34-75071
May 29, 2015
SR-NYSEArca-2015-44
Notice of Filing of Proposed Rule Change To List and Trade Shares of the SPDR SSgA Flexible Allocation ETF Under NYSE Arca Equities Rule 8.600
Comments Due: June 25, 2015
View Received Comments
See Also -
Rel. No. 34-75461
Federal Register version (80 FR 31934)
34-75072
May 29, 2015
SR-NASDAQ-2015-057
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 4626(b)(3)
Comments Due: June 24, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 31628)
34-75068
May 29, 2015
SR-ICC-2015-007
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Provide for the Clearance of an Additional Western European Sovereign Single Name Credit Default Swap Contract
Comments Due: June 25, 2015
See Also -
Rel. No. 34-74687
Federal Register version (80 FR 31944)
34-75069
May 29, 2015
SR-FINRA-2015-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments Due: June 25, 2015
Federal Register version (80 FR 31931)
34-75073
May 29, 2015
SR-CBOE-2015-022
Notice of Withdrawal of Proposed Rule Change Related to Equipment and Communication on the Exchange's Trading Floor
Comments Due: March 31, 2015
See Also -
Rel. No. 34-74438 , Rel. No. 34-74786
Federal Register version (80 FR 31943)
34-75063
May 28, 2015
SR-SCCP-2015-01
Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments Due: June 24, 2015
See Also -
Rel. No. 34-75421
Federal Register version (80 FR 31625)
34-75057
May 28, 2015
SR-NYSE-2015-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 804.00 of the Listed Company Manual To Specify That Issuers Seeking a Review of a Delisting Decision Made by the Staff of NYSE Regulation, Inc. Must Have Paid All Prior Fees Owed to the Exchange
Comments Due: June 23, 2015
Federal Register version (80 FR 31430)
34-75058
May 28, 2015
SR-FINRA-2015-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Scope of the Definition of "Asset-Backed Security" for Purposes of Reporting to FINRA's Trade Reporting and Compliance Engine (TRACE) System
Comments Due: June 23, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 31429)
34-75049
May 27, 2015
SR-NYSEMKT-2015-22
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSEMKT Rule 13-Equities and Related Rules Governing Order Types and Modifiers
Comments Due: May 5, 2015
View Received Comments
See Also -
Rel. No. 34-75443 , Rel. No. 34-74682
Federal Register version (80 FR 31091)
34-75048
May 27, 2015
SR-NYSE-2015-15
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSE Rule 13 and Related Rules Governing Order Types and Modifiers
Comments Due: May 5, 2015
View Received Comments
See Also -
Rel. No. 34-75444 , Rel. No. 34-74678
Federal Register version (80 FR 31419)
34-75051
May 27, 2015
SR-BX-2015-030
Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments Due: June 23, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 31427)
34-75052
May 27, 2015
SR-NASDAQ-2015-058
Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments Due: June 23, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 31438)
34-75041
May 26, 2015
SR-Phlx-2015-45
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: June 22, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 31087)
34-75042
May 26, 2015
SR-NYSEArca-2015-18
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Listing and Trading Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02 of Shares of the Vanguard Tax-Exempt Bond Index Fund
Comments Due: May 7, 2015
See Also -
Rel. No. 34-74701
Federal Register version (80 FR 31090)
34-75038
May 22, 2015
SR-NYSE-2015-06
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Adopting New NYSE Rule 124 To Conduct a Midday Auction and Amending NYSE Rule 104 To Codify the Obligation of Designated Market Makers To Facilitate the Midday Auction
Comments Due: June 19, 2015
View Received Comments
See Also -
Rel. No. 34-74648 , Rel. No. 34-74281
Federal Register version (80 FR 30747)
34-75025
May 21, 2015
SR-CFE-2015-004
Notice of Filing of a Proposed Rule Change Regarding Audit Trail Retention Requirements
Comments Due: June 18, 2015
See Also -
Exhibit 4
Federal Register version (80 FR 30503)
34-75033
May 21, 2015
SR-NYSEMKT-2015-17
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Appointment Process Utilized by the Exchange
Comments Due: April 29, 2015
See Also -
Rel. No. 34-74636 , Rel. No. 34-75322
Federal Register version (80 FR 30519)
34-75032
May 21, 2015
SR-NYSEArca-2015-17
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Appointment Process Utilized by the Exchange
Comments Due: April 29, 2015
See Also -
Rel. No. 34-74635 , Rel. No. 34-75323
Federal Register version (80 FR 30511)
34-75024
