Notice

Release Number SEC Issue Date File Number Details
34-74927 SR-FINRA-2015-010 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments Due: June 8, 2015
See Also - Exhibit 5
Federal Register version (80 FR 28327)
34-74926 SR-DTC-2015-005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical Revisions to the DTC Custody Service Guide and the DTC Deposits Service Guide
Comments Due: June 8, 2015
See Also - Exhibit 5
Federal Register version (80 FR 28325)
34-74937 SR-CBOE-2015-046 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to The Customized Option Pricing Service
Comments Due: June 8, 2015
Federal Register version (80 FR 28319)
34-74922 SR-ICEEU-2015-009 Notice of Filing of 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. 34-75320
Federal Register version (80 FR 28035)
34-74923 SR-CBOE-2015-030 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Floor Broker Errors and the Use of Floor Broker Error Accounts
Comments Due: June 5, 2015
View Received Comments
Federal Register version (80 FR 28021)
34-74919 SR-Phlx-2015-43 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1092
Comments Due: June 4, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27766)
34-74920 SR-NYSEMKT-2015-39 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY-Obvious Errors and Catastrophic Errors in Order To Harmonize Substantial Portions of the Rule With Recently Adopted, and Proposed Rules of Other Options Exchanges
Comments Due: June 4, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27816)
34-74921 SR-NYSEArca-2015-41 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.87-Obvious Errors and Catastrophic Errors in Order To Harmonize Substantial Portions of the Rule With Recently Adopted, and Proposed Rules of Other Options Exchanges
Comments Due: June 4, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27747)
34-74910 S7-24-89 Notice of Filing of Amendment No. 35 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.
Comments Due: June 4, 2015
View Received Comments
Federal Register version (80 FR 27713)
34-74909 SR-CTA/CQ-2015-01 Notice of Filing of the Twenty Second Substantive Amendment to the Second Restatement of the CTA Plan and Sixteenth Substantive Amendment to the Restated CQ Plan
Comments Due: June 4, 2015
View Received Comments
Federal Register version (80 FR 27764)
34-74916 SR-BX-2015-028 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter V, Section 6
Comments Due: June 4, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27733)
34-74915 SR-NASDAQ-2015-054 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter V, Section 6
Comments Due: June 4, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27801)
34-74918 SR-MIAX-2015-35 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Nullification and Adjustment of Options Transactions Including Obvious Errors
Comments Due: June 4, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27781)
34-74908 SR-FICC-2015-001 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Rules of the Government Securities Division and the Mortgage-Backed Securities Division Regarding the Default of Fixed Income Clearing Corporation
Comments Due: June 4, 2015
Federal Register version (80 FR 27833)
34-74914 SR-CBOE-2015-044 Notice of Proposed Rule To Introduce Asian Style Settlement and Cliquet Style Settlement for FLexible Exchange Broad-Based Index Options
Comments Due: June 3, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27408)
34-74911 SR-BOX-2015-18 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Replace BOX Rule 7170 (Obvious and Catastrophic Errors) With New Rule 7170 (Nullification and Adjustment of Options Transactions Including Obvious Errors)
Comments Due: June 4, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27717)
34-74897 SR-ISEGemini-2015-11 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Nullification and Adjustment of Options Transactions Including Obvious Errors
Comments Due: June 3, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27415)
34-74901 SR-NYSEARCA-2015-36 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca BBO and NYSE Arca Trades To Add a Late Fee in Connection With Failure To Submit the Non-Display Use Declaration
Comments Due: June 3, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27371)
34-74902 SR-NYSEARCA-2015-40 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE ArcaBook To Add a Late Fee in Connection With Failure To Submit the Non-Display Use Declaration
Comments Due: June 3, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27390)
34-74895 SR-NASDAQ-2015-050 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Billing Policies
Comments Due: June 3, 2015
Federal Register version (80 FR 27352)
34-74896 SR-ISE-2015-18 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Nullification and Adjustment of Options Transactions Including Obvious Errors
Comments Due: June 3, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27373)
