34-80379
April 5, 2017
SR-LCHSA-2017-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Retroactively Apply Recently-Revised Fee Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 17492)
34-80383
April 5, 2017
SR-FICC-2017-006
Notice of Filing of Proposed Rule Change To Enhance the Credit Risk Rating Matrix and Make Other Changes Comments Due: Exhibit 5 , Rel. No. 34-80734 Federal Register version (82 FR 17468)
34-80382
April 5, 2017
SR-DTC-2017-002
Notice of Filing of Proposed Rule Change To Address and Update Practices and Policies With Respect to the Credit Risk Rating Matrix and Make Other Changes Comments Due: Exhibit 5 , Rel. No. 34-80734 Federal Register version (82 FR 17483)
34-80372
April 4, 2017
SR-OCC-2017-003
Options Clearing Corporation Self-Regulatory Organizations; the Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Requirement for Clearing Members To Participate in Default Management Testing Comments Due: Federal Register version (82 FR 17311)
34-80375
April 4, 2017
SR-NYSEMKT-2017-16
Notice of Filing of Proposed Rule Change Amending Rule 36-Equities To Permit Exchange Floor Brokers To Use Non-Exchange Provided Telephones on the Floor Comments Due: View Received Comments Exhibit 5 , Exhibit 5a , Rel. No. 34-80753 Federal Register version (82 FR 17302)
34-80374
April 4, 2017
SR-NYSE-2017-07
Notice of Filing of Proposed Rule Change Amending Rule 36 To Permit Exchange Floor Brokers To Use Non-Exchange Provided Telephones on the Floor Comments Due: View Received Comments Exhibit 5 , Exhibit 5a , Rel. No. 34-81103 , Rel. No. 34-80753 Federal Register version (82 FR 17306)
34-80369
April 4, 2017
SR-NASDAQ-2017-033
Notice of Filing of Proposed Rule Change To List and Trade the Shares of the First Trust California Municipal High Income ETF Comments Due: View Received Comments Rel. No. 34-80745 Federal Register version (82 FR 17314)
34-80371
April 4, 2017
SR-FINRA-2017-007
Notice of Filing of a Proposed Rule Change To Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 17336)
34-80362
April 3, 2017
SR-ISEMercury-2017-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to "Tick-Worse" Functionality Comments Due: Exhibit 5 Federal Register version (82 FR 17051)
34-80364
April 3, 2017
SR-CHX-2017-04
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt the CHX Liquidity Enhancing Access Delay Comments Due: View Received Comments Rel. No. 34-81415 , Rel. No. 34-80041 , Rel. No. 34-80740 , Rel. No. 34-81913 Federal Register version (82 FR 17065)
34-80363
April 3, 2017
SR-NYSEArca-2017-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees and Charges Comments Due: Exhibit 5 Federal Register version (82 FR 17046)
34-80361
April 3, 2017
SR-FICC-2017-803
Notice of Filing of Advance Notice to Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes Comments Due: Exhibit 5 Federal Register version (82 FR 17053)
34-80358
March 31, 2017
SR-NYSE-2017-11
Notice of Filing of Proposed Rule Change To Amend Listing Standards for Acquisition Companies To Modify the Initial and Continued Distribution Requirements Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 16865)
34-80350
March 30, 2017
SR-BatsBZX-2017-07
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Under BZX Rule 14.11(c)(4) the Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust Comments Due: View Received Comments Rel. No. 34-81363 , Rel. No. 34-79989 , Rel. No. 34-80664 , Rel. No. 34-81715 Federal Register version (82 FR 16647)
34-80346
March 30, 2017
SR-NYSEArca-2017-09
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Regarding Investments of the Janus Short Duration Income ETF Listed Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-80028 , Rel. No. 34-80657 Federal Register version (82 FR 16643)
34-80348
March 30, 2017
SR-NASDAQ-2017-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 5710 Comments Due: Exhibit 5 Federal Register version (82 FR 16651)
34-80341
March 30, 2017
SR-FICC-2017-801
Notice of No Objection to Advance Notice Filing to (1) Implement the Margin Proxy and (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies Comments Due: View Received Comments Rel. No. 34-80139 Federal Register version (82 FR 16644)
34-80326
March 29, 2017
SR-ISEMercury-2017-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Rename the Exchange as Nasdaq MRX, LLC Comments Due: Exhibit 5 Federal Register version (82 FR 16460)
34-80336
March 29, 2017
SR-NYSEMKT-2017-04
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Market Makers Applicable When the Exchange Transitions Trading to Pillar, the Exchange's New Trading Technology Platform Comments Due: View Received Comments 34-80577.pdf , Rel. No. 34-79982 Federal Register version (82 FR 16447)
