Notice

Release Number SEC Issue Date File Number Details
34-75437 SR-BATS-2015-53 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments Due: August 7, 2015
See Also - Exhibit 5
Federal Register version (80 FR 42569)
34-75439 SR-BYX-2015-32 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments Due: August 7, 2015
See Also - Exhibit 5
Federal Register version (80 FR 42561)
34-75433 SR-EDGA-2015-27 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc.
Comments Due: August 7, 2015
See Also - Exhibit 5
Federal Register version (80 FR 42582)
34-75436 SR-Phlx-2015-55 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various References to Rule 1080.08
Comments Due: August 7, 2015
See Also - Exhibit 5
Federal Register version (80 FR 42566)
34-75438 SR-Phlx-2015-57 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Section II of the Pricing Schedule
Comments Due: August 7, 2015
See Also - Exhibit 5
Federal Register version (80 FR 42590)
34-75441 SR-NYSEMKT-2015-47 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Allowing the Listing of Options Overlying Portfolio Depositary Receipts and Index Fund Shares That Are Listed Pursuant to Generic Listing Standards on Equities Exchanges for Series of ETFs Based on International or Global Indexes Under Which a Comprehensive Surveillance Sharing Agreement Is Not Required
Comments Due: August 7, 2015
See Also - Exhibit 5
Federal Register version (80 FR 42579)
34-75443 SR-NYSEMKT-2015-22 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend NYSEMKT Rule 13-Equities and Related Rules Governing Order Types and Modifiers
Comments Due: August 7, 2015
View Received Comments
See Also - Rel. No. 34-75049, Rel. No. 34-74682
Federal Register version (80 FR 42593)
34-75434 SR-NYSEArca-2015-57 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a Pricing Tier Applicable to Orders of ETP Holders for Tape A, Tape B and Tape C Securities That Are Eligible To Be Routed Away From the Exchange
Comments Due: August 7, 2015
See Also - Exhibit 5
Federal Register version (80 FR 42584)
34-75440 SR-NYSEArca-2015-60 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Allowing the Listing of Options Overlying Portfolio Depositary Receipts and Index Fund Shares That are Listed Pursuant to Generic Listing Standards on Equities Exchanges for Series of ETFs Based on International or Global Indexes Under Which a Comprehensive Surveillance Sharing Agreement Is Not Required
Comments Due: August 7, 2015
See Also - Exhibit 5
Federal Register version (80 FR 42587)
34-75444 SR-NYSE-2015-15 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend NYSE Rule 13 and Related Rules Governing Order Types and Modifiers
Comments Due: August 7, 2015
View Received Comments
Federal Register version (80 FR 42575)
34-75442 SR-CBOE-2015-066 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule
Comments Due: August 7, 2015
See Also - Exhibit 5
Federal Register version (80 FR 42567)
34-75513 SR-C2-2015-018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules Related to Obvious Errors
Comments Due: August 18, 2015
Federal Register version (80 FR 45006)
34-75422 SR-BATS-2015-52 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments Due: August 6, 2015
See Also - Exhibit 5
Federal Register version (80 FR 42141)
34-75424 SR-Phlx-2015-56 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Midpoint Peg Post-Only Order Under Rule 3301A(b)
Comments Due: August 6, 2015
See Also - Exhibit 5
Federal Register version (80 FR 42156)
34-75423 SR-NASDAQ-2015-070 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relating to Non-Penny Pilot Options Fees
Comments Due: August 6, 2015
See Also - Exhibit 5
Federal Register version (80 FR 42137)
34-75426 SR-ICEEU-2015-010 Notice of Filing of Proposed Rule Change Relating to Credit Default Swap Risk Policies
Comments Due: August 6, 2015
See Also - Rel. No. 34-76136
Federal Register version (80 FR 42146)
34-75428 SR-FINRA-2015-025 Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6730 (Transaction Reporting) To Require Members To Report Transactions in TRACE-Eligible Securities as Soon as Practicable
Comments Due: August 6, 2015
View Received Comments
See Also - Exhibit 5, Rel. No. 34-75782
Federal Register version (80 FR 42149)
34-75425 SR-CBOE-2015-044 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule, as Modified by Amendment No. 1, To Introduce Asian Style Settlement and Cliquet Style Settlement for FLexible Exchange Broad-Based Index Options