34-74906 SR-DTC-2015-801 Notice of Filing and No Objection to Advance Notices Relating to the Renewal of Existing Line of Credit
File Nos.: SR-NSCC-2015-801, SR-DTC-2015-801 Comments Due: June 4, 2015
Federal Register version (80 FR 27714)
34-74898 SR-CBOE-2015-039 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Nullification and Adjustment of Options Transactions Including Obvious Errors
Comments Due: June 3, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27354)
34-74900 SR-C2-2015-012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Nullification and Adjustment of Options Transactions Including Obvious Errors
Comments Due: June 3, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27392)
34-74882 SR-NYSEMKT-2015-36 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT BBO and NYSE MKT Trades To Add a Late Fee In Connection With Failure To Submit the Non-Display Use Declaration
Comments Due: June 2, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27210)
34-74884 SR-NYSEMKT-2015-35 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT Order Imbalances to Add a Late Fee In Connection With Failure To Submit the Non-Display Use Declaration
Comments Due: June 2, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27212)
34-74885 SR-NYSEMKT-2015-34 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT OpenBook To Add a Late Fee In Connection With Failure To Submit the Non-Display Use Declaration
Comments Due: June 2, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27205)
34-74889 SR-NYSE-2015-23 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Rules 16 and 17T Related to the Terminated Intermarket Trading System, NMS Linkage Plans, and Amending Rules 45, 47, 52, 54, 93, 94, 95, 104A.50 and 123 To Remove Outdated References to the ITS Plan
Comments Due: June 2, 2015
Federal Register version (80 FR 27217)
34-74880 SR-NASDAQ-2015-045 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Low Beta Income ETF, a Series of First Trust Exchange-Traded Fund VI
Comments Due: June 2, 2015
Federal Register version (80 FR 27207)
34-74881 SR-NASDAQ-2015-024 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend and Restate Certain Nasdaq Rules That Govern the Nasdaq Market Center
Comments Due: April 16, 2015
View Received Comments
See Also - Rel. No. 34-74558
Federal Register version (80 FR 27216)
34-74890 SR-FINRA-2015-009 Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2272 To Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or Their Dependents
Comments Due: June 2, 2015
View Received Comments
See Also - Exhibit 5
Federal Register version (80 FR 27220)
34-74888 SR-C2-2015-011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Effectiveness of a Permit Holder
Comments Due: June 2, 2015
See Also - Exhibit 5
Federal Register version (80 FR 27214)
34-74874 SR-Phlx-2015-37 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules To Describe How All-or-None Orders Are Handled by Its New Options Floor Broker Management System
Comments Due: June 1, 2015
Federal Register version (80 FR 26960)
34-74875 SR-NYSEMKT-2015-37 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees NYSE Amex Options Market Data To Add a Late Fee in Connection With Failure To Submit the Non-Display Use Declaration
Comments Due: June 1, 2015
See Also - Exhibit 5
Federal Register version (80 FR 26972)
34-74877 SR-NYSEARCA-2015-37 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca Options Market Data To Add a Late Fee in Connection With Failure To Submit the Non-Display Use Declaration
Comments Due: June 1, 2015
See Also - Exhibit 5
Federal Register version (80 FR 26964)
34-74870 SR-NYSE-2015-20 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE OpenBook To Add a Late Fee in Connection With Failure To Submit the Non-Display Use Declaration
Comments Due: June 1, 2015
See Also - Exhibit 5
Federal Register version (80 FR 26962)
34-74872 SR-NYSE-2015-21 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Order Imbalances To Add a Late Fee in Connection With Failure To Submit the Non-Display Use Declaration
Comments Due: June 1, 2015
See Also - Exhibit 5
Federal Register version (80 FR 26975)
34-74873 SR-NASDAQ-2015-044 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust High Income ETF, a Series of First Trust Exchange-Traded Fund VI
Comments Due: June 1, 2015
Federal Register version (80 FR 26970)
34-74876 SR-BOX-2015-06 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change To Establish a Pilot Program, as Modified by Amendment No. 1, To List and Trade Options Settling to the RealVolTM
Comments Due: June 1, 2015
View Received Comments
See Also - Rel. No. 34-74178, Rel. No. 34-74526
Federal Register version (80 FR 26966)
34-74865 SR-NYSEARCA-2015-34 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca Integrated Feed To Add a Late Fee In Connection With Failure To Submit the Non-Display Use Declaration
