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)
34-76224
Oct. 22, 2015
SR-NYSEArca-2015-94
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the AdvisorShares WCM/BNY Mellon Focused Growth ADR ETF's Holdings Comments Due: Federal Register version (80 FR 66085)
34-76229
Oct. 22, 2015
SR-NYSE-2015-46
Notice of Filing of Proposed Rule Change Establishing 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 Exhibit 5 , Rel. No. 34-76551 , Rel. No. 34-76971 , Rel. No. 34-77703 Federal Register version (80 FR 66065)
34-76227
Oct. 22, 2015
SR-BX-2015-062
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 66058)
34-76226
Oct. 22, 2015
SR-NASDAQ-2015-125
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 66092)
34-76237
Oct. 22, 2015
SR-MIAX-2015-60
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period Applicable to Rule 521 and Rule 530 Relating To Limit Up/Limit Down Comments Due: Exhibit 5 Federal Register version (80 FR 66100)
34-76232
Oct. 22, 2015
SR-ISE-2015-34
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 66063)
34-76238
Oct. 22, 2015
SR-FINRA-2015-041
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Establish Fees for Funding Portals Comments Due: Federal Register version (80 FR 66341)
34-76239
Oct. 22, 2015
SR-FINRA-2015-040
Notice of Filing of a Proposed Rule Change To Adopt the Funding Portal Rules and Related Forms and FINRA Rule 4518 Comments Due: View Received Comments Exhibit 2a , Exhibit 2b , Exhibit 2c , Exhibit 3a , Exhibit 3b , Exhibit 3c , Exhibit 3d , Exhibit 5 , Rel. No. 34-76970 Federal Register version (80 FR 66348)
34-76223
Oct. 22, 2015
SR-CBOE-2015-097
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.25 Comments Due: Exhibit 5 Federal Register version (80 FR 66102)
34-76235
Oct. 22, 2015
SR-CBOE-2015-095
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Revisions to the Registered Options Principal Examination Comments Due: Federal Register version (80 FR 66072)
34-76221
Oct. 22, 2015
SR-C2-2015-029
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.15 Comments Due: Exhibit 5 Federal Register version (80 FR 66089)
34-76233
Oct. 22, 2015
SR-BOX-2015-34
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretive Material 1 to Rule 7170 To Extend the Pilot Program That Suspends Certain Obvious Error Provisions During Limit Up-Limit Down States in Securities That Underlie Options Traded on the Exchange Comments Due: Exhibit 5 Federal Register version (80 FR 66087)
34-76211
Oct. 21, 2015
SR-EDGX-2015-41
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 1.5(s), 11.1(a)(1), 11.6 and 11.8 Rel. No. 34-75834 Federal Register version (80 FR 65823)
34-76212
Oct. 21, 2015
SR-EDGX-2015-46
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 65836)
34-76204
Oct. 21, 2015
SR-BATS-2015-69
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 1.5(r), 11.1(a), 11.23, 14.6, 14.11, and 14.12 and Adopt Rule 11.1(a)(1) Rel. No. 34-75832 Federal Register version (80 FR 65832)
34-76205
Oct. 21, 2015
SR-BATS-2015-90
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.25, Retail Order Attribution Program Comments Due: Exhibit 5 Federal Register version (80 FR 67820)
34-76206
Oct. 21, 2015
SR-BYX-2015-38
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 1.5(r) and 11.1 and Adopt New Rule 11.1(a)(1) Rel. No. 34-75831 Federal Register version (80 FR 65823)
34-76207
Oct. 21, 2015
SR-BYX-2015-45
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.24, Retail Price Improvement Program Comments Due: Exhibit 5 Federal Register version (80 FR 65824)
34-76210
Oct. 21, 2015
SR-EDGA-2015-36
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 1.5(s), 11.1(a)(1), 11.6 and 11.8 Comments Due: Rel. No. 34-75835 Federal Register version (80 FR 65835)
34-76214
Oct. 21, 2015
SR-ISEGemini-2015-21
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 65830)
34-76208
Oct. 21, 2015
SR-NYSEMKT-2015-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule Related to the Amex Customer Engagement Program Comments Due: Exhibit 5 Federal Register version (80 FR 65833)
34-76215
Oct. 21, 2015
SR-NYSEMKT-2015-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (80 FR 65826)
34-76213
Oct. 21, 2015
SR-FINRA-2015-043
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA Comments Due: Federal Register version (80 FR 65838)
34-76209
Oct. 21, 2015
SR-CBOE-2015-090
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 65841)
34-76200
Oct. 20, 2015
SR-EDGX-2015-48
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.3 To Allow the Listing of Certain Options Based on International Indexes Comments Due: Exhibit 5 Federal Register version (80 FR 65263)
34-76197
Oct. 20, 2015
SR-BATS-2015-87
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 65279)
34-76202
Oct. 20, 2015
SR-NYSEArca-2015-77
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the First Trust Heitman Global Prime Real Estate ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-75901 Federal Register version (80 FR 65266)
34-76199
Oct. 20, 2015
SR-BX-2015-057
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement An Order Exposure Alert To Be Disseminated by the Exchange Comments Due: Exhibit 5 Federal Register version (80 FR 65271)
34-76201
Oct. 20, 2015
SR-MIAX-2015-59
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404 Comments Due: Exhibit 5 Federal Register version (80 FR 65277)
34-76196
Oct. 20, 2015
SR-ICEEU-2015-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Services for European Natural Gas Spot Contracts Comments Due: Federal Register version (80 FR 65269)
34-76203
Oct. 20, 2015
SR-CBOE-2015-088
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Disaster Recovery Comments Due: Exhibit 5 Federal Register version (80 FR 65258)
34-76187
Oct. 19, 2015
SR-Phlx-2015-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Floor Broker Management System Comments Due: Federal Register version (80 FR 64462)
34-76191
Oct. 19, 2015
SR-PHLX-2015-82
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options Comments Due: Exhibit 5 Federal Register version (80 FR 64464)
34-76186
Oct. 19, 2015
SR-NYSEArca-2015-02
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares Comments Due: View Received Comments Rel. No. 34-74433 , Rel. No. 34-74755 , Rel. No. 34-75115 , Rel. No. 34-75813 Federal Register version (80 FR 64461)
34-76188
Oct. 19, 2015
SR-FINRA-2015-042
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57) Comments Due: Federal Register version (80 FR 64456)
34-76189
Oct. 19, 2015
SR-FINRA-2015-038
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 27 Examination Program Comments Due: Federal Register version (80 FR 64465)
34-76190
Oct. 19, 2015
SR-FINRA-2015-039
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 28 Examination Program Comments Due: Federal Register version (80 FR 64458)
34-76192
Oct. 19, 2015
SR-CBOE-2015-091
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 64469)
