSE-2015-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Discontinuing the NYSE Retail Trading Product and the NYSE Program Trading Product Market Data Product Offerings Comments Due: View Received Comments Federal Register version (80 FR 68367)
34-76301
Oct. 29, 2015
SR-BX-2015-032
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt a New Price Improvement Auction, BX PRISM Comments Due: Exhibit 5 Federal Register version (80 FR 68347)
34-76297
Oct. 29, 2015
SR-NASDAQ-2015-121
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Terminology in Nasdaq Rules 4120, 5615 and 5745 and IM-5615-4 Comments Due: Exhibit 5 Federal Register version (80 FR 68342)
34-76298
Oct. 29, 2015
SR-NASDAQ-2015-126
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7018 Comments Due: Exhibit 5 Federal Register version (80 FR 68377)
34-76303
Oct. 29, 2015
SR-MIAX-2015-61
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 321 Business Continuity and Disaster Recovery Plans Testing Requirements for Designated Members Comments Due: Exhibit 5 Federal Register version (80 FR 68373)
34-76300
Oct. 29, 2015
SR-C2-2015-030
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 6.45 Relating to Disaster Recovery Comments Due: Exhibit 5 Federal Register version (80 FR 68343)
34-76309
Oct. 29, 2015
S7-966
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., and Miami International Securities Exchange, LLC Concerning Options-Related Sales Practice Matters Comments Due: Federal Register version (80 FR 68361)
34-76310
Oct. 29, 2015
4-551
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., and Miami International Securities Exchange, LLC Concerning Options-Related Market Surveillance Comments Due: Federal Register version (80 FR 68354)
34-76293
Oct. 28, 2015
SR-BATS-2015-96
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period of the BATS Exchange, Inc.'s Supplemental Competitive Liquidity Provider Program Comments Due: Exhibit 5 Federal Register version (80 FR 67808)
34-76292
Oct. 28, 2015
SR-NYSEMKT-2015-81
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123D-Equities To Specify That Exchange Systems May Open One or More Securities Electronically if a Designated Market Maker Registered in a Security or Securities Cannot Facilitate the Opening of Trading as Required by Exchange Rules Comments Due: Exhibit 5 Federal Register version (80 FR 67830)
34-76291
Oct. 28, 2015
SR-NYSEArca-2015-76
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Global Currency Gold Fund Under NYSE Arca Equities Rule 8.201 Comments Due: View Received Comments Rel. No. 34-76630 , Rel. No. 34-77337 Federal Register version (80 FR 67827)
34-76290
Oct. 28, 2015
SR-NYSE-2015-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123D To Specify That Exchange Systems May Open One or More Securities Electronically if a Designated Market Maker Registered in a Security or Securities Cannot Facilitate the Opening of Trading as Required by Exchange Rules Comments Due: Exhibit 5 Federal Register version (80 FR 67822)
34-76289
Oct. 28, 2015
SR-NSCC-2015-008
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Details Regarding the Requirement that Members Participate in Annual Testing of Business Continuity and Disaster Recovery Plans Comments Due: Exhibit 5 Federal Register version (80 FR 67828)
34-76288
Oct. 28, 2015
SR-CBOE-2015-096
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 67805)
34-76276
Oct. 27, 2015
SR-NYSEMKT-2015-80
Notice of Filing of Proposed Rule Change Deleting Rule 410B Equities Governing Reporting Requirements for Off-Exchange Transactions Comments Due: Exhibit 5 , Release No. 34-76982 , Rel. No. 34-76669 Federal Register version (80 FR 67454)
34-76277
Oct. 27, 2015
SR-NYSE-2015-48
Notice of Filing of Proposed Rule Change Deleting Rule 410B Governing Reporting Requirements for Off-Exchange Transactions Comments Due: Exhibit 5 , Rel No. 34-76983 , Rel. No. 34-76666 Federal Register version (80 FR 67443)
34-76278
Oct. 27, 2015
SR-FICC-2015-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Additional Details Regarding the Requirement That Members Participate in Annual Testing of Business Continuity and Disaster Recovery Plans Comments Due: Exhibit 5 Federal Register version (80 FR 67450)
34-76283
Oct. 27, 2015
SR-DTC-2015-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Additional Details Regarding the Requirement That Participants Participate in Annual Testing of Business Continuity and Disaster Recovery Plans Comments Due: Exhibit 5 Federal Register version (80 FR 67467)
34-76273
Oct. 27, 2015
SR-CBOE-2015-089
Notice of Filing of a Proposed Rule Change Relating to Complex Orders, as Modified by Amendment No. 1 Comments Due: Rel. No. 34-76622 Federal Register version (80 FR 67457)
34-76282
Oct. 27, 2015
SR-CBOE-2015-092
