34-76108
Oct. 8, 2015
SR-OCC-2015-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning the Requirement for Clearing Members To Participate in Operation Testing Comments Due: Federal Register version (80 FR 62129)
34-76114
Oct. 8, 2015
SR-NYSEArca-2015-89
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Comments Due: Exhibit 5 Federal Register version (80 FR 62131)
34-76110
Oct. 8, 2015
SR-NYSE-2015-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.03, 902.04, 902.05 and 902.06 of the Listed Company Manual To Increase Certain of the Fees Set Forth Therein Comments Due: Exhibit 5 Federal Register version (80 FR 62145)
34-76112
Oct. 8, 2015
SR-NSCC-2015-005
Notice of Filing of Proposed Rule Change To Permit Trades in Eligible Fixed Income Securities Scheduled To Settle on Day After Trade Date To Be Processed for Settlement at National Securities Clearing Corporation Comments Due: Rel. No. 34-76458 , Exhibit 5 Federal Register version (80 FR 62121)
34-76106
Oct. 8, 2015
SR-CBOE-2015-081
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Complex Orders Comments Due: Federal Register version (80 FR 62125)
34-76107
Oct. 8, 2015
SR-CBOE-2015-084
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Delivery of the Regulatory Element of the Exchange's Continuing Education Program Comments Due: Exhibit 5 Federal Register version (80 FR 62139)
34-76115
Oct. 8, 2015
SR-BOX-2015-32
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 62132)
34-76091
Oct. 7, 2015
SR-EDGX-2015-43
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3.13 (Payments Involving Publications that Influence the Market Price of a Security) Comments Due: Federal Register version (80 FR 61879)
34-76092
Oct. 7, 2015
SR-BATS-2015-77
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3.13 (Payment Designed To Influence Market Prices, Other Than Paid Advertising) Comments Due: Federal Register version (80 FR 61855)
34-76095
Oct. 7, 2015
SR-BYX-2015-41
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3.13 (Payment Designed To Influence Market Prices, Other than Paid Advertising) Comments Due: Federal Register version (80 FR 61853)
34-76093
Oct. 7, 2015
SR-EDGA-2015-38
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3.13 (Payments Involving Publications That Influence the Market Price of a Security) Comments Due: Federal Register version (80 FR 61863)
34-76094
Oct. 7, 2015
SR-NYSEArca-2015-90
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.89 To Update a Cross-Reference to Exchange's Recently Revised Rule Regarding Obvious Errors Comments Due: Exhibit 5 Federal Register version (80 FR 61865)
34-76088
Oct. 7, 2015
SR-NYSE-2015-35
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Certain Exchange Disciplinary Rules To Facilitate the Reintegration of Certain Regulatory Functions From Financial Industry Regulatory Authority, Inc. Comments Due: View Received Comments Rel. No. 34-76436 , Rel. No. 34-75721 Federal Register version (80 FR 61857)
34-76099
Oct. 7, 2015
SR-NSCC-2015-004
Notice of Filing of Proposed Rule Change to Require Real-Time Trade Submission and to Prohibit Pre-Netting Practices through NSCC's Correspondent Clearing Service Comments Due: Exhibit 5 Federal Register version (80 FR 61860)
34-76098
Oct. 7, 2015
SR-MIAX-2015-58
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 61866)
34-76083
Oct. 6, 2015
SR-Phlx-2015-79
Notice of Filing of Proposed Rule Change Relating to Active Specialized Quote Feed Port Fee Comments Due: Rel. No. 34-76513 Federal Register version (80 FR 61537)
34-76084
Oct. 6, 2015
SR-NYSEARCA-2015-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Comments Due: Exhibit 5 Federal Register version (80 FR 61529)
34-76085
Oct. 6, 2015
SR-NYSEARCA-2015-86
Notice of Filing of Proposed Rule Change for 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. 34-76493 , Rel. No. 34-76493 Federal Register version (80 FR 61513)
34-76082
Oct. 6, 2015
SR-FINRA-2015-034
Notice of Filing of a Proposed Rule Change To Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc. Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-76670 , Rel. No. 34-76444 Federal Register version (80 FR 61545)
34-76086
Oct. 6, 2015
SR-BOX-2015-33
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7270 (Block Trades) Comments Due: Exhibit 5 Federal Register version (80 FR 61527)
