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)
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)
