NYSE Arca Rulemaking
We encourage the public to submit comments on the following NYSE Arca filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
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Second Quarter |
First Quarter
NYSE Arca File Number List for 2020
Additional Archives
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Chronological List for 2020
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| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-NYSEArca-2020-100 | ||
| 34-90529 | Nov. 30, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Perth Mint Physical Gold ETF
Comments due: 21 days after publication in the Federal Register |
| SR-NYSEArca-2020-80 | ||
| 34-90528 | Nov. 30, 2020 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of Alger Mid Cap 40 ETF and Alger 25 ETF under Rule 8.900-E |
| SR-NYSEArca-2020-98 | ||
| 34-90443 | Nov. 17, 2020 | Notice of Filing of Proposed Rule Change Regarding the Availability of Information for the iShares Gold Trust, the iShares Silver Trust under NYSE Arca Rule 8.201-E and the iShares S&P GSCI Commodity-Indexed Trust under Rule 8.203-E
Comments due: 21 days after publication in the Federal Register |
| SR-NYSEArca-2020-84 | ||
| 34-90418 | Nov. 13, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Arca Rule 8.900-E to Adopt Generic Listing Standards for Managed Portfolio Shares |
| SR-NYSEArca-2020-96 | ||
| 34-90414 | Nov. 13, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule regarding the Criteria to Qualify for a Posting Credit on certain Customer Volume
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-95 | ||
| 34-90409 | Nov. 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca BBO and NYSE Arca Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE Arca Trades by Adopting a Waiver Applicable to the Redistribution Fee
Comments due: December 9, 2020 Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 3d, Exhibit 5 |
| SR-NYSEArca-2020-97 | ||
| 34-90334 | Nov. 4, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges to Adopt an Alternative Method to Qualify for the Tier 2 Pricing Tier
Comments due: December 1, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-82 | ||
| 34-90326 | Nov. 3, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Exchange's Co-Location Services to Establish Procedures for the Allocation of Cabinets to its Co-Located Users |
| SR-NYSEArca-2020-94 | ||
| 34-90323 | Nov. 3, 2020 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the AdvisorShares Q Portfolio Blended Allocation ETF and AdvisorShares Q Dynamic Growth ETF under Rule 8.900-E
Comments due: November 30, 2020 |
| SR-NYSEArca-2020-92 | ||
| 34-90311 | Nov. 2, 2020 | Notice of Filing of Proposed Rule Change to Amend Rule 7.31-E
Comments due: November 27, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-77 | ||
| 34-90296 | Oct. 30, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rule 8.601-E to Adopt Generic Listing Standards for Active Proxy Portfