34-75358
July 2, 2015
SR-NYSEMKT-2015-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Discontinue Certain Fees
Comments Due: July 30, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 39458)
34-75357
July 2, 2015
SR-NYSEARCA-2015-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Discontinue Certain Fees
Comments Due: July 30, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 39473)
34-75353
July 2, 2015
SR-NYSE-2015-30
Notice of Filing of Proposed Rule Change To Amend Its Price List To Revise: (i) The Non-Tier Adding Credit; (ii) Certain Fees for Executions at the Close; (iii) Credits Applicable to Designated Market Makers; (iv) Credits Applicable to Supplemental Liquidity Providers; and (v) Pricing Related to the Retail Liquidity Program Under Rule 107C as it Relates to Designated Market Maker Transactions, and To Make Non-Substantive Changes to the Price List
Comments Due: July 30, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 39468)
34-75356
July 2, 2015
SR-FINRA-2015-020
Notice of Filing of a Proposed Rule Change To Expand FINRA's Alternative Trading System ("ATS") Transparency Initiative To Publish OTC Equity Volume Executed Outside ATSs
Comments Due: July 30, 2015
View Received Comments
See Also -
Rel. No. 34-76078 , Rel. No. 34-75697
Federal Register version (80 FR 39463)
34-75346
July 1, 2015
SR-CHX-2015-03
Notice of Filing of Proposed Rule Change To Implement CHX SNAPSM
Comments Due: July 29, 2015
View Received Comments
See Also -
Exhibit 5 , Rel. No. 34-76087
Federal Register version (80 FR 39172)
34-75350
July 1, 2015
SR-BOX-2015-24
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: July 29, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 39169)
34-75338
June 30, 2015
SR-BATS-2015-50
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program
Comments Due: July 28, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 38793)
34-75334
June 30, 2015
SR-MIAX-2015-42
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Comments Due: July 28, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 38789)
34-75335
June 30, 2015
SR-MIAX-2015-43
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Comments Due: July 28, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 38782)
34-75333
June 30, 2015
SR-FINRA-2015-019
Notice of Filing of a Proposed Rule Change To Amend FINRA Rule Series 9100, 9200, 9300, 9550, and 9800 Regarding Temporary and Permanent Cease and Desist Orders
Comments Due: July 28, 2015
View Received Comments
See Also -
Exhibit 5
Federal Register version (80 FR 38783)
34-75339
June 30, 2015
SR-FINRA-2015-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 7650A Relating to Debit Process for the Collection of FINRA/Nasdaq Trade Reporting Facility Fees
Comments Due: July 28, 2015
Federal Register version (80 FR 38791)
34-75324
June 29, 2015
SR-BATS-2015-47
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9 of BATS Exchange, Inc., To Modify its Price Adjust Functionality
Comments Due: July 23, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 38496)
34-75325
June 29, 2015
SR-BYX-2015-29
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9 of BATS Y-Exchange, Inc., To Modify its Price Adjust Functionality
Comments Due: July 27, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 38493)
34-75326
June 29, 2015
SR-BX-2015-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments Due: July 27, 2015
Federal Register version (80 FR 38481)
34-75320
June 29, 2015
SR-ICEEU-2015-009
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Finance Procedures To Add Clearstream Banking as a Triparty Collateral Service Provider
Comments Due: June 5, 2015
See Also -
Rel. No. 34-75692 , Rel. No. 34-74922
Federal Register version (80 FR 38488)
34-75329
June 29, 2015
SR-ICEEU-2015-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Delivery Procedures
Comments Due: July 27, 2015
Federal Register version (80 FR 38491)
34-75321
June 29, 2015
SR-CBOE-2015-059
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments Due: July 27, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 38489)
34-75313
June 26, 2015
SR-BATS-2015-46
