34-79133
Oct. 21, 2016
SR-CBOE-2016-071
Notice of Filing of a Proposed Rule Change Relating to Opening and Closing Rotations Under the HOSS System Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79520 Federal Register version (81 FR 74828)
34-79125
Oct. 19, 2016
SR-NYSEMKT-2016-48
Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Amend Certain Rules Related to Flexible Exchange Options Comments Due: View Received Comments Federal Register version (81 FR 73452)
34-79118
Oct. 19, 2016
SR-NASDAQ-2016-121
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Related to the Payment of a Credit by Execution Access, LLC Based on Volume Thresholds Met on the NASDAQ Options Market Comments Due: Rel. No. 34-79492 , Rel. No. 34-79317 , Rel. No. 34-78749 Federal Register version (81 FR 73186)
34-79119
Oct. 19, 2016
SR-NASDAQ-2016-138
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7046 Comments Due: Exhibit 5 Federal Register version (81 FR 73157)
34-79122
Oct. 19, 2016
SR-DTC-2016-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow DTC To Automate the Process for Participants To Submit Eligibility Requests for Older Issues Comments Due: Exhibit 5 Federal Register version (81 FR 73450)
34-79108
Oct. 18, 2016
SR-NYSEMKT-2016-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 6A-Equities and NYSE MKT Rule 6-Equities Comments Due: Exhibit 5 Federal Register version (81 FR 73182)
34-79114
Oct. 18, 2016
SR-NYSEMKT-2016-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Article IV, Section 4.05 of the Ninth Amended and Restated Operating Agreement of the Exchange Comments Due: Exhibit 5 Federal Register version (81 FR 73177)
34-79107
Oct. 18, 2016
SR-NYSEArca-2016-130
Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rules 7.35 (Auctions), 7.10 (Clearly Erroneous Executions), 7.31 (Orders and Modifiers), and 7.11 (Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility) Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79480 Federal Register version (81 FR 73159)
34-79115
Oct. 18, 2016
SR-NYSE-2016-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Article IV, Section 4.05 of the Tenth Amended and Restated Operating Agreement of the Exchange Comments Due: View Received Comments Exhibit 5 Federal Register version (81 FR 73187)
34-79116
Oct. 18, 2016
SR-FINRA-2016-027
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Reporting of Transactions in U.S. Treasury Securities to TRACE Comments Due: Rel. No. 34-78359 Federal Register version (81 FR 73167)
34-79110
Oct. 18, 2016
SR-CBOE-2016-064
Notice of Withdrawal of Proposed Rule Change Relating to SPX Combo Orders Comments Due: Rel. No. 34-78885 Federal Register version (81 FR 73182)
34-79106
Oct. 17, 2016
SR-NYSE-2016-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Eliminate Take Fees for Bonds Executed on the NYSE BondsSM Comments Due: Exhibit 5 Federal Register version (81 FR 72842)
34-79105
Oct. 17, 2016
SR-NASDAQ-2016-133
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Specialized Quote Feed Port Fees Comments Due: Exhibit 5 Federal Register version (81 FR 72844)
34-79103
Oct. 14, 2016
SR-BatsBZX-2016-60
Notice of Filing of a Proposed Rule Change to Bats BZX Rule 14.13, Company Listing Fees, and to the Bats BZX Fee Schedule; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-80461 Federal Register version (81 FR 72624)
34-79101
Oct. 14, 2016
SR-NYSEArca-2016-131
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the Virtus Enhanced U.S. Equity ETF Under Commentary .01 to NYSE Arca Equities Rule 5.2(j)(3) Comments Due: Rel. No. 34-79402 Federal Register version (81 FR 72630)
34-79100
Oct. 14, 2016
SR-ISE-2016-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (81 FR 72636)
34-79092
Oct. 13, 2016
SR-BatsBZX-2016-48
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust Comments Due: View Received Comments Rel. No. 34-79381 , Rel. No. 34-78666 Federal Register version (81 FR 72141)
34-79096
Oct. 13, 2016
SR-OCC-2016-802
Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Escrow Deposit Program Comments Due: Rel. No. 34-78834 Federal Register version (81 FR 72138)
34-79089
Oct. 13, 2016
SR-NYSEMKT-2016-91
Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 72133)
34-79090
Oct. 13, 2016
SR-BatsEDGX-2016-55
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 72135)
34-79091
Oct. 13, 2016
SR-BatsEDGX-2016-57
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc. Options Platform Comments Due: Exhibit 5 Federal Register version (81 FR 72131)
34-79087
Oct. 12, 2016
SR-Phlx-2016-86
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Delete or Amend Rule Language Relating to Specialists and Registered Options Traders Comments Due: Rel. No. 34-78680 , Rel. No. 34-79249 Federal Register version (81 FR 71776)
34-79088
Oct. 12, 2016
SR-DTC-2016-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify Certain Rules Provisions Relating to Pledges Comments Due: Exhibit 5 Federal Register version (81 FR 71774)
34-79086
Oct. 12, 2016
SR-CBOE-2016-072
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 71772)
34-79080
Oct. 11, 2016
SR-Phlx-2016-100
Notice of Filing of Proposed Rule Change To Amend the Pricing Schedule at Section IV, Part B titled "Flex Transaction Fees" Comments Due: Exhibit 5 Federal Register version (81 FR 71556)
34-79078
Oct. 11, 2016
SR-NYSEArca-2016-135
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules To Remove Definitions and Trading Rules That Are No Longer Operative After the Completed Full Migration of All Symbols to the Pillar Trading Platform Comments Due: Exhibit 5 Federal Register version (81 FR 71559)
34-79081
Oct. 11, 2016
SR-NASDAQ-2016-135
Notice of Filing of Proposed Rule Change To Amend the Continued Listing Requirements for Exchange-Traded Products Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79784 , Rel. No. 34-79399 Federal Register version (81 FR 71548)
34-79082
Oct. 11, 2016
SR-NASDAQ-2016-134
Notice of Filing of Proposed Rule Change To List and Trade Exchange-Traded Managed Funds Comments Due: View Received Comments Rel. No. 34-79377 Federal Register version (81 FR 71549)
34-79070
Oct. 7, 2016
SR-BatsBZX-2016-66
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 71146)
34-79073
Oct. 7, 2016
SR-Phlx-2016-97
Notice of Filing of Proposed Rule Change To Delete Outdated or Unnecessary Rule Language Comments Due: Exhibit 5 , Rel. No. 34-79073 Federal Register version (81 FR 71153)
34-79074
Oct. 7, 2016
SR-Phlx-2016-92
Notice of Filing of Partial Amendment Nos. 1, 2 and 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment Nos. 1, 2 and 3, to System Functionality Necessary to Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Amendment 1 Exhibit 5 , Amendment 2 Exhibit 5 , Rel. No. 34-78835 Federal Register version (81 FR 71123)
34-79068
Oct. 7, 2016
SR-NYSEArca-2016-136
Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.35P To Provide for Widened Price Collar Thresholds for the Core Open Auction on Volatile Trading Days Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79714 , Rel. No. 34-79388 Federal Register version (81 FR 71127)
34-79071
Oct. 7, 2016
SR-NYSE-2016-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .20 to Rule 103 Comments Due: Exhibit 5 Federal Register version (81 FR 70723)
34-79076
Oct. 7, 2016
SR-BX-2016-050
Notice of Filing of Partial Amendment Nos. 1 and 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment Nos. 1 and 3, to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Amendment 1 Exhibit 5 , Amendment 3 Exhibit 5 , Rel. No. 34-78838 Federal Register version (81 FR 71150)
34-79075
Oct. 7, 2016
SR-NASDAQ-2016-126
Notice of Filing of Partial Amendment Nos. 1, 2 and 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment Nos. 1, 2 and 3, to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: View Received Comments Amendment 1 Exhibit 5 , Amendment 2 Exhibit 5 , Rel. No. 34-78837 Federal Register version (81 FR 71143)
34-79059
Oct. 6, 2016
SR-ISEMercury-2016-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Current Billing Practice With Respect to Billing Disputes Comments Due: Exhibit 5 Federal Register version (81 FR 70726)
34-79060
Oct. 6, 2016
SR-ISEGemini-2016-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to a Proposal To Amend a Current Billing Practice With Respect to Billing Disputes Comments Due: Exhibit 5 Federal Register version (81 FR 70716)
34-79064
Oct. 6, 2016
SR-BatsBZX-2016-64
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees To Make a Clarifying Change Related to the Tape B Quoting Tier Comments Due: Exhibit 5 Federal Register version (81 FR 70718)
34-79062
Oct. 6, 2016
SR-NYSEArca-2016-64
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the AdvisorShares KIM Korea Equity ETF Comments Due: View Received Comments Rel. No. 34-78614 , Rel. No. 34-78240 , Rel. No. 34-77847 Federal Register version (81 FR 70722)
34-79063
Oct. 6, 2016
SR-NYSEArca-2016-132
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 70719)
34-79061
Oct. 6, 2016
SR-ISE-2016-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Current Billing Practice With Respect to Billing Disputes Comments Due: Exhibit 5 Federal Register version (81 FR 70721)
34-79057
Oct. 6, 2016
4-705
Notice of Filing and Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc., Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., and Bats EDGX Exchange, Inc. Comments Due: Federal Register version (81 FR 70728)
34-79047
Oct. 5, 2016
SR-Phlx-2016-96
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Floor Procedure Advice F-1, Entitled "Use of Identification Letters and Numbers." Comments Due: Exhibit 5 Federal Register version (81 FR 70447)
34-79054
Oct. 5, 2016
SR-NYSEArca-2016-137
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Revise the Requirements for the Current Step Up Tier Comments Due: Exhibit 5 Federal Register version (81 FR 70473)
34-79051
Oct. 5, 2016
SR-NYSE-2016-55
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Adopting Maximum Fees Member Organizations May Charge in Connection With the Distribution of Investment Company Shareholder Reports Pursuant to Any Electronic Delivery Rules Adopted by the Securities and Exchange Commission Comments Due: View Received Comments Rel. No. 34-79370 , Rel. No. 34-78589 , 34-79355 Federal Register version (81 FR 70449)
34-79049
Oct. 5, 2016
SR-Nasdaq-2016-120
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt the Third Party Connectivity Service Under Rules 7034(b) and 7051 Comments Due: View Received Comments Rel. No. 34-80098 , Rel. No. 34-78713 , Rel. No. 34-79431 , Rel. No. 34-80558 Federal Register version (81 FR 70452)
34-79048
Oct. 5, 2016
SR-MIAX-2016-35
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 503 Openings on the Exchange and Rule 603 Obligations of Market Makers Comments Due: Exhibit 5 Federal Register version (81 FR 70453)
34-79050
Oct. 5, 2016
SR-FINRA-2016-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees and Transaction Credits for the FINRA/NYSE Trade Reporting Facility Comments Due: View Received Comments Exhibit 3 , Exhibit 5 Federal Register version (81 FR 70462)
34-79046
Oct. 5, 2016
SR-DTC-2016-008
Notice of Filing of Proposed Rule Change Relating to Processing of Transactions in Money Market Instruments Comments Due: Exhibit 5 , Rel. No. 34-79764 , Rel. No. 34-79351 Federal Register version (81 FR 70200)
34-79039
Oct. 4, 2016
SR-BatsBZX-2016-62
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 22.3, Continuing Options Market Maker Registration Comments Due: Exhibit 5 Federal Register version (81 FR 70205)
34-79034
Oct. 4, 2016
SR-NYSEArca-2016-134
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.16P Comments Due: Exhibit 5 Federal Register version (81 FR 70226)
34-79035
Oct. 4, 2016
SR-NASDAQ-2016-124
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7046 Comments Due: Exhibit 5 Federal Register version (81 FR 70207)
34-79036
Oct. 4, 2016