May 21, 2015
SR-BX-2015-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Penny Pilot Options Fees and Rebates
Comments Due: June 18, 2015
View Received Comments
See Also -
Exhibit 5
Federal Register version (80 FR 30511)
34-75030
May 21, 2015
SR-DTC-2015-006
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify That Participants Are Required To Participate in Operational Testing by DTC, Including Testing of DTC's Business Continuity and Disaster Recovery Plans
Comments Due: June 18, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 30505)
34-75022
May 21, 2015
SR-CBOE-2015-049
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule
Comments Due: June 18, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 30517)
34-75026
May 21, 2015
SR-CBOE-2015-048
Notice of Filing of a Proposed Rule Change To Amend Exchange Rules Related to Order Tickets
Comments Due: June 12, 2015
Federal Register version (80 FR 30514)
34-75029
May 21, 2015
SR-CBOE-2015-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of Rule 15.2A
Comments Due: June 18, 2015
Federal Register version (80 FR 30506)
34-75004
May 20, 2015
SR-NYSEMKT-2015-23
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Adopting a Principles-Based Approach To Prohibit the Misuse of Material Nonpublic Information by Specialists and e-Specialists by Deleting Rule 927.3NY and Section (f) of Rule 927.5NY
Comments Due: May 5, 2015
View Received Comments
See Also -
Rel. No. 34-74677 , Rel. No. 34-75432
Federal Register version (80 FR 30301)
34-75012
May 20, 2015
SR-FINRA-2014-047
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 FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
See Also -
Rel. No. 34-74488 , Rel. No. 34-74339 , Rel. No. 34-73622 , Rel. No. 34-75471
Federal Register version (80 FR 30305)
34-75013
May 20, 2015
SR-FINRA-2014-048
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
See Also -
Rel. No. 34-74490 , Rel. No. 34-74340 , Rel. No. 34-73623 , Rel. No. 34-75472
Federal Register version (80 FR 30310)
34-75003
May 20, 2015
SR-CBOE-2015-045
Notice of Filing of a 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. 34-75359
Federal Register version (80 FR 30306)
34-75001
May 20, 2015
SR-BOX-2015-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Authorize the Exchange To Share Any Participant-Designated Risk Settings in the Trading System With the Clearing Participant That Clears Transactions on Behalf of the Participant
Comments Due: June 17, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 30291)
34-75053
May 19, 2015
SR-Phlx-2015-46
Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments Due: June 23, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 33574)
34-74985
May 18, 2015
SR-EDGX-2015-21
Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, To Amend Rule 11.2 To State That EDGX Exchange, Inc. Will Not Designate for Trading Any Security Admitted to Unlisted Trading Privileges on the Exchange Unless That Security Satisfies Certain Liquidity Requirements
Comments Due: June 12, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 29778)
34-74987
May 18, 2015
SR-BATS-2015-37
Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, To Amend Rule 11.2 To State That the BATS Exchange, Inc. Will Not Designate for Trading Any Security Admitted to Unlisted Trading Privileges on the Exchange Unless That Security Satisfies Certain Liquidity Requirements
Comments Due: June 12, 2015
View Received Comments
See Also -
Exhibit 5
Federal Register version (80 FR 29769)
34-74988
May 18, 2015
SR-BYX-2015-25
Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, To Amend Rule 11.2 To State That the BATS Y-Exchange, Inc. Will Not Designate for Trading Any Security Admitted to Unlisted Trading Privileges on the Exchange Unless That Security Satisfies Certain Liquidity Requirements
Comments Due: June 12, 2015
View Received Comments
See Also -
Exhibit 5
Federal Register version (80 FR 29781)
34-74986
May 18, 2015
SR-EDGA-2015-19
Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, To Amend Rule 11.2 To State That EDGA Exchange, Inc. Will Not Designate for Trading Any Security Admitted to Unlisted Trading Privileges on the Exchange Unless That Security Satisfies Certain Liquidity Requirements
Comments Due: June 12, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 29772)
34-74989
May 18, 2015
SR-MIAX-2015-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 515A
Comments Due: June 12, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 29762)
34-74990
May 18, 2015
SR-CBOE-2015-047
Notice of Filing of a Proposed Rule Change Relating to Floor Broker Due Diligence