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments Due: July 23, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 38247)
34-75315
June 26, 2015
SR-ISE-Gemini-2015-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program
Comments Due: July 23, 2015
Federal Register version (80 FR 38243)
34-75311
June 26, 2015
SR-NYSEArca-2015-50
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the Cambria Sovereign High Yield Bond ETF and the Cambria Value and Momentum ETF Under NYSE Arca Equities Rule 8.600
Comments Due: July 23, 2015
View Received Comments
See Also -
Rel. No. 34-75540
Federal Register version (80 FR 38253)
34-75316
June 26, 2015
SR-NASDAQ-2015-064
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Recent Changes to Rules 4751(h) and 4754(b)
Comments Due: July 23, 2015
Federal Register version (80 FR 38245)
34-75312
June 26, 2015
SR-ISE-2015-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program
Comments Due: July 23, 2015
Federal Register version (80 FR 42152)
34-75297
June 25, 2015
SR-EDGX-2015-18
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish Rules Governing the Trading of Options on the EDGX Options Exchange
Comments Due: September 8, 2015
See Also -
Rel. No. 34-74949
Federal Register version (80 FR 37672)
34-75301
June 25, 2015
SR-NYSEMKT-2015-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Members' Schedule as Defined in the Amended and Restated Limited Liability Company Agreement of NYSE Amex Options LLC Dated as of May 14, 2014 in Order to Reflect Changes to the Capital Structure of the Company
Comments Due: July 22, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 37695)
34-75296
June 25, 2015
SR-CBOE-2015-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.3.06
Comments Due: July 22, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 37692)
34-75302
June 25, 2015
SR-CBOE-2015-062
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Front-End Order Entry and Management Tools in Connection With Purchase of Livevol Assets
Comments Due: July 22, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 37685)
34-75295
June 25, 2015
SR-BOX-2015-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7260 To Extend, Through June 30, 2016, the Pilot Program That Permits Certain Classes To Be Quoted in Penny Increments
Comments Due: July 22, 2015
Federal Register version (80 FR 37690)
34-75286
June 24, 2015
SR-Phlx-2015-54
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments Due: July 21, 2015
Federal Register version (80 FR 37333)
34-75293
June 24, 2015
SR-Phlx-2015-29
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend and Restate Certain Rules That Govern the NASDAQ OMX PSX
Comments Due: July 21, 2015
View Received Comments
Federal Register version (80 FR 37327)
34-75290
June 24, 2015
SR-OCC-2014-810
Notice of No Objection to an Advance Notice Concerning Modifications to Backtesting Procedures in Order to Enhance Monitoring of Margin Coverage and Model Risk Exposure
Comments Due: January 2, 2015
See Also -
Rel. No. 34-73749
Federal Register version (80 FR 37323)
34-75281
June 24, 2015
SR-NYSEMKT-2015-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY in Order To Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2016
Comments Due: July 21, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 37338)
34-75280
June 24, 2015
SR-NYSEArca-2015-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to Exchange Rule 6.72 in Order To Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2016
Comments Due: July 21, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 37331)
34-75282
June 24, 2015
SR-NYSEArca-2015-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rules 7.25 and 8.800 in Order To Allow An Issuer to Elect for its Exchange Traded Product to Participate in the Crowd Participant Program or the ETP Incentive Program Monthly Rather than Quarterly and To Extend the Effectiveness of the Crowd Participant Program until June 23, 2016
Comments Due: July 21, 2015
Federal Register version (80 FR 37340)
34-75289
June 24, 2015
SR-NYSEArca-2015-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 1.1 Governing Definitions and Various Equity Trading Rules in Order To Eliminate Obsolete References