34-76070
Oct. 5, 2015
SR-BATS-2015-82
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (80 FR 61253)
34-76071
Oct. 5, 2015
SR-NYSEMKT-2015-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Change the Monthly Fees for the Use of Certain Ports Comments Due: Exhibit 5 Federal Register version (80 FR 61260)
34-76072
Oct. 5, 2015
SR-NYSE-2015-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Change the Monthly Fees for the Use of Certain Ports Comments Due: Exhibit 5 Federal Register version (80 FR 61258)
34-76075
Oct. 5, 2015
SR-NSCC-2015-803
Notice of No Objection to Advance Notice Filing to Enhance NSCC's Margining Methodology as Applied to Family-Issued Securities of Certain NSCC Members Comments Due: Rel. No. 34-75899 Federal Register version (80 FR 61244)
34-76069
Oct. 2, 2015
SR-ICEEU-2015-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearance of New Natural Gas Futures Contracts Comments Due: Federal Register version (80 FR 60944)
34-76068
Oct. 2, 2015
SR-CBOE-2015-077
Notice of Filing of a Proposed Rule Change Relating To Margin Requirements Comments Due: Federal Register version (80 FR 60941)
34-76062
Oct. 1, 2015
SR-OCC-2015-803
Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal to Enter a New Credit Facility Agreement Comments Due: Federal Register version (80 FR 64028)
34-76064
Oct. 1, 2015
SR-NYSEMKT-2015-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Several Rules To Address Certain Order Handling Obligations on the Part of Its Floor Brokers Comments Due: Exhibit 5 Federal Register version (80 FR 60724)
34-76063A
Oct. 1, 2015
SR-NYSEARCA-2015-81
Notice of Filing of Proposed Rule Change Amending Several Rules To Address Certain Order Handling Obligations on the Part of Its Floor Brokers Comments Due: Exhibit 5 Federal Register version (80 FR 62592)
34-76054
Sept. 30, 2015
SR-BATS-2015-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Rule 2.13, Fidelity Bonds Comments Due: Exhibit 5 Federal Register version (80 FR 60419)
34-76053
Sept. 30, 2015
SR-BYX-2015-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Rule 2.13, Fidelity Bonds Comments Due: Federal Register version (80 FR 60424)
34-76059
Sept. 30, 2015
SR-FINRA-2015-033
Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 0150 to Apply FINRA Rule 2121 and its Supplementary Material .01 and .02 to Transactions in Exempted Securities That Are Government Securities Comments Due: Exhibit 2 Federal Register version (80 FR 60416)
34-76061
Sept. 30, 2015
SR-FINRA-2015-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities Comments Due: Exhibit 5 Federal Register version (80 FR 60421)
34-76056
Sept. 30, 2015
4-618
Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between BATS Exchange, Inc., BATS Y-Exchange, Inc., BOX Options Exchange LLC, Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Comments Due: View Received Comments Rel. No. 34-76311 Federal Register version (80 FR 60426)
34-76018
Sept. 29, 2015
SR-EDGX-2015-42
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.15, Clearly Erroneous Executions Comments Due: Federal Register version (80 FR 60216)
34-76015
Sept. 29, 2015
SR-BATS-2015-76
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Restructure and Amend Rule 11.17, Clearly Erroneous Executions Comments Due: Federal Register version (80 FR 60210)
34-76019
Sept. 29, 2015
SR-BATS-2015-56
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, 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. 34-76394 , Rel. No. 34-75664 Federal Register version (80 FR 60204)
34-76016
Sept. 29, 2015
SR-BYX-2015-40
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Restructure and Amend Rule 11.17, Clearly Erroneous Executions Comments Due: Federal Register version (80 FR 60193)
34-76017
Sept. 29, 2015
SR-EDGA-2015-37
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.15, Clearly Erroneous Executions Comments Due: Exhibit 5 Federal Register version (80 FR 60204)
34-76009
Sept. 29, 2015
SR-NYSEMKT-2015-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Definitions Applicable to Certain Co-location Services and Modifying the Fee for Users That Host Their Customers at the Exchange's Data Center Comments Due: Exhibit 5 Federal Register version (80 FR 60213)
34-76022
Sept. 29, 2015