Comments Due: August 6, 2015
Federal Register version (80 FR 42152)
34-75406 SR-BATS-2015-48 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Market Data Section of Its Fee Schedule
Comments Due: August 5, 2015
See Also - Exhibit 5
Federal Register version (80 FR 41522)
34-75407 SR-BYX-2015-30 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Market Data Section of Its Fee Schedule
Comments Due: August 5, 2015
See Also - Exhibit 5
Federal Register version (80 FR 41532)
34-75414 SR-Phlx-2015-60 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to SPY Position Limits
Comments Due: August 5, 2015
See Also - Exhibit 3, Exhibit 5
Federal Register version (80 FR 41538)
34-75416 SR-NYSEMKT-2015-49 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Rule 904 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF
Comments Due: August 5, 2015
See Also - Exhibit 3, Exhibit 5
Federal Register version (80 FR 41521)
34-75415 SR-NYSEArca-2015-61 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Rule 6.8 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF
Comments Due: August 5, 2015
See Also - Exhibit 3, Exhibit 5
Federal Register version (80 FR 41541)
34-75409 SR-BX-2015-038 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 7018
Comments Due: August 5, 2015
See Also - Exhibit 5
Federal Register version (80 FR 41528)
34-75412 SR-BX-2015-039 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to SPY Position Limits
Comments Due: August 5, 2015
See Also - Exhibit 3, Exhibit 5
Federal Register version (80 FR 41517)
34-75413 SR-NASDAQ-2015-072 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to SPY Position Limits
Comments Due: August 5, 2015
See Also - Exhibit 3, Exhibit 5
Federal Register version (80 FR 41519)
34-75408 SR-MIAX-2015-45 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Comments Due: August 5, 2015
See Also - Exhibit 5
Federal Register version (80 FR 41530)
34-75411 SR-ISE-2015-22 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the SPY Pilot Program
Comments Due: August 5, 2015
See Also - Exhibit 3, Exhibit 5
Federal Register version (80 FR 41543)
34-75410 SR-BOX-2015-25 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-3120-2 To Rule 3120 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF
Comments Due: August 5, 2015
See Also - Exhibit 3, Exhibit 5
Federal Register version (80 FR 41540)
34-75393 SR-EDGX-2015-29 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc.
Comments Due: August 4, 2015
See Also - Exhibit 5
Federal Register version (80 FR 41131)
34-75397 SR-EDGX-2015-28 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Market Data Section of Its Fee Schedule
Comments Due: August 4, 2015
See Also - Exhibit 5
Federal Register version (80 FR 41104)
34-75390 SR-EDGA-2015-26 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc.
Comments Due: August 4, 2015
See Also - Exhibit 5
Federal Register version (80 FR 41109)
34-75395 SR-EDGA-2015-25 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Market Data Section of Its Fee Schedule
Comments Due: August 4, 2015
See Also - Exhibit 5
Federal Register version (80 FR 41126)
34-75398 SR-NYSEMKT-2015-46 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 995NY by Deleting the Prohibition on ATP Holders From Entering Customer Limit Orders To Buy and Sell the Same Option Series, for the Account or Accounts of the Same or Related Beneficial Owner
Comments Due: August 4, 2015
See Also - Exhibit 5
Federal Register version (80 FR 41123)
34-75392 SR-BX-2015-036 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. Relating to the Volume-Based and Multi-Trigger Threshold
Comments Due: August 4, 2015
See Also - Exhibit 5
Federal Register version (80 FR 41114)
34-75389 SR-NASDAQ-2015-071 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Designated Liquidity Provider Program Under Rule 7018(i)
Comments Due: August 4, 2015
See Also - Exhibit 5
Federal Register version (80 FR 41133)
34-75391 SR-NASDAQ-2015-061 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Volume-Based and Multi-Trigger Thresholds
Comments Due: August 4, 2015
See Also - Exhibit 5
Federal Register version (80 FR 41100)
34-75396 SR-ICC-2015-006 Notice of Withdrawal of Proposed Rule Change to Provide for the Clearance of an Additional Standard Emerging Market Sovereign Single Name