Comments Due: July 21, 2015
View Received Comments
See Also -
Exhibit 5
Federal Register version (80 FR 37343)
34-75288
June 24, 2015
SR-NYSE-2015-27
Notice of Filing of Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange To Establish a Regulatory Oversight Committee as a Committee of the Board of Directors of the Exchange and Make Certain Conforming Amendments to Exchange Rules
Comments Due: July 21, 2015
View Received Comments
See Also -
Exhibit 5 , Rel. No. 34-75991 , 34-75659
Federal Register version (80 FR 37316)
34-75291
June 24, 2015
SR-BX-2015-015
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend and Restate Certain Rules That Govern the NASDAQ OMX BX Equities Market
Comments Due: July 22, 2015
View Received Comments
See Also -
Rel. No. 34-74934 , Rel. No. 34-74617 , Rel. No. 34-74363 , Rel. No. 34-74334
Federal Register version (80 FR 37698)
34-75283
June 24, 2015
SR-NASDAQ-2015-063
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments Due: July 21, 2015
Federal Register version (80 FR 37347)
34-75284
June 24, 2015
SR-MIAX-2015-40
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510 To Extend the Penny Pilot Program
Comments Due: July 21, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 37349)
34-75287
June 24, 2015
SR-CBOE-2015-060
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amending Rule 6.42 To Extend Its Penny Pilot Until June 30, 2016
Comments Due: July 21, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 37337)
34-75278
June 24, 2015
SR-C2-2015-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending Rule 6.4 To Extend the Penny Pilot through June 30, 2016
Comments Due: July 21, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 37335)
34-75273
June 23, 2015
SR-NYSEARCA-2015-38
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Adopting New Equity Trading Rules Relating to Trading Sessions, Order Ranking and Display, and Order Execution To Reflect the Implementation of Pillar, the Exchange's New Trading Technology Platform
Comments Due: June 9, 2015
See Also -
Rel. No. 34-75494 , Rel. No. 34-74951
Federal Register version (80 FR 37033)
34-75254
June 22, 2015
SR-CHX-2015-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate the Change in Business Form Fee
Comments Due: July 17, 2015
Federal Register version (80 FR 36875)
34-75256
June 22, 2015
SR-Phlx-2015-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Price Protection
Comments Due: July 17, 2015
Federal Register version (80 FR 36873)
34-75255
June 22, 2015
SR-OCC-2015-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Administrative Changes to The Options Clearing Corporation's Financial Resources Monitoring and Call Procedure
Comments Due: July 17, 2015
Federal Register version (80 FR 36869)
34-75260
June 22, 2015
SR-OCC-2015-013
Notice of Filing of Proposed Rule Change To Codify Procedures for Resizing the Options Clearing Corporation's Clearing Fund on a Monthly Basis and Increasing Such Clearing Fund Size on an Intra-Month Basis
Comments Due: July 17, 2015
Federal Register version (80 FR 36867)
34-75259
June 22, 2015
SR-BX-2015-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to a Proposal To Amend Chapter VI, Section 18 of the Exchange's Options Rules
Comments Due: July 17, 2015
Federal Register version (80 FR 36870)
34-75252
June 22, 2015
SR-NASDAQ-2015-024
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend and Restate Certain Nasdaq Rules That Govern the Nasdaq Market Center
Comments Due: July 17, 2015
View Received Comments
See Also -
Rel. No. 34-74881 , Rel. No. 34-74558
Federal Register version (80 FR 36865)
34-75261
June 22, 2015
SR-NASDAQ-2015-062
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rules 7014 and 7018
Comments Due: July 17, 2015
Federal Register version (80 FR 36877)
34-75243
June 18, 2015
SR-BATS-2015-45
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments Due: July 15, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 36391)
34-75247
June 18, 2015
SR-NYSEArca-2015-42