SR-NYSEMKT-2015-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying Certain Proprietary Options Data Products Comments Due: Exhibit 5 Federal Register version (80 FR 60201)
34-76010
Sept. 29, 2015
SR-NYSEArca-2015-82
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Definitions Applicable to Co-Location Services to the NYSE Arca Options Fee Schedule and, the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and Modifying the Fee for Users That Host Their Customers at the Exchange's Data Center Comments Due: Exhibit 5 Federal Register version (80 FR 60197)
34-76023
Sept. 29, 2015
SR-NYSEARCA-2015-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying Certain Proprietary Options Data Products Comments Due: Exhibit 5 Federal Register version (80 FR 60208)
34-76008
Sept. 29, 2015
SR-NYSE-2015-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Definitions Applicable to Certain Co-Location Services to the Exchange's Price List and Modifying the Fee for Users That Host Their Customers at the Exchange's Data Center Comments Due: Exhibit 5 Federal Register version (80 FR 60190)
34-76024
Sept. 29, 2015
SR-CBOE-2015-080
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Bandwidth Comments Due: Exhibit 5 Federal Register version (80 FR 60195)
34-75995
Sept. 28, 2015
SR-NYSEMKT-2015-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Until March 31, 2016 Comments Due: Exhibit 5 Federal Register version (80 FR 59836)
34-75994
Sept. 28, 2015
SR-NYSEARCA-2015-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Until March 31, 2016 Comments Due: Exhibit 5 Federal Register version (80 FR 59834)
34-75993
Sept. 28, 2015
SR-NYSE-2015-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Until March 31, 2016 Comments Due: Exhibit 5 Federal Register version (80 FR 59844)
34-75984
Sept. 25, 2015
SR-NYSEMKT-2015-71
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding to the Rules of the Exchange the Third Amended and Restated Certificate of Incorporation of NYSE Market, Inc., and the Eighth Amended and Restated Operating Agreement of New York Stock Exchange LLC Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (80 FR 59213)
34-75987
Sept. 25, 2015
SR-NASDAQ-2015-112
Notice of Filing of Proposed Rule Change To Amend Rule 4758 Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-76718 , Rel. No. 34-76335 Federal Register version (80 FR 59210)
34-75986
Sept. 25, 2015
SR-MIAX-2015-55
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (80 FR 59204)
34-75988
Sept. 25, 2015
SR-FINRA-2015-032
Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Reduce the Waiting Period for the Release of Information Reported on Form U5 Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-76359 Federal Register version (80 FR 59215)
34-75978
Sept. 24, 2015
SR-NYSEArca-2015-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund Comments Due: Federal Register version (80 FR 58794)
34-75979
Sept. 24, 2015
SR-NYSEArca-2015-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Change to the Secondary Benchmark Index Applicable to Shares of the PIMCO Global Advantage Inflation-Linked Bond Active Exchange-Traded Fund Comments Due: Federal Register version (80 FR 58797)
34-75970
Sept. 23, 2015
SR-BATS-2015-57
Notice of Designation of a Longer Period for Commission Action on 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. 34-76393 , Rel. No. 34-75693 Federal Register version (80 FR 58527)
34-75959
Sept. 22, 2015
SR-ISE-Gemini-2015-16
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 58321)
34-75966
Sept. 22, 2015
SR-NYSE-2015-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .20 to Rule 103 To Permit Member Organizations That Operate as Designated Market Maker Units on the Exchange and Also Operate DMM Units on the NYSE MKT LLC To Make an Adjustment to Excess Net Capital Comments Due: Federal Register version (80 FR 58318)
34-75962
Sept. 22, 2015
SR-MIAX-2015-57
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 503 Comments Due: Exhibit 5 Federal Register version (80 FR 58323)
34-75952
Sept. 18, 2015
SR-NYSEMKT-2015-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent the Rules of the New Market Model Pilot, the Supplemental Liquidity Providers Pilot, and the Pilot Program Allowing "UTP Securities" To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Comments Due: Exhibit 5 Federal Register version (80 FR 57645)
34-75945