Comments Due: May 29, 2015
See Also - Exhibit 5
Federal Register version (80 FR 26593)
34-74861 SR-NYSE-2015-22 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades To Add a Late Fee In Connection With Failure To Submit the Non-Display Use Declaration
Comments Due: May 29, 2015
See Also - Exhibit 5
Federal Register version (80 FR 26599)
34-74860 SR-MSRB-2015-03 Notice of Filing of a Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records To Be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors
Comments Due: May 29, 2015
View Received Comments
See Also - Exhibit 5, Rel. No. 34-76753, Rel. No. 34-76420, Rel. No. 34-75737, Rel. No. 34-75628
Federal Register version (80 FR 26751)
34-74862 SR-CBOE-2015-026 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Rules 6.74A and 6.74B
Comments Due: April 13, 2015
View Received Comments
See Also - Rel. No. 34-76351, Rel. No. 34-75908, Rel. No. 34-75245, Rel. No. 34-74519
Federal Register version (80 FR 26599)
34-74864 SR-CBOE-2015-043 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Automated Improvement Mechanism Order Allocation
Comments Due: May 29, 2015
See Also - Exhibit 5
Federal Register version (80 FR 26601)
34-74858 SR-MSRB-2015-04 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of the Specifications for the Selection of Examination Questions and Content Outline for the Municipal Advisor Representative Qualification Examination
Comments Due: May 28, 2015
View Received Comments
See Also - for this proposal. Exhibit 3a, Exhibit 3b
Federal Register version (80 FR 26310)
34-74856 SR-MIAX-2015-31 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Comments Due: May 28, 2015
See Also - Exhibit 5
Federal Register version (80 FR 26304)
34-74857 SR-MIAX-2015-32 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Comments Due: May 28, 2015
See Also - Exhibit 5
Federal Register version (80 FR 26306)
34-74849 SR-NYSE-2015-02 Notice of Filing of 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 - Exhibit 5, Rel. No. 34-76323, Rel. No. 34-75248, Rel. No. 34-75599, Rel. No. 34-76814
Federal Register version (80 FR 26118)
34-74854 SR-CBOE-2015-041 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Comments Due: May 27, 2015
See Also - Exhibit 5
Federal Register version (80 FR 26124)
34-74833 SR-Phlx-2015-36 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Phlx Permit Fee, Order Entry Port Fee, Clearing Trade Interface Port Fee, and Active Specialized Quote Feed Port Fee
Comments Due: May 26, 2015
See Also - Exhibit 5
Federal Register version (80 FR 25749)
34-74838 SR-NYSEMKT-2015-33 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15-Equities To Reflect That Exchange Systems Will Not Publish Order Imbalance Information on the Initial Public Offering of a Security
Comments Due: May 26, 2015
Federal Register version (80 FR 25743)
34-74840 SR-NYSEMKT-2015-31 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying Its Rules To Provide for the Use of Ports That Provide Connectivity to the Exchange's Trading Systems Solely for the Cancellation or "Takedown" of Quotes and Changes to the NYSE Amex Options Fee Schedule Related to This Quote Takedown Service
Comments Due: May 26, 2015
See Also - Exhibit 5
Federal Register version (80 FR 25755)
34-74839 SR-NYSEArca-2015-23 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of ALPS Enhanced Put Write Strategy ETF under NYSE Arca Equities Rule 8.600
Comments Due: May 26, 2015
View Received Comments
Federal Register version (80 FR 25729)
34-74841 SR-NYSEARCA-2015-32 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying Its Rules To Provide for the Use of Ports That Provide Connectivity to the Exchange's Trading Systems Solely for the Cancellation or "Takedown" of Quotes and Changes to the NYSE Arca Options Fee Schedule Related to Quote Takedown Service
Comments Due: May 26, 2015
See Also - Exhibit 5
Federal Register version (80 FR 25758)
34-74842 SR-NYSEArca-2014-89 Notice of Filing of Amendments Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, To List and Trade Shares of Eight PIMCO Exchange-Traded Funds
Comments Due: May 26, 2015
Federal Register version (80 FR 25723)
34-74837 SR-NYSE-2015-19 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 To Reflect That Exchange Systems Will Not Publish Order Imbalance Information on the Initial Public Offering of a Security
Comments Due: May 26, 2015
Federal Register version (80 FR 25741)
34-74829 SR-NASDAQ-2015-042 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rule 7015(b) and (g) to Modify Port Fees
Comments Due: May 26, 2015
Federal Register version (80 FR 25745)
34-74832 SR-ISE-2015-16 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 502
Comments Due: May 26, 2015
See Also - Exhibit 5
Federal Register version (80 FR 25738)
34-74830 SR-DTC-2015-003 Notice of Filing 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 - Exhibit 5, Rel. No. 34-75380