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of Newfleet Multi-Sector Unconstrained Bond ETF under NYSE Arca Equities Rule 8.600
Comments Due: July 15, 2015
View Received Comments
See Also -
Rel. No. 34-75566
Federal Register version (80 FR 36372)
34-75248
June 18, 2015
SR-NYSE-2015-02
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change 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: May 27, 2015
See Also -
Rel. No. 34-76323 , Rel. No. 34-74849 , Rel. No. 34-75599 , Rel. No. 34-76814
Federal Register version (80 FR 36385)
34-75246
June 18, 2015
SR-FINRA-2015-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 4 Examination Program
Comments Due: July 15, 2015
Federal Register version (80 FR 36388)
34-75189
June 17, 2015
SR-Phlx-2015-49
Notice of Filing of Proposed Rule Change to Rule 1080.07
Comments Due: July 14, 2015
See Also -
Exhibit 5 , Rel. No. 34-76742 , Rel. No. 34-76648 , Rel. No. 34-75942 , Rel. No. 34-75570
Federal Register version (80 FR 35997)
34-75193
June 17, 2015
4-668
Notice of Filing of Amendment No. 2 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board 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, 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: July 23, 2015
View Received Comments
Federal Register version (80 FR 36006)
34-75188
June 17, 2015
SR-CBOE-2015-058
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Comments Due: July 14, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 36021)
34-75178
June 16, 2015
SR-NASDAQ-2015-059
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of the Shares of the Reaves Utilities ETF of ETFis Series Trust I
Comments Due: July 13, 2015
View Received Comments
See Also -
Rel. No. 34-75613
Federal Register version (80 FR 35682)
34-75179
June 16, 2015
SR-ICC-2015-012
Notice of Filing of Proposed Rule Change To Correct Inconsistent Provisions Regarding the Risk Management Subcommittee
Comments Due: July 13, 2015
Federal Register version (80 FR 35689)
34-75170
June 15, 2015
SR-ICEEU-2015-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Natural Gas Spot Contracts Policies
Comments Due: July 10, 2015
Federal Register version (80 FR 35418)
34-75173
June 15, 2015
SR-CBOE-2015-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Regulatory Related References
Comments Due: July 10, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 35406)
34-75166
June 12, 2015
SR-BATS-2015-43
BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 19.3(i)
Comments Due: July 9, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34946)
34-75167
June 12, 2015
SR-NYSEMKT-2015-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Sections 401, 402 and 404 of the NYSEMKT Company Guide To (i) Provide That Companies Can Comply With the Exchange's Immediate Release Policy by Disseminating the Information Required To Be Disseminated Pursuant to This Policy by Any Regulation Fair Disclosure Compliant Method or Combination of Methods, (ii) Clarify the Procedures Taken by the Exchange in the Event of Unusual Market Activity and (iii) Update References to Exchange Departments and Personnel and Make Other Non-Substantive Conforming Updates
Comments Due: July 9, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34949)
34-75149
June 11, 2015
SR-EDGX-2015-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc.
Comments Due: July 8, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34715)
34-75150
June 11, 2015
SR-EDGX-2015-27
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc.
Comments Due: July 8, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34772)
34-75158
June 11, 2015
SR-BATS-2015-44
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments Due: July 8, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34748)
34-75159
June 11, 2015
SR-BYX-2015-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments Due: July 8, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34745)
34-75146
June 11, 2015
SR-EDGA-2015-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc.
Comments Due: July 8, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34776)
34-75147
June 11, 2015
SR-EDGA-2015-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc.