Comments Due: May 6, 2015
See Also - Rel. No. 34-74688
Federal Register version (80 FR 41112)
34-75394 SR-FINRA-2015-017 Notice of Filing of a Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories
Comments Due: August 4, 2015
View Received Comments
See Also - Exhibit 5, Rel. No. 34-75783
Federal Register version (80 FR 41119)
34-75372 SR-Phlx-2015-52 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Volume-Based and Multi-Trigger Threshold
Comments Due: August 3, 2015
See Also - Exhibit 5
Federal Register version (80 FR 40107)
34-75375 SR-NASDAQ-2015-066 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of Designated Retail Order in Nasdaq Rule 7018
Comments Due: August 3, 2015
See Also - Exhibit 5
Federal Register version (80 FR 40098)
34-75377 SR-FINRA-2015-022 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public)
Comments Due: August 3, 2015
View Received Comments
See Also - Exhibit 5
Federal Register version (80 FR 40092)
34-75380 SR-DTC-2015-003 Notice of Withdrawal of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks
Comments Due: May 26, 2015
View Received Comments
See Also - Rel. No. 34-74830
Federal Register version (80 FR 40116)
34-75373 SR-CBOE-2015-063 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 6.49A
Comments Due: August 3, 2015
Federal Register version (80 FR 40090)
34-75378 SR-CBOE-2015-067 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay Implementation of Tied to Stock Marking Requirement for Certain Orders
Comments Due: August 3, 2015
Federal Register version (80 FR 40116)
34-75381 SR-CBOE-2015-065 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a Pilot Program that Eliminates Position and Exercise Limits for Physically-Settled SPDR S&P 500 ETF Trust ("SPY") Options
Comments Due: August 3, 2015
See Also - Exhibit 3, Exhibit 5
Federal Register version (80 FR 40111)
34-75374 SR-BOX-2015-22 Notice of Filing of Proposed Rule Change to Implement the Governance Provisions of an Equity Rights Program
Comments Due: August 3, 2015
See Also - Exhibit 5, Rel. No. 34-75766
Federal Register version (80 FR 40100)
34-75360 SR-BATS-2015-51 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1(d)(9), (h) and (i) To Modify the Operation of BATS Post Only Orders on the Exchange's Options Platform
Comments Due: July 31, 2015
See Also - Exhibit 5
Federal Register version (80 FR 39816)
34-75363 SR-CTA-2015-02 Notice of Filing of the Twenty Third Substantive Amendment to the Second Restatement of the CTA Plan
Comments Due: July 31, 2015
See Also - Rel. No. 34-75660
Federal Register version (80 FR 39821)
34-75366 SR-NASDAQ-2015-067 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Assessed Under Rules 7015(b) and (g)
Comments Due: July 31, 2015
Federal Register version (80 FR 39827)
34-75361 SR-MIAX-2015-44 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Exchange Rule 612 Regarding Enhanced Aggregate Risk Manager Protections for Exchange Market Makers
Comments Due: July 31, 2015
See Also - Exhibit 5
Federal Register version (80 FR 39824)
34-75364 SR-FINRA-2015-024 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7650A Relating to Submission of Billing Disputes by FINRA/Nasdaq Trade Reporting Facility Participants
Comments Due: July 31, 2015
Federal Register version (80 FR 39818)
34-75365 SR-FINRA-2015-023 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 4553 and Fees for Access to Alternative Trading System Volume Information Published on FINRA's Web Site
Comments Due: July 31, 2015
View Received Comments
Federal Register version (80 FR 39811)
34-75359 SR-CBOE-2015-045 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Rule 6.53C and Complex Orders on the Hybrid System
Comments Due: June 17, 2015
View Received Comments
See Also - Rel. No. 34-76254, Rel. No. 34-75736, Rel. No. 34-75003
Federal Register version (80 FR 39821)
34-75367 SR-C2-2015-017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Correct an Inaccurate Rule Reference
Comments Due: July 31, 2015
Federal Register version (80 FR 39815)
34-75355 SR-NSX-2015-03 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4.3, Record of Written Complaints
Comments Due: July 30, 2015
See Also - Exhibit 5
Federal Register version (80 FR 39460)
34-75358 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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)