SR-IEX-2016-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Implement the Quoting and Trading Provisions of the Tick Size Pilot Program and To Describe Related Changes to IEX System Functionality Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 70216)
34-79037
Oct. 4, 2016
SR-BOX-2016-46
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Controversial Amendments to Its Rules Comments Due: Exhibit 5 Federal Register version (81 FR 70224)
34-79038
Oct. 4, 2016
SR-BOX-2016-47
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Adopt Participant Fees on the BOX Market LLC ("BOX") Options Facility Comments Due: Exhibit 5 Federal Register version (81 FR 70214)
34-79040
Oct. 4, 2016
SR-BOX-2016-49
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 (81 FR 70222)
34-79041
Oct. 4, 2016
SR-BatsEDGX-2016-53
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 22.3, Continuing Options Market Maker Registration, of Bats EDGX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 70198)
34-79027
Oct. 3, 2016
SR-CHX-2016-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules To Describe Changes Necessary To Implement the Tick Size Pilot Program Comments Due: Exhibit 5 , Exemptive Letter Federal Register version (81 FR 69889)
34-79023
Oct. 3, 2016
SR-Phlx-2016-82
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt a New Exception in Exchange Rule 1000(f) for Sub-MPV Split-Priced Orders Comments Due: Rel. No. 34-79345 , Rel. No. 34-78593 Federal Register version (81 FR 69877)
34-79024
Oct. 3, 2016
SR-Phlx-2016-79
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 1017, Openings in Options Comments Due: View Received Comments Rel. No. 34-78588 Federal Register version (81 FR 69892)
34-79028
Oct. 3, 2016
SR-OCC-2016-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise The Options Clearing Corporation's Schedule of Fees Comments Due: View Received Comments Exhibit 5 , Exhibit 5 Federal Register version (81 FR 69885)
34-79029
Oct. 3, 2016
SR-NYSEMKT-2016-83
Notice of Filing of Partial Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 2, To Amend Rule 67-Equities Relating to the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78803 Federal Register version (81 FR 69874)
34-79030
Oct. 3, 2016
SR-NYSE-2016-62
Notice of Filing of Partial Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 2, To Amend Rule 67 Relating to the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-78802 Federal Register version (81 FR 69878)
34-79025
Oct. 3, 2016
SR-NASDAQ-2016-106
Notice of Filing of Proposed Rule Change To Modify Rule IM-5900-7 To Adjust the Entitlement to Services of Acquisition Companies Comments Due: Exhibit 5 , Rel. No. 34-79366 Federal Register version (81 FR 69881)
34-79026
Oct. 3, 2016
SR-FINRA-2016-038
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6191 To Modify the Quoting and Trading Requirements Relating to the Block Size Exception and the Use of Intermarket Sweep Orders and Trade-at Intermarket Sweep Orders Comments Due: Exhibit 5 Federal Register version (81 FR 69893)
34-79012
Sept. 30, 2016
SR-ISEMercury-2016-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule 209 Comments Due: Exhibit 5 Federal Register version (81 FR 69565)
34-79013
Sept. 30, 2016
SR-ISEGemini-2016-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule 209 Comments Due: Exhibit 5 Federal Register version (81 FR 69556)
34-79017
Sept. 30, 2016
SR-NYSEARCA-2016-123
Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, Amending Rule 7.46 Relating to the Exchange's Order Types To Implement the Tick Size Pilot Program Comments Due: View Received Comments Exhibit 5 , Partial Amenndment No. 1 , Rel. No. 34-78801 Federal Register version (81 FR 69562)
34-79014
Sept. 30, 2016
SR-ISE-2016-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule 213 Comments Due: Exhibit 5 Federal Register version (81 FR 69560)
34-78984
Sept. 29, 2016
SR-SCCP-2016-01
Notice of Filing of Proposed Rule Change To Amend the By-Laws of Nasdaq, Inc. To Implement Proxy Access Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79357 Federal Register version (81 FR 69093)