34-80337
March 29, 2017
SR-NYSEMKT-2017-01
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt New Equities Trading Rules To Transition Trading on the Exchange From a Floor Based Market With a Parity Allocation Model to Fully Automated Price-Time Priority Model on the Exchange's New Trading Technology Platform, Pillar Comments Due: View Received Comments Rel. No. 34-80590 , Rel. No. 34-79993 Federal Register version (82 FR 16459)
34-80327
March 29, 2017
SR-MSRB-2017-02
Notice of Filing of a Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, To Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements Comments Due: View Received Comments Exhibit 2 , Exhibit 5 , Rel. No. 34-80699 Federal Register version (82 FR 16449)
34-80325
March 29, 2017
SR-ISE-2017-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Rename the Exchange as Nasdaq ISE, LLC Comments Due: Exhibit 5 Federal Register version (82 FR 16445)
34-80331
March 29, 2017
SR-IEX-2017-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Typographical Errors in SR-IEX-2017-06 Comments Due: Exhibit 5 Federal Register version (82 FR 16456)
34-80328
March 29, 2017
SR-CBOE-2017-024
Notice of Filing of a Proposed Rule Change Relating to Reporting Duties Comments Due: View Received Comments Exhibit 5 Federal Register version (82 FR 16461)
34-80323
March 28, 2017
SR-OCC-2017-802
Notice of Filing of Advance Notice Concerning Enhancements to OCC's Stock Loan Programs Comments Due: Rel. No. 34-80537 Federal Register version (82 FR 16260)
34-80321
March 28, 2017
SR-FINRA-2017-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Private Placement Filer Form Under FINRA Rules 5122 and 5123 Comments Due: Federal Register version (82 FR 16245)
34-80313
March 27, 2017
SR-NYSE-2017-12
Notice of Filing of Proposed Rule Change To Amend Section 102.01B of the NYSE Listed Company Manual To Modify the Requirements That Apply to Companies That List Without a Prior Exchange Act Registration and That Are Not Listing in Connection With an Underwritten Initial Public Offering Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-81000 , Rel. No. 34-80670 Federal Register version (82 FR 16082)
34-80315
March 27, 2017
SR-NASDAQ-2017-029
Notice of Filing of Proposed Rule Change To List and Trade Exchange-Traded Managed Funds Comments Due: View Received Comments Rel. No. 34-80614 Federal Register version (82 FR 16075)
34-80316
March 27, 2017
SR-ISE-2017-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of Functionality Associated With Stock-Option Orders Comments Due: Exhibit 5 Federal Register version (82 FR 16084)
34-80305
March 24, 2017
SR-Phlx-2017-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Section VII(A) Comments Due: Exhibit 5 Federal Register version (82 FR 15778)
34-80309
March 24, 2017
SR-NYSEMKT-2016-63
Notice of Filing of Partial Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 Through 4, To Amend the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees Comments Due: View Received Comments Rel. No. 34-80077 , Rel. No. 34-79672 , Rel. No. 34-79378 , Rel. No. 34-78968 Federal Register version (82 FR 15725)
34-80310
March 24, 2017
SR-NYSEArca-2016-89
Notice of Filing of Partial Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 Through 4, To Amend the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees Comments Due: View Received Comments Rel. No. 34-80076 , Rel. No. 34-79673 , Rel. No. 34-79379 , Rel. No. 34-78967 , Rel. No. 34-78628 Federal Register version (82 FR 15763)
34-80311
March 24, 2017
SR-NYSE-2016-45
Notice of Filing of Partial Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 Through 4, To Amend the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees Comments Due: View Received Comments Rel. No. 34-80002 , Rel. No. 34-79674 , Rel. No. 34-79316 , Rel. No. 34-78966 , Rel. No. 34-78887 , Rel. No. 34-78556 Federal Register version (82 FR 15741)
34-80304
March 24, 2017
SR-ICEEU-2017-002
Notice of Filing Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Revise the ICE Clear Europe Clearing Rules Relating to the Application of Default Provisions in the Event of a Resolution Proceeding Comments Due: Rel. No. 34-79999 Federal Register version (82 FR 15733)
34-80303
March 24, 2017
SR-FICC-2017-005
Notice of Filing of Proposed Rule Change To Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-80574 Federal Register version (82 FR 15749)
34-80300
March 23, 2017
SR-CTA/CQ-2017-02
Notice of Filing and Immediate Effectiveness of the Twenty-Second Charges Amendment to the Second Restatement of the CTA Plan and the Thirteenth Charges Amendment to the Restated CQ Plan Comments Due: View Received Comments Federal Register version (82 FR 15404)