Comments Due: July 8, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34753)
34-75151
June 11, 2015
SR-NYSEMKT-2015-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising the Schedule for Implementing the Exchange's Recently Approved Rule To Provide a Price Protection for Market Maker Quotes Pursuant to Rule 967.1NY
Comments Due: July 8, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34770)
34-75156
June 11, 2015
SR-NYSEArca-2015-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising the Schedule for Implementing the Exchange's Recently Approved Rule To Provide a Price Protection for Market Maker Quotes Pursuant to Rule 6.61
Comments Due: July 8, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34756)
34-75153
June 11, 2015
SR-NYSE-2015-26
Notice of Filing of Proposed Rule Change Making Permanent the Rules of the New Market Model Pilot and the Supplemental Liquidity Providers Pilot
Comments Due: July 8, 2015
See Also -
Exhibit 5 , Rel. No. 34-75578
Federal Register version (80 FR 34717)
34-75145
June 11, 2015
SR-BX-2015-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Under Exchange Rule 7018 With Respect to Transactions in Securities Priced at $1 or More per Share and the Exchange's Retail Price Improvement Program
Comments Due: July 8, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34758)
34-75154
June 11, 2015
SR-FINRA-2015-015
Notice of Filing of a Proposed Rule Change To Provide a Web-Based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements
Comments Due: July 8, 2015
View Received Comments
See Also -
Exhibit 5 , Rel. No. 34-75581
Federal Register version (80 FR 34777)
34-75160
June 11, 2015
SR-FINRA-2015-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions From the Order Audit Trail System Recording and Reporting Requirements
Comments Due: July 8, 2015
Federal Register version (80 FR 34727)
34-75142
June 10, 2015
SR-Phlx-2015-48
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: July 7, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34473)
34-75139
June 10, 2015
SR-NYSE-2015-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List To Revise Fees and Credits for Mid-Point Passive Liquidity Orders and Non Displayed Reserve Orders and To Revise Credits Applicable to Certain Transactions at the Open, Certain Designated Market Maker Transactions, and Certain Supplemental Liquidity Provider Transactions
Comments Due: July 7, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34475)
34-75141
June 10, 2015
SR-NASDAQ-2015-060
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 18 of the Exchange's Options Rules
Comments Due: July 7, 2015
Federal Register version (80 FR 34471)
34-75140
June 10, 2015
SR-MIAX-2015-37
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fee Schedule
Comments Due: July 7, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34480)
34-75143
June 10, 2015
SR-C2-2015-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Automated Improvement Mechanism Order Allocations
Comments Due: July 7, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34467)
34-75123
June 9, 2015
SR-NYSEArca-2015-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Modify the Credits for Mid-Point Passive Liquidity Orders
Comments Due: July 6, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34182)
34-75130
June 9, 2015
SR-ISE-2015-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees
Comments Due: July 6, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34185)
34-75131
June 9, 2015
SR-ISE-2015-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees
Comments Due: July 6, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34186)
34-75132
June 9, 2015
SR-BOX-2015-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BOX Rule 5020
Comments Due: July 6, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 34175)
34-75121
June 8, 2015
SR-NASDAQ-2015-036
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendments Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of 18 Eaton Vance NextShares ETMFs of Either the Eaton Vance ETMF Trust or the Eaton Vance ETMF Trust II
Comments Due: May 20, 2015
See Also -
Rel. No. 34-74797
Federal Register version (80 FR 34184)
34-75119
June 8, 2015
SR-ICC-2015-009
Notice of Filing of Proposed Rule Change
Comments Due: July 6, 2015
See Also -
34-75887 , 34-75529
Federal Register version (80 FR 33573)
34-75120
June 8, 2015
SR-CBOE-2015-050
Notice of Filing of Proposed Rule Change to Expire CBOE Volatility Index (VIX) Options Every Week
Comments Due: July 6, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 33574)
34-75112
June 5, 2015
SR-EDGA-2015-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 13.9 Describing a Communication and Routing Service Known as BATS Connect
Comments Due: July 2, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 33316)
34-75115
June 5, 2015
SR-NYSEArca-2015-02
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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: July 2, 2015 Rebuttal comments due: July 16, 2015
View Received Comments
See Also -
Exhibit 5 , Rel. No. 34-76186 , Rel. No. 34-74755 , Rel. No. 34-74433
Federal Register version (80 FR 33309)
34-75116
June 5, 2015
SR-MIAX-2015-38
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend the Amended and Restated Certificate of Incorporation and the Amended and Restated By-Laws of the Sole Limited Liability Company Member of MIAX, Miami International Holdings, Inc.