Federal Register version (80 FR 25727)
34-74831 SR-DTC-2015-004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a DTC Custody Service Fee Change
Comments Due: May 26, 2015
See Also - Exhibit 5
Federal Register version (80 FR 25761)
34-74825 SR-NYSEMKT-2015-27 Notice of Filing of Proposed Rule Change To Amend the Sixth Amended and Restated Operating Agreement of the Exchange
Comments Due: 21 days after publication in the Federal Register
See Also - Exhibit 5, Rel. No. 34-75148
Federal Register version (80 FR 25341)
34-74824 SR-NYSEARCA-2015-29 Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rules 3.1 and 3.3 and Section 4.01(a) of the Exchange's Bylaws to Establish a Regulatory Oversight Committee as a Committee of the Board of Directors of the Exchange
Comments Due: May 26, 2015
See Also - Exhibit 5
Federal Register version (80 FR 25347)
34-74822 SR-BX-2015-023 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. Relating to Fees, Dues and Other Charges
Comments Due: May 26, 2015
See Also - Exhibit 5
Federal Register version (80 FR 25344)
34-74821 SR-NASDAQ-2015-039 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees, Dues and Other Charges
Comments Due: May 26, 2015
See Also - Exhibit 5
Federal Register version (80 FR 25350)
34-74823 SR-NASDAQ-2015-046 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Exchange Fees
Comments Due: May 26, 2015
Federal Register version (80 FR 25353)
34-74814 SR-NYSEArca-2014-107 Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Reflect Changes to the Means of Achieving the Investment Objective Applicable to the Guggenheim Enhanced Short Duration ETF
Comments Due: May 22, 2015
View Received Comments
See Also - Rel. No. 34-73810, Rel. No. 34-73512
Federal Register version (80 FR 24986)
34-74809 SR-MIAX-2015-19 Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 515
Comments Due: May 21, 2015
See Also - Exhibit 5, Rel. No. 34-75152
Federal Register version (80 FR 24297)
34-74804 SR-ISE-2015-15 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees
Comments Due: May 21, 2015
Federal Register version (80 FR 24300)
34-74807 SR-FINRA-2015-008 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
Comments Due: May 21, 2015
View Received Comments
Federal Register version (80 FR 24302)
34-74801 SR-Phlx-2015-35 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Outdated Rule Language Contained in Rule 1019 and Options Floor Procedures Advices
Comments Due: May 20, 2015
See Also - Exhibit 5
Federal Register version (80 FR 23841)
34-74795 SR-NASDAQ-2015-038 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Postpone Implementation of Changes to Rules 4751(h) and 4754(b) Relating to the Closing Process
Comments Due: May 20, 2015
Federal Register version (80 FR 23839)
34-74797 SR-NASDAQ-2015-036 Notice of Filing of 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. 34-75121
Federal Register version (80 FR 23831)
34-74791 SR-CBOE-2015-040 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Submission of Financial Reports
Comments Due: May 20, 2015
Federal Register version (80 FR 23844)
34-74783 SR-BX-2015-021 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. Relating to NASDAQ OMX BX Equities Market Participant Registration and Sponsored Access
Comments Due: May 19, 2015
See Also - Exhibit 5
Federal Register version (80 FR 23615)
34-74784 SR-NASDAQ-2015-034 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Market Center Participant Registration and Sponsored Access
Comments Due: May 19, 2015
See Also - Exhibit 5
Federal Register version (80 FR 23625)
34-74786 SR-CBOE-2015-022 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Related to Equipment and Communication on the Exchange's Trading Floor
Comments Due: March 31, 2015
See Also - Rel. No. 34-75073, Rel. No. 34-74438
Federal Register version (80 FR 23618)
34-74771 SR-ISE-Gemini-2015-10 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Information Barrier Rules
Comments Due: May 18, 2015
See Also - Exhibit 5
Federal Register version (80 FR 23308)
34-74774 SR-NYSEArca-2015-31 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange on March 31, 2015
Comments Due: May 18, 2015
Federal Register version (80 FR 23310)
34-74773 SR-BX-2015-022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 7001, 7003 and 7018
Comments Due: May 15, 2015
See Also - Exhibit 5
Federal Register version (80 FR 23312)
34-74767 SR-BATS-2015-33 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments Due: May 15, 2015
See Also - Exhibit 5
Federal Register version (80 FR 23060)
34-74766 SR-NYSE-2015-16 Notice of Filing of Proposed Rule Change to Amend the Seventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC.
Comments Due: May 15, 2015
See Also - Exhibit 5, Rel. No. 34-75105
Federal Register version (80 FR 23057)
34-74762 SR-EDGX-2015-08 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 11.6, 11.8, 11.9, 11.10 and 11.11 of EDGX Exchange, Inc.