Comments Due: June 12, 2015
See Also -
Rel. No. 34-75299
Federal Register version (80 FR 29767)
34-74981
May 15, 2015
SR-OCC-2014-811
Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1 and Amendment No. 2, to Establish Procedures Regarding the Monthly Resizing of its Clearing Fund and the Addition of Financial Resources
See Also -
Rel. No. 34-74713 , Rel. No. 34-74091
Federal Register version (80 FR 29367)
34-74972
May 15, 2015
SR-NASDAQ-2015-055
Notice of Filing of Proposed Rule Change Regarding NASDAQ Last Sale Plus
Comments Due: June 11, 2015
Federal Register version (80 FR 29370)
34-74979
May 15, 2015
SR-NASDAQ-2015-049
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the PowerShares DB Optimum Yield Diversified Commodity Strategy Portfolio, PowerShares Agriculture Commodity Strategy Portfolio, PowerShares Precious Metals Commodity Strategy Portfolio, PowerShares Energy Commodity Strategy Portfolio, PowerShares Base Metals Commodity Strategy Portfolio and PowerShares Bloomberg Commodity Strategy Portfolio, Each a Series of PowerShares Actively Managed Exchange-Traded Commodity Fund Trust
Comments Due: June 11, 2015
View Received Comments
Federal Register version (80 FR 29359)
34-74975
May 15, 2015
SR-ISE-2015-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees
Comments Due: June 11, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 29358)
34-74973
May 15, 2015
SR-FICC-2015-002
Notice of Filing of a Proposed Rule Change to the Government Securities Division Rules in Connection With the Extension of the GCF Repo Service Pilot Program
Comments Due: June 11, 2015
See Also -
Rel. No. 34-75258
Federal Register version (80 FR 29352)
34-74968
May 14, 2015
SR-BATS-2015-38
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments Due: June 10, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 29139)
34-74971
May 14, 2015
SR-ISE-Gemini-2015-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Introduce a New "Retail" Designation for Priority Customer Orders
Comments Due: June 10, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 29136)
34-74967
May 14, 2015
SR-Phlx-2015-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Public Disclosure of Sources of Data Utilized By PSX
Comments Due: June 10, 2015
Federal Register version (80 FR 29127)
34-74966
May 14, 2015
SR-OCC-2015-010
Notice of Filing of a Proposed Rule Change Concerning the Implementation of New Risk Models in Order To Support the Clearance and Settlement of Asian-Style Flexibly Structured Options and Flexibly Structured Cliquet Options
Comments Due: June 12, 2015
See Also -
Rel. No. 34-75427 , Rel. No. 34-75427
Federal Register version (80 FR 29784)
34-74965
May 14, 2015
SR-NSCC-2015-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify NSCC's Rules & Procedures Relating to the Process by Which NSCC Members Submit Buy-Ins Within NSCC's Continuous Net Settlement System
Comments Due: June 10, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 29138)
34-74962
May 14, 2015
SR-BX-2015-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Public Disclosure of Sources of Data BX Utilizes
Comments Due: June 10, 2015
Federal Register version (80 FR 29118)
34-74970
May 14, 2015
SR-ISE-2015-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Introduce a New "Retail" Designation for Priority Customer Orders
Comments Due: June 10, 2015
View Received Comments
See Also -
Exhibit 5
Federal Register version (80 FR 29106)
34-74963
May 14, 2015
SR-CBOE-2015-012
Notice of Filing of a Proposed Rule Change Relating to Trading Permit Holder Qualifications
Comments Due: June 10, 2015
Federal Register version (80 FR 29131)
34-74969
May 14, 2015
SR-CBOE-2015-042
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Limitation of Liability
Comments Due: June 10, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 29121)
34-74964
May 14, 2015
SR-C2-2015-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Limitation of Liability
Comments Due: June 10, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 29109)
34-74949
May 13, 2015
SR-EDGX-2015-18
Notice of Filing of Proposed Rule Change To Establish Rules Governing the Trading of Options on the EDGX Options Exchange
Comments Due: June 9, 2015
View Received Comments
See Also -
Exhibit 5
Federal Register version (80 FR 28745)
34-74950
May 13, 2015
SR-EDGX-2015-22
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc.
Comments Due: June 9, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 28742)
34-74948
May 13, 2015
SR-EDGA-2015-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related To Fees for Use of EDGA Exchange, Inc.