34-80297
March 22, 2017
SR-NYSEArca-2017-06
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitcoin Investment Trust Under NYSE Arca Equities Rule 8.201 Comments Due: View Received Comments Rel. No. 34-81201 , Rel. No. 34-80729 , Rel. No. 34-80502 , Rel. No. 34-79955 , Rel. No. 34-81747 Federal Register version (82 FR 15408)
34-80298
March 22, 2017
SR-C2-2017-011
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Rule 6.15 Comments Due: Federal Register version (82 FR 15393)
34-80283
March 21, 2017
SR-NYSEMKT-2017-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Organizational Documents, Company Guide, Price List, Fee Schedules, Independence Policy and Rules To Change the Name of the Exchange to NYSE American LLC Comments Due: Exhibit 5 Federal Register version (82 FR 15244)
34-80285
March 21, 2017
SR-NYSEArca-2017-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Comments Due: Exhibit 5 Federal Register version (82 FR 15249)
34-80282
March 21, 2017
SR-BX-2017-013
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Shorten the Settlement Cycle From T+3 to T+2 Comments Due: Exhibit 5 , Amendment 1 , Rel. No. 34-80640 Federal Register version (82 FR 15258)
34-80284
March 21, 2017
SR-MIAX-2017-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors Comments Due: Exhibit 5 Federal Register version (82 FR 15251)
34-80286
March 21, 2017
SR-CBOE-2017-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MDX Fees Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 15247)
34-80280
March 20, 2017
SR-DTC-2017-001
Notice of Filing of Proposed Rule Change To Establish a Sub-Account for Use With the DTCC Euroclear Global Collateral Ltd Collateral Management Service and Provide for the Authorization of a Representative To Receive Information About the Sub-Account Comments Due: Exhibit 5 , Rel. No. 34-80598 Federal Register version (82 FR 15081)
34-80279
March 20, 2017
SR-CBOE-2017-019
Notice of Filing of a Proposed Rule Change Related to Complex Orders Comments Due: Exhibit 5 , Rel. No. 34-80926 , Rel. No. 34-80609 Federal Register version (82 FR 15085)
34-80281
March 20, 2017
SR-C2-2017-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Complex Orders Comments Due: Federal Register version (82 FR 15074)
34-80268
March 17, 2017
SR-NYSEMKT-2017-05
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Rules 7.29E and 1.1E To Provide for a Delay Mechanism Comments Due: View Received Comments Rel. No. 34-79998 , Rel. No. 34-80700 Federal Register version (82 FR 14932)
34-80272
March 17, 2017
SR-NYSEMKT-2017-13
Notice of Filing of Proposed Rule Change Amending Rule 968NY To Make Permanent a Program That Allows Transactions To Take Place at a Price That Is Below $1 per Option Contract Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-80616 Federal Register version (82 FR 14936)
34-80271
March 17, 2017
SR-NYSEARCA-2017-24
Notice of Filing of Proposed Rule Change Amending Rule 6.80 To Make Permanent a Program That Allows Transactions To Take Place at a Price That Is Below $1 per Option Contract Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-80615 Federal Register version (82 FR 14934)
34-80266
March 17, 2017
SR-PEARL-2017-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rules 517A, Aggregate Risk Manager for EEMs ("ARM-E"), and 517B, Aggregate Risk Manager for Market Makers ("ARM-M") Comments Due: Exhibit 5 Federal Register version (82 FR 14922)
34-80267
March 17, 2017
SR-ISE-2017-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Modify the Member Order Routing Program Comments Due: Exhibit 5 Federal Register version (82 FR 14929)
34-80274
March 17, 2017
SR-ISE-2017-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to "Tick-Worse" Functionality Comments Due: Exhibit 5 Federal Register version (82 FR 14932)
34-80269
March 17, 2017
SR-ICEEU-2017-003
Notice Relating to the CDS End-of-Day Price Discovery Policy Comments Due: Rel. No.34-80978 , Rel. No. 34-80566 Federal Register version (82 FR 14925)
34-80262
March 16, 2017
SR-NYSEMKT-2017-15
Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 14779)
34-80258
March 16, 2017
SR-NYSEArca-2017-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Comments Due: Exhibit 5 Federal Register version (82 FR 14775)
34-80260
March 16, 2017
SR-NSCC-2017-001
Notice of Filing of a Proposed Rule Change To Describe the Illiquid Charge That May Be Imposed on Members Comments Due: Exhibit 5 , Rel. No. 34-80597 Federal Register version (82 FR 14781)
34-80257
March 16, 2017
SR-IEX-2017-03
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend IEX Rule 16.135 To Adopt Generic Listing Standards for Managed Fund Shares Comments Due: View Received Comments Rel. No. 34-79940 , Rel. No. 34-80545 Federal Register version (82 FR 14779)
34-80264
March 16, 2017
SR-CBOE-2017-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Complex Orders Comments Due: Federal Register version (82 FR 14768)
34-80248
March 15, 2017
SR-ISEGemini-2017-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rename the Exchange Comments Due: Exhibit 5 Federal Register version (82 FR 14547)
34-80252
March 15, 2017
SR-NYSEArca-2017-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (82 FR 14552)
34-80254
March 15, 2017
SR-NYSEArca-2016-96
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Amend NYSE Arca Equities Rule 8.700 and To List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.700 Comments Due: View Received Comments Rel. No. 34-78345 , Rel. No. 34-78727 , Rel. No. 34-79802 , Rel. No. 34-79111 Federal Register version (82 FR 14548)
34-80251
March 15, 2017
SR-PEARL-2017-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rules 100, 404, 515, 529, 601 and the Title Pages of Chapter VIII and Chapter XI Comments Due: Exhibit 5 Federal Register version (82 FR 14558)
34-80249
March 15, 2017
SR-ISE-2017-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees Comments Due: Exhibit 5 Federal Register version (82 FR 14586)
34-80253
March 15, 2017
SR-FICC-2017-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Describe the Intraday Mark-to-Market Charge Comments Due: Exhibit 5 Federal Register version (82 FR 14581)
34-80246
March 15, 2017
SR-BOX-2017-09
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility Comments Due: Exhibit 5 Federal Register version (82 FR 14555)
34-80247
March 15, 2017
SR-BOX-2017-08
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7170 (Nullification and Adjustment of Options Transactions) To Add IM-7170-4 Comments Due: Exhibit 5 Federal Register version (82 FR 14589)
34-80239
March 14, 2017
SR-ISEGemini-2017-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Supplementary Material .03 to Rule 713 Comments Due: Exhibit 5 Federal Register version (82 FR 14413)
34-80242
March 14, 2017
SR-BatsBZX-2017-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Comments Due: Exhibit 5 Federal Register version (82 FR 14410)
34-80241
March 14, 2017
SR-Phlx-2017-04
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled NASDAQ-100 Index Options on a Pilot Basis Comments Due: View Received Comments Rel. No. 34-81293 , Rel. No. 34-80581 , Rel. No. 34-79894 Federal Register version (82 FR 14393)
34-80243
March 14, 2017
SR-Phlx-2017-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Address of the Exchange and Its Shareholder Comments Due: Exhibit 5 Federal Register version (82 FR 14392)
34-80244
March 14, 2017
SR-Phlx-2017-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Pricing for NDX and MNX Comments Due: Exhibit 5 Federal Register version (82 FR 14388)
34-80237
March 14, 2017
SR-NASDAQ-2017-025
Notice of Filing of Proposed Rule Change To List and Trade Exchange-Traded Managed Funds Comments Due: View Received Comments Rel. No. 34-80591 Federal Register version (82 FR 14395)
34-80234
March 14, 2017
SR-FICC-2017-002
Notice of Filing of Proposed Rule Change To Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-80524 , Rel. No. 34-80812 , Rel. No. 34-81638 , Rel. No. 34-82090 Federal Register version (82 FR 14401)
34-80235
March 14, 2017
SR-FICC-2017-001
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To (1) Implement the Margin Proxy, (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies, and (3) Make Certain Technical Corrections Comments Due: View Received Comments Rel. No. 34-79958 , Rel. No. 34-80349 Federal Register version (82 FR 14394)
34-80236
March 14, 2017
SR-FICC-2017-003
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Expand the Types of Entities That Are Eligible To Participate in Fixed Income Clearing Corporation as Sponsored Members and Make Other Changes Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-80563 Federal Register version (82 FR 14265)
34-80240
March 14, 2017
4-709
Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BOX Options Exchange LL Rel. No. 34-80388 Federal Register version (82 FR 14560)
34-80220
March 13, 2017
SR-BatsBYX-2017-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.27 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (82 FR 14259)
34-80227
March 13, 2017
SR-CHX-2017-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (82 FR 14263)
34-80226
March 13, 2017