34-78982
Sept. 29, 2016
SR-BSECC-2016-001
Notice of Filing of Proposed Rule Change To Amend the By-Laws of Nasdaq, Inc. To Implement Proxy Access Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79357 Federal Register version (81 FR 69159)
34-78980
Sept. 29, 2016
SR-ISEMercury-2016-16
Notice of Filing of Proposed Rule Change To Amend the By-Laws of Nasdaq, Inc. To Implement Proxy Access Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79357 Federal Register version (81 FR 69127)
34-78981
Sept. 29, 2016
SR-ISEGemini-2016-10
Notice of Filing of Proposed Rule Change To Amend the By-Laws of Nasdaq, Inc. To Implement Proxy Access Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79357 Federal Register version (81 FR 69165)
34-78987
Sept. 29, 2016
SR-NSX-2016-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 11.11 and 11.26 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 69123)
34-78978
Sept. 29, 2016
SR-PHLX-2016-93
Notice of Filing of Proposed Rule Change To Amend the By-Laws of Nasdaq, Inc. To Implement Proxy Access Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79357 Federal Register version (81 FR 69133)
34-78983
Sept. 29, 2016
SR-OCC-2016-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Amendments to and the Restatement of OCC's Certificate of Incorporation Comments Due: Exhibit 5 , Exhibit 5 Federal Register version (81 FR 69100)
34-78986
Sept. 29, 2016
SR-BX-2016-051
Notice of Filing of Proposed Rule Change To Amend the By-Laws of Nasdaq, Inc. to Implement Proxy Access Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79357 Federal Register version (81 FR 69152)
34-78977
Sept. 29, 2016
SR-NASDAQ-2016-132
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq's Fees and Credits at Rules 7014 and 7018 Comments Due: Exhibit 5 Federal Register version (81 FR 69140)
34-78979
Sept. 29, 2016
SR-NASDAQ-2016-127
Notice of Filing of Proposed Rule Change To Amend the By-Laws of Nasdaq, Inc. To Implement Proxy Access Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79357 Federal Register version (81 FR 69145)
34-78974
Sept. 29, 2016
SR-MIAX-2016-34
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519C, Mass Cancellation of Trading Interest Comments Due: Exhibit 5 Federal Register version (81 FR 69090)
34-78985
Sept. 29, 2016
SR-ISE-2016-22
Notice of Filing of Proposed Rule Change To Amend the By-Laws of Nasdaq, Inc. To Implement Proxy Access Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79357 Federal Register version (81 FR 69102)
34-78988
Sept. 29, 2016
SR-BatsEDGX-2016-41
Notice of Filing of a Proposed Rule Change Related to the Exchange's Equity Options Platform To Adopt a Price Improvement Auction, the Bats Auction Mechanism Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-79718 , Rel. No. 34-79339 Federal Register version (81 FR 69172)
34-78960
Sept. 28, 2016
SR-NSX-2016-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.26 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program Comments Due: Exhibit 5 Federal Register version (81 FR 68476)
34-78964
Sept. 28, 2016
SR-BatsBZX-2016-59
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update BZX Rules 21.1, 21.7 and 21.9 To Align the Exchange's Rules and Functionality Applicable to the Exchange's Options Platform, BZX Options, With the Exchange's Affiliated Options Platform, EDGX Options, Which Is Operated by Bats EDGX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (81 FR 68493)
34-78959
Sept. 28, 2016
SR-NYSEMKT-2016-71
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 8313 Relating to the Exchange's Ability To Publicly Release Disciplinary Complaints, Decisions and Other Information Modeled on the Text of FINRA Rule 8313; Amending Rules and Adopting a New Rule 9291 Relating to the Imposition of Temporary or Permanent Cease and Desist Orders To Correspond to Recent Amendments by FINRA; and Making Certain Technical and Conforming Changes to Rule 9310 Comments Due: Exhibit 5 Federal Register version (81 FR 68481)
