National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-77095 | Feb 9, 2016 | SR-BOX-2016-04 | BOX Exchange LLC (BOX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7070 (Opening the Market) To Implement a New Price Protection Feature for the Opening See Also - Exhibit 5 |
| 34-77055 | Feb 4, 2016 | SR-BOX-2016-02 | BOX Exchange LLC (BOX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Lower Certain Fees for Non-Auction Transactions on the BOX Market LLC ("BOX") Options Facility See Also - Exhibit 5 |
| 34-76732 | Dec 22, 2015 | SR-BOX-2015-38 | BOX Exchange LLC (BOX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 2020 (Participant Eligibility and Registration) To Replace the Limited Representative-Proprietary Trader and Limited Principal-Proprietary Trader Registration Categories and Establish the Securities Trader and Securities Trader Principal Registration Categories See Also - Exhibit 5 |
| 34-76710 | Dec 21, 2015 | SR-BOX-2015-39 | BOX Exchange LLC (BOX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Update Certain Fees Assessed Under Section V (Connectivity Fees) See Also - Exhibit 5 |
| 34-76547 | Dec 3, 2015 | SR-BOX-2015-37 | BOX Exchange LLC (BOX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To amend IM-5050-10 to BOX Rule 5050 (Mini Option Contracts) See Also - Exhibit 5 |
| 34-76447 | Nov 16, 2015 | SR-BOX-2015-36 | BOX Exchange LLC (BOX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC Options Facility See Also - Exhibit 5 |
| 34-76367 | Nov 5, 2015 | SR-BOX-2015-35 | BOX Exchange LLC (BOX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Business Continuity and Disaster Recovery Plans ("BC/DR plans") Testing Requirements for Certain Options Participants in Connection With Regulation Systems Compliance and Integrity ("Regulation SCI") See Also - Exhibit 5 |
| 34-76233 | Oct 22, 2015 | SR-BOX-2015-34 | BOX Exchange LLC (BOX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretive Material 1 to Rule 7170 To Extend the Pilot Program That Suspends Certain Obvious Error Provisions During Limit Up-Limit Down States in Securities That Underlie Options Traded on the Exchange See Also - Exhibit 5 |
| 34-76115 | Oct 8, 2015 | SR-BOX-2015-32 | BOX Exchange LLC (BOX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC Options Facility See Also - Exhibit 5 |
| 34-76086 | Oct 6, 2015 | SR-BOX-2015-33 | BOX Exchange LLC (BOX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7270 (Block Trades) See Also - Exhibit 5 |