Comments Due: July 2, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 33305)
34-75107
June 4, 2015
SR-BATS-2015-40
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 13.8 Describing a Communication and Routing Service Known as BATS Connect
Comments Due: July 1, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 33001)
34-75108
June 4, 2015
SR-BYX-2015-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 13.8 Describing a Communication and Routing Service Known as BATS Connect
Comments Due: July 1, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 32995)
34-75104
June 4, 2015
SR-ISE-2014-24
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Opening Process
Comments Due: December 31, 2014
See Also -
Rel. No. 34-74465 , Rel. No. 34-74126 , Rel. No. 34-73736
Federal Register version (80 FR 33001)
34-75109
June 4, 2015
SR-CBOE-2015-053
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Intermarket Order Routing
Comments Due: July 1, 2015
Federal Register version (80 FR 33003)
34-75106
June 4, 2015
SR-C2-2015-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Solicitation Auction Mechanism
Comments Due: July 1, 2015
Federal Register version (80 FR 32997)
34-75098
June 3, 2015
SR-NSX-2015-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide an Expedited Process for Former Equity Trading Permit Holders To Apply for Reinstatement and Register Associated Persons
Comments Due: June 30, 2015
See Also -
Exhibit 5A , Exhibit 5B
Federal Register version (80 FR 32644)
34-75100
June 3, 2015
SR-NYSEArca-2015-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Representation Regarding the AdvisorShares WCM/BNY Mellon Focused Growth ADR ETF's Holdings of American Depositary Receipts
Comments Due: June 30, 2015
Federal Register version (80 FR 32641)
34-75102
June 3, 2015
SR-NYSEArca-2015-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Modify Certain of Its Posting Credits
Comments Due: June 30, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 32638)
34-75095
June 2, 2015
SR-NYSEMKT-2015-41
Notice of Filing of Proposed Rule Change Amending Rule 980NY(e), Electronic Complex Order Auction Process Removing the Limitation on Who Can Respond to a COA and Provide a Response Time Interval of at Least 500 Milliseconds; and Amend Rule 935NY, Order Exposure Requirements To Add Use of the COA for a User To Satisfy the Order Exposure Requirement in Rule 935NY and Delete the Reference in Rule 980NY(e) to the Order Exposure Requirements Being Separate From the Duration of the COA Response Time Interval
Comments Due: June 29, 2015
See Also -
Exhibit 5 , Rel. No. 34-75493
Federal Register version (80 FR 32427)
34-75093
June 2, 2015
SR-NYSEArca-2015-25
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the iShares iBonds Dec 2021 AMT-Free Muni Bond ETF and iShares iBonds Dec 2022 AMT-Free Muni Bond ETF Under NYSE Arca Equities Rule 5.2(j)(3)
Comments Due: May 12, 2015
View Received Comments
See Also -
Rel. No. 34-74730
Federal Register version (80 FR 32425)
34-75096
June 2, 2015
SR-NYSEArca-2015-43
Notice of Filing of Proposed Rule Change Amending Rule 6.91(c), Electronic Complex Order Auction Process Removing the Limitation on Who Can Respond to a COA and Provide a Response Time Interval of at Least 500 Milliseconds; and Rule 6.47A, Order Exposure Requirements-OX To Add Use of the COA for a User To Satisfy the Order Exposure Requirement in Rule 6.47A and Delete the Reference in Rule 6.91(c) to the Order Exposure Requirements-OX Being Separate From the Duration of the COA Response Time Interval
Comments Due: June 29, 2015
See Also -
Exhibit 5 , Rel. No. 34-75493
Federal Register version (80 FR 32420)
34-75094
June 2, 2015
SR-DTC-2015-007
Notice of Filing of Proposed Rule Change Regarding the Discontinuance of the Distribution of Fractional Shares in Respect of Corporate Actions for New Issues in DTC's System
Comments Due: June 29, 2015
Federal Register version (80 FR 32425)