Sept. 18, 2015
SR-NYSEArca-2015-68
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Implementation of a Fee on Securities Lending and Repurchase Transactions With Respect to Shares of the CurrencyShares Euro Trust and the CurrencyShares Japanese Yen Trust Comments Due: View Received Comments Rel. No. 34-77352 , Rel. No. 34-75698 , Rel. No. 34-76472 , Rel. No. 34-77126 Federal Register version (80 FR 57645)
34-75934
Sept. 17, 2015
SR-MSRB-2015-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Effective Date of New Rule G-18, on Best Execution of Transactions in Municipal Securities, and Amendments to Rule G-48, on Transactions With Sophisticated Municipal Market Professionals, and Rule D-15, on the Definition of Sophisticated Municipal Market Professional Comments Due: View Received Comments Federal Register version (80 FR 57410)
34-75943
Sept. 17, 2015
SR-CBOE-2015-078
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 57412)
34-75930
Sept. 16, 2015
SR-NYSEArca-2015-73
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, 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. 34-76362 Federal Register version (80 FR 57251)
34-75931
Sept. 16, 2015
SR-NASDAQ-2015-109
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XV, Section 2 Entitled "NASDAQ Options Market-Fees and Rebates" Comments Due: Exhibit 5 Federal Register version (80 FR 57262)
34-75932
Sept. 16, 2015
SR-MSRB-2015-09
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-20, on Gifts, Gratuities and Non-Cash Compensation, and Rule G-8, on Books and Records To Be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors, and the Deletion of Prior Interpretive Guidance Comments Due: View Received Comments Exhibit 2 , Exhibit 5 , Rel. No. 34-76381 Federal Register version (80 FR 57240)
34-75923
Sept. 15, 2015
SR-CBOE-2015-075
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (80 FR 57026)
34-75915
Sept. 14, 2015
SR-BATS-2015-71
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (80 FR 56508)
34-75917
Sept. 14, 2015
4-631
Notice of Filing of the Ninth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Comments Due: View Received Comments Exhibit A , Rel. No. 34-76244 Federal Register version (80 FR 56515)
34-75910
Sept. 14, 2015
SR-NASDAQ-2015-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees at Chapter XV, Section 2 Entitled "NASDAQ Options Market-Fees and Rebates" Comments Due: View Received Comments Exhibit 5 Federal Register version (80 FR 56511)
34-75911
Sept. 14, 2015
SR-ISE-2015-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Federal Register version (80 FR 56530)
34-75912
Sept. 14, 2015
SR-ISE-2015-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Federal Register version (80 FR 56517)
34-75908
Sept. 14, 2015
SR-CBOE-2015-026
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Rules 6.74A and 6.74B Comments Due: View Received Comments Rel. No. 34-76351 , Rel. No. 34-74519 , Rel. No. 34-74862 , Rel. No. 34-75245 Federal Register version (80 FR 56525)
34-75913
Sept. 14, 2015
SR-CBOE-2015-076
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 56525)
34-75914
Sept. 14, 2015
SR-CBOE-2015-079
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List Two Additional Products During Extended Trading Hours Comments Due: Federal Register version (80 FR 56522)
34-75916
Sept. 14, 2015
SR-BOX-2015-31
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 Market Makers Comments Due: Exhibit 5 Federal Register version (80 FR 56503)
34-75902
Sept. 11, 2015
SR-BATS-2015-74
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees To Adopt a Tape B Volume Tier Comments Due: Exhibit 5 Federal Register version (80 FR 55882)
34-75900
Sept. 11, 2015
SR-NYSEArca-2015-76
Notice of Filing of 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 Amendment No. 1 , Rel. No. 34-76291 , Rel. No. 34-76630 , Rel. No. 34-77337 Federal Register version (80 FR 55674)
34-75901
Sept. 11, 2015
SR-NYSEArca-2015-77
Notice of Filing of Proposed Rule Change To List and Trade Shares of the Following Under NYSE Arca Equities Rule 8.600: First Trust Heitman Global Prime Real Estate ETF Comments Due: View Received Comments Amendment No. 1 , Rel. No. 34-76202 Federal Register version (80 FR 55892)
34-75899
Sept. 11, 2015
SR-NSCC-2015-803