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of its Parent Company Comments Due: Exhibit 5 Federal Register version (80 FR 67464)
34-76274
Oct. 27, 2015
SR-C2-2015-025
Notice of Filing of a Proposed Rule Change Relating to Complex Orders, as Modified by Amendment No. 1 Comments Due: Rel. No. 34-76 Federal Register version (80 FR 67446)
34-76281
Oct. 27, 2015
SR-C2-2015-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of Its Parent Company Comments Due: Exhibit 5 Federal Register version (80 FR 67461)
34-76262
Oct. 26, 2015
SR-CHX-2015-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Unify Procedures for the Handling of Resting Orders in a Security Subject to a Trading Halt, Pause or Suspension on the Exchange Comments Due: Exhibit 5 Federal Register version (80 FR 67440)
34-76260
Oct. 26, 2015
SR-Phlx-2015-81
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Testing Facility Comments Due: Exhibit 5 Federal Register version (80 FR 66955)
34-76268
Oct. 26, 2015
SR-NYSEMKT-2015-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Procedures and Credits in Connection With the Re-Location of Equipment in the Exchange's Data Center Comments Due: Exhibit 5 Federal Register version (80 FR 66944)
34-76270
Oct. 26, 2015
SR-NYSEARCA-2015-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Procedures and Credits in Connection With the Re-location of Equipment in the Exchange's Data Center Comments Due: View Received Comments Exhibit 5 Federal Register version (80 FR 66958)
34-76269
Oct. 26, 2015
SR-NYSE-2015-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Procedures and Credits in Connection With the Re-Location of Equipment in the Exchange's Data Center Comments Due: Exhibit 5 Federal Register version (80 FR 66942)
34-76258
Oct. 26, 2015
SR-BX-2015-059
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Testing Facility Comments Due: Exhibit 5 Federal Register version (80 FR 66949)
34-76259
Oct. 26, 2015
SR-NASDAQ-2015-117
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Testing Facility Comments Due: Exhibit 5 Federal Register version (80 FR 66947)
34-76249
Oct. 23, 2015
SR-CHX-2015-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Adopt CHX SNAP Execution Fees Comments Due: Exhibit 5 Federal Register version (80 FR 66600)
34-76248
Oct. 23, 2015
SR-NYSEMKT-2015-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 953.1NY(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility to Coincide with the Pilot Period for the Plan To Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS Comments Due: Exhibit 5 Federal Register version (80 FR 66591)
34-76246
Oct. 23, 2015
SR-NYSEArca-2015-101
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 6.65A(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility To Coincide With the Pilot Period for the Plan To Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS Comments Due: Exhibit 5 Federal Register version (80 FR 66603)
34-76245
Oct. 23, 2015
SR-NASDAQ-2015-124
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Active Alts Contrarian ETF of ETFis Series Trust I Comments Due: Rel. No. 34-76538 Federal Register version (80 FR 66594)
34-76247
Oct. 23, 2015
SR-CBOE-2015-094
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Qualification and Registration of Trading Permit Holders and Associated Persons Comments Due: Exhibit 5 Federal Register version (80 FR 66605)
34-76251
Oct. 23, 2015
SR-CBOE-2015-026
Notice of Withdrawal of a Proposed Rule Change Relating to Rules 6.74A and 6.74B Comments Due: View Received Comments Rel. No. 34-75908 , Rel. No. 34-75245 , Rel. No. 34-74862 , Rel. No. 34-74519 Federal Register version (80 FR 66608)
34-76254
Oct. 23, 2015
SR-CBOE-2015-045
Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Rule 6.53C and Complex Orders on the Hybrid System Comments Due: View Received Comments Rel. No. 34-75736 , Rel. No. 34-75359 , Rel. No. 34-75003 Federal Register version (80 FR 66609)
34-76230
Oct. 22, 2015
SR-EDGX-2015-49
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors Comments Due: Exhibit 5 Federal Register version (80 FR 66094)
34-76234
Oct. 22, 2015
SR-EDGX-2015-47
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 21.17, Exchange Sharing of User Designated Risk Settings Comments Due: Exhibit 5 Federal Register version (80 FR 66097)
34-76231
Oct. 22, 2015
SR-BATS-2015-91
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors Comments Due: Exhibit 5 Federal Register version (80 FR 66069)
34-76228
Oct. 22, 2015
SR-ISEGemini-2015-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Limit Up-Limit Down Obvious Error Pilot Comments Due: Exhibit 5 Federal Register version (80 FR 66083)
34-76225
Oct. 22, 2015
SR-Phlx-2015-86
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Obvious Error Pilot Program Comments Due: Exhibit 5 Federal Register version (80 FR 66060)