34-78968
Sept. 28, 2016
SR-NYSEMKT-2016-63
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees Comments Due: View Received Comments Rel. No. 34-80309 , Rel. No. 34-79672 , Rel. No. 34-79378 , Rel. No. 34-78629 , Rel. No. 34-80077 Federal Register version (81 FR 68493)
34-78967
Sept. 28, 2016
SR-NYSEArca-2016-89
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees Comments Due: View Received Comments Rel. No. 34-80310 , Rel. No. 34-80076 , Rel. No. 34-79673 , Rel. No. 34-79379 , Rel. No. 34-78628 Federal Register version (81 FR 68480)
34-78966
Sept. 28, 2016
SR-NYSE-2016-45
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees Comments Due: View Received Comments Rel. No. 34-80311 , Rel. No. 34-80002 , Rel. No. 34-79674 , Rel. No. 34-79316 , Rel. No. 34-78887 , Rel. No. 34-78556 Federal Register version (81 FR 68475)
34-78965
Sept. 28, 2016
SR-FINRA-2016-032
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) To Require Members To Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities Comments Due: View Received Comments Rel. No. 34-79346 , Rel. No. 34-78573 Federal Register version (81 FR 68492)
34-78951
Sept. 27, 2016
SR-NYSEMKT-2016-15
Notice of Withdrawal of a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as Well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Reflect the Changes Comments Due: View Received Comments Notice Release No. 34-78389 , Rel. No. 34-77978 , Rel. No. 34-77640 Federal Register version (81 FR 68086)
34-78949
Sept. 27, 2016
SR-NYSEArca-2016-107
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of Cumberland Municipal Bond ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-78523 , Rel. No. 34-79293 Federal Register version (81 FR 68078)
34-78952
Sept. 27, 2016
SR-NYSEARCA-2016-19
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-Location Section of the Fee Schedule To Reflect the Changes Comments Due: View Received Comments Rel. No. 34-78388 , Rel. No. 34-77977 , Rel. No. 34-77641 Federal Register version (81 FR 68086)
34-78953
Sept. 27, 2016
SR-NYSE-2016-11
Notice of Withdrawal of a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as Well as Amending the NYSE Price List To Reflect the Changes Comments Due: View Received Comments Rel. No. 34-78387 , Rel. No. 34-77976 , Rel. No. 34-77642 Federal Register version (81 FR 68083)
34-78950
Sept. 27, 2016
SR-MIAX-2016-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 68084)
34-78945
Sept. 27, 2016
SR-IEX-2016-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Optional Risk Management Controls Comments Due: Exhibit 5 Federal Register version (81 FR 68081)
34-78954
Sept. 27, 2016
SR-CBOE-2016-069
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Nonstandard Expirations Pilot Program To Permit New Series To Be Added Up to and Including on the Expiration Date Comments Due: Exhibit 5 Federal Register version (81 FR 68071)
34-78946
Sept. 27, 2016
SR-BOX-2016-45
Notice of Filing of Proposed Rule Change To Amend the Treatment of Quotes To Provide That All Quotes on BOX Are Liquidity Adding Only Comments Due: Exhibit 5 , Rel. No. 34-79311 Federal Register version (81 FR 68069)
34-78931
Sept. 26, 2016
SR-NSX-2016-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule To Create a Liquidity-Adding Volume Threshold To Benefit From the Current Liquidity Taking Fee in Securities Priced $1.00 or Greater Comments Due: Exhibit 5 Federal Register version (81 FR 67412)
34-78935
Sept. 26, 2016
SR-DTC-2016-005
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Implementation of Functionality To Submit a Cover of Protect on Behalf of Another Participant and the Removal of the Option To Cover of Protect Directly With Agent Comments Due: Rel. No. 34-78520 Federal Register version (81 FR 67406)
34-78930
Sept. 26, 2016
SR-CBOE-2016-070
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Schedule Comments Due: Exhibit 5 Federal Register version (81 FR 67408)