Notice of Filing of Advance Notice to Enhance NSCC's Margining Methodology as Applied to Family-Issued Securities of Certain NSCC Members Comments Due: Exhibit 5 , Rel. No. 34-76075 Federal Register version (80 FR 55883)
34-75904
Sept. 11, 2015
SR-BX-2015-056
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 7018 Comments Due: Exhibit 5 Federal Register version (80 FR 55888)
34-75903
Sept. 11, 2015
SR-C2-2015-023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (80 FR 55887)
34-75889
Sept. 10, 2015
SR-Phlx-2015-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Pricing Schedule Under Section VIII With Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share Comments Due: Exhibit 5 Federal Register version (80 FR 55667)
34-75890
Sept. 10, 2015
SR-Phlx-2015-76
Notice of Filing of and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus Comments Due: Exhibit 5 Federal Register version (80 FR 55692)
34-75881
Sept. 10, 2015
SR-NYSEArca-2015-75
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 55665)
34-75888
Sept. 10, 2015
SR-NYSEArca-2015-74
Notice of Filing of Proposed Rule Regarding a Change to the Reference Index Relating to the Market Vectors Short High Yield Municipal Index ETF Comments Due: Rel. No. 34-76174 , Rel. No. 34-76645 Federal Register version (80 FR 55701)
34-75876
Sept. 10, 2015
SR-NASDAQ-2015-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rules 7014 and 7018, Pertaining to Credits, Rebates, and Fee Caps Comments Due: Exhibit 5 Federal Register version (80 FR 55661)
34-75882
Sept. 10, 2015
SR-NASDAQ-2015-110
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rules 7015(b) and (g) to Modify Port Fees Comments Due: Federal Register version (80 FR 55698)
34-75874
Sept. 10, 2015
SR-ISE-2015-25
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 55669)
34-75887
Sept. 10, 2015
SR-ICC-2015-009
Notice of Filing of Amendments No. 1 and 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Revise the ICC Risk Management Framework Comments Due: 34-75529 , Rel. No. 34-75119 Federal Register version (80 FR 55672)
34-75875
Sept. 10, 2015
SR-FINRA-2015-026
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-Up/Mark-Down Comments Due: Rel. No. 34-76176 , Rel. No. 34-75588 Federal Register version (80 FR 55671)
34-75866
Sept. 9, 2015
SR-Phlx-2015-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Phlx Pricing Schedule Comments Due: Exhibit 5 Federal Register version (80 FR 55397)
34-75865
Sept. 9, 2015
SR-FINRA-2015-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish an Administration and Delivery Fee for the Municipal Advisor Representative Examination ("Series 50 Examination") Comments Due: Federal Register version (80 FR 55407)
34-75856
Sept. 8, 2015
SR-MIAX-2015-53
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 55158)
34-75846
Sept. 4, 2015
SR-NYSEArca-2015-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 3 of NYSE Arca Equities Rule 8 To Extend the Effectiveness of the ETP Incentive Program for Additional One-Year Pilot Period, Ending September 4, 2016 Comments Due: Federal Register version (80 FR 54646)
34-75824
Sept. 3, 2015
SR-EDGX-2015-40
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.21(d), Relating to the Routing of Retail Orders Comments Due: Exhibit 5 Federal Register version (80 FR 54638)
34-75834
Sept. 3, 2015
SR-EDGX-2015-41
Notice of Filing of a Proposed Rule Change To Amend Rules 1.5(s), 11.1(a)(1), 11.6 and 11.8 Comments Due: Exhibit 5 , Rel. No. 34-76211 Federal Register version (80 FR 54617)
34-75832
Sept. 3, 2015
SR-BATS-2015-69
Notice of Filing of 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) Comments Due: Exhibit 5 , Rel. No. 34-76204 Federal Register version (80 FR 54614)
34-75831
Sept. 3, 2015
SR-BYX-2015-38
Notice of Filing of Proposed Rule Change To Amend Rules 1.5(r) and 11.1 and Adopt New Rule 11.1(a)(1) Comments Due: Exhibit 5 Federal Register version (80 FR 54631)
34-75835
Sept. 3, 2015
SR-EDGA-2015-36
Notice of Filing of a Proposed Rule Change To Amend Rules 1.5(s), 11.1(a)(1), 11.6 and 11.8 Comments Due: Exhibit 5 , Rel. No. 34-76210 Federal Register version (80 FR 54635)
34-75825
Sept. 3, 2015
SR-OCC-2015-014
Notice of Filing of a Proposed Rule Change To Amend The Options Clearing Corporation's Schedule of Fees To Allow a Clearing Fee Waiver for Exchange New Products Comments Due: Federal Register version (80 FR 54628)