Comments Due: June 9, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 28719)
34-74954
May 13, 2015
SR-Phlx-2015-29
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend and Restate Certain Rules That Govern the NASDAQ PSX
Comments Due: April 27, 2015
View Received Comments
See Also -
Rel. No. 34-74618
Federal Register version (80 FR 28739)
34-74956
May 13, 2015
SR-NYSEMKT-2015-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule Related to Fees and Credits Associated With the Customer Best Execution Auction
Comments Due: June 9, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 28717)
34-74947
May 13, 2015
SR-NYSEArca-2015-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Reduce Fees for Routing Certain Retail Orders to Away Market Centers
Comments Due: June 9, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 28735)
34-74951
May 13, 2015
SR-NYSEARCA-2015-38
Notice of Filing of 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 -
Exhibit 5 , Rel. No. 34-75494 , Rel. No. 34-75273
Federal Register version (80 FR 28721)
34-74946
May 13, 2015
SR-NASDAQ-2015-052
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7018 Governing Fees and Credits Assessed For Execution and Routing
Comments Due: June 9, 2015
Federal Register version (80 FR 28757)
34-74953
May 13, 2015
SR-FINRA-2015-011
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H)
Comments Due: June 9, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 28740)
34-74952
May 13, 2015
SR-BOX-2015-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adjust the Preferred Market Maker Quoting Obligations
Comments Due: June 9, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 28738)
34-74957
May 13, 2015
SR-BOX-2015-17
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: June 10, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 29114)
34-74935
May 12, 2015
SR-EDGX-2015-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Change the Name of "ConnectEdge" Product Offering Under Rule 13.9 to "BATS Connect"
Comments Due: June 8, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 28335)
34-74938
May 12, 2015
SR-BATS-2015-35
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments Due: June 8, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 28322)
34-74939
May 12, 2015
SR-BYX-2015-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments Due: June 8, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 28328)
34-74930
May 12, 2015
SR-NYSEMKT-2015-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Constituent Documents of Its Intermediate Parent Companies NYSE Holdings, LLC., Intercontinental Exchange, Inc., To Eliminate Certain Provisions That by Their Terms Have Become Void and Are of No Further Force and Effect as a Result of the Sale by ICE of Euronext N.V. in June 2014 and Make Conforming Changes to the Independence Policy of the Board of Directors of ICE
Comments Due: June 8, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 28315)
34-74929
May 12, 2015
SR-NYSEArca-2015-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Constituent Documents of Its Intermediate Parent Companies NYSE Holdings LLC., Intercontinental Exchange, Inc., to Eliminate Certain Provisions That by Their Terms Have Become Void and Are of No Further Force and Effect as a Result of the Sale by ICE of Euronext N.V. in June 2014 and Make Conforming Changes to the Independence Policy of the Board of Directors of ICE
Comments Due: June 8, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 28311)
34-74928
May 12, 2015
SR-NYSE-2015-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Constituent Documents of Its Intermediate Parent Companies NYSE Holdings LLC., Intercontinental Exchange, Inc., To Eliminate Certain Provisions That by Their Terms Have Become Void and Are of No Further Force and Effect as a Result of the Sale by ICE of Euronext N.V. in June 2014 and Make Conforming Changes to the Independence Policy of the Board of Directors of ICE
Comments Due: June 8, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 28331)
34-74934
May 12, 2015
SR-BX-2015-015
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend and Restate Certain Rules That Govern the NASDAQ OMX BX Equities Market
Comments Due: June 8, 2015
View Received Comments
See Also -
Rel. No. 34-75291 , Rel. No. 34-74617
Federal Register version (80 FR 28325)
34-74931
May 12, 2015
SR-NASDAQ-2015-047
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments Due: June 8, 2015
See Also -
Exhibit 5
Federal Register version (80 FR 28308)
34-74927
May 12, 2015
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
May 12, 2015
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
May 12, 2015
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
May 11, 2015
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
May 11, 2015
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
May 8, 2015
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
May 8, 2015
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
May 8, 2015
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
May 8, 2015
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
May 8, 2015
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
May 8, 2015
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
May 8, 2015
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
May 8, 2015
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
May 8, 2015
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
May 8, 2015
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
May 8, 2015
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
May 7, 2015
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
May 7, 2015
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
May 7, 2015
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
May 7, 2015
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
May 7, 2015
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
May 7, 2015
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
May 7, 2015
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
May 7, 2015
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
May 6, 2015
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
May 6, 2015
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
May 6, 2015
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
May 6, 2015
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
May 6, 2015
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
May 6, 2015
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
May 6, 2015
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)