SR-Phlx-2017-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Data Collection Requirements in Rule 3317 Comments Due: Exhibit 5 Federal Register version (82 FR 14238)
34-80222
March 13, 2017
SR-NYSE-2017-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Comments Due: Exhibit 5 Federal Register version (82 FR 14269)
34-80224
March 13, 2017
SR-BX-2017-017
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Rule 7018 Comments Due: Exhibit 5 Federal Register version (82 FR 14261)
34-80228
March 13, 2017
SR-BX-2017-016
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Data Reporting Requirements of Rule 4770 Comments Due: Exhibit 5 Federal Register version (82 FR 14256)
34-80229
March 13, 2017
SR-NASDAQ-2017-024
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Data Collection Requirements in Rule 4470 Comments Due: Exhibit 5 Federal Register version (82 FR 14272)
34-80230
March 13, 2017
SR-MIAX-2017-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule 515, Execution of Orders and Quotes Comments Due: Exhibit 5 Federal Register version (82 FR 14251)
34-80219
March 13, 2017
SR-ISE-2017-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Change the Definition of Net Zero Complex Order Comments Due: Exhibit 5 Federal Register version (82 FR 14249)
34-80211
March 10, 2017
SR-ISEMercury-2017-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Liability Caps and Related Reimbursement Requirements Comments Due: Exhibit 5 Federal Register version (82 FR 14072)
34-80200
March 10, 2017
SR-ISEGemini-2017-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Decommission of the Tick-Worse Functionality Comments Due: Exhibit 5 Federal Register version (82 FR 14090)
34-80209
March 10, 2017
SR-ISEGemini-2017-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Liability Caps and Related Reimbursement Requirements Comments Due: Exhibit 5 Federal Register version (82 FR 14087)
34-80213
March 10, 2017
SR-ISEGemini-2017-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Fees for New Ports Comments Due: Exhibit 5 Federal Register version (82 FR 14066)
34-80215
March 10, 2017
SR-BatsEDGA-2017-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.21 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (82 FR 14061)
34-80205
March 10, 2017
SR-BatsBZX-2017-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform Comments Due: Exhibit 5 Federal Register version (82 FR 14045)
34-80207
March 10, 2017
SR-BatsBZX-2017-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.27 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (82 FR 14056)
34-80214
March 10, 2017
SR-NYSE-2016-44
Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 4, Allowing the Exchange To Trade Pursuant to Unlisted Trading Privileges Any NMS Stock Listed on Another National Securities Exchange; Establishing Listing and Trading Requirements for Exchange Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to Unlisted Trading Privileges on the Pillar Platform Comments Due: View Received Comments Rel. No. 34-79736 , Rel. No. 34-79085 , Rel. No. 34-78641 , Rel. No. 34-78263 Federal Register version (82 FR 14050)
34-80203
March 10, 2017
4-631
Notice of Filing of the Thirteenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Comments Due: View Received Comments Exhibit A , Rel. No. 34-80549 , Rel. No. 34-80455 , Rel. No. 34-79845 Federal Register version (82 FR 14068)
34-80210
March 10, 2017
SR-NASDAQ-2017-023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Continued Listing Requirements for Exchange-Traded Products Comments Due: Exhibit 5 Federal Register version (82 FR 14094)
34-80216
March 10, 2017
SR-NASDAQ-2017-028
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4703 and Rule 4753 Comments Due: Exhibit 5 Federal Register version (82 FR 14074)
34-80217
March 10, 2017
SR-NASDAQ-2017-021
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter X, Section 7(a) of the Exchange's Options Rules Comments Due: Exhibit 5 Federal Register version (82 FR 14063)
34-80212
March 10, 2017
SR-ISE-2017-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Liability Caps and Related Reimbursement Requirements Comments Due: Exhibit 5 Federal Register version (82 FR 14041)
34-80202
March 10, 2017
SR-IEX-2017-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.190(g) To Modify the Quote Instability Coefficients and Quote Instability Threshold Included in the Quote Instability Calculation Specified in Subparagraph (g)(1) for Purposes of Determining Whether a Crumbling Quote Exists Comments Due: Exhibit 5 Federal Register version (82 FR 14058)
34-80218
March 10, 2017
SR-IEX-2017-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 11.340 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (82 FR 14054)