See Also - Rel. No. 34-75457, Rel. No. 34-74439
Federal Register version (80 FR 22753)
34-74761 SR-CME-2015-013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Liquidity Risk Management
Comments Due: May 14, 2015
Federal Register version (80 FR 22754)
34-74763 SR-EDGA-2015-10 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 11.6, 11.8, 11.9, 11.10 and 11.11 of EDGA Exchange, Inc.
Comments Due: March 31, 2015
See Also - Rel. No. 34-75459, Rel. No. 34-74435
Federal Register version (80 FR 22751)
34-74760 SR-NYSEMKT-2015-29 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule Relating to the Amex Customer Engagement Program
Comments Due: May 14, 2015
See Also - Exhibit 5
Federal Register version (80 FR 22759)
34-74755 SR-NYSEArca-2015-02 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares
Comments Due: March 31, 2015
View Received Comments
See Also - Rel. No. 34-76186, Rel. No. 34-75115, Rel. No. 34-74433
Federal Register version (80 FR 22762)
34-74764 SR-NASDAQ-2015-037 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to HGX and OSX
Comments Due: May 14, 2015
See Also - Exhibit 5
Federal Register version (80 FR 22752)
34-74758 SR-MIAX-2015-27 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Comments Due: May 14, 2015
See Also - Exhibit 5
Federal Register version (80 FR 22756)
34-74759 SR-MIAX-2015-28 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the MIAX Order Feed
Comments Due: May 14, 2015
Federal Register version (80 FR 22749)
34-74743 SR-BATS-2015-30 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3.5 (Advertising Practices) and Repeal Exchange Rule 3.20 (Initial or Partial Payments)
Comments Due: May 13, 2015
Federal Register version (80 FR 22580)
34-74740 SR-BYX-2015-23 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3.5 (Advertising Practices) and Repeal Exchange Rule 3.20 (Initial or Partial Payments)
Comments Due: May 13, 2015
Federal Register version (80 FR 22594)
34-74746 SR-Phlx-2014-66 Notice of Filing of Amendment No. 2 and Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 2, To Adopt New Exchange Rule 1081, Solicitation Mechanism, To Introduce a New Electronic Solicitation Mechanism
Comments Due: May 7, 2015
See Also - Exhibit 5, Rel. No. 34-75300, Rel. No. 34-74167, Rel. No. 34-73791, Rel. No. 34-73441
Federal Register version (80 FR 22569)
34-74745 SR-NASDAQ-2015-035 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Distributor and Managed Data Solution Distributor Fees for an Optional Hardware-Based Version of NASDAQ ITCH to Trade Options
Comments Due: May 13, 2015
Federal Register version (80 FR 22588)
34-74744 SR-MIAX-2015-29 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 500
Comments Due: May 13, 2015
See Also - Exhibit 3
Federal Register version (80 FR 22598)
34-74741 SR-ICEEU-2015-005 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to CDS Procedures for CDX North America Index CDS Contracts
Comments Due: March 23, 2015
See Also - Rel. No. 34-75065, Rel. No. 34-74362
Federal Register version (80 FR 22593)
34-74729 SR-NYSEArca-2014-100 Notice of Filing of Amendment Nos. 1 and 2 to Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSgA Global Managed Volatility ETF Under NYSE Arca Equities Rule 8.600
Comments Due: 21 days after publication in the Federal Register
View Received Comments
See Also - Rel. No. 34-75023, Rel. No. 34-74559, Rel. No. 34-73914, Rel. No. 34-73515, 34-74729.pdf, Rel. No. 34-73141, No. Rel. 34-74559A
Federal Register version (80 FR 22242)
34-74730 SR-NYSEArca-2015-25 Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, 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
Federal Register version (80 FR 22234)
34-74734 SR-FINRA-2015-007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Waive Trade Reporting Fees Under Rule 7710 Due to an OTC Reporting Facility Systems Issue
Comments Due: May 12, 2015
Federal Register version (80 FR 22243)
34-74733 SR-C2-2015-007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Comments Due: May 12, 2015
See Also - Exhibit 5
Federal Register version (80 FR 22251)
34-74726 SR-BATS-2015-29 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the BATS One Feed Under Rule 11.22(j) To Include Consolidated Volume for all Listed Equity Securities
Comments Due: May 11, 2015
See Also - Exhibit 5
Federal Register version (80 FR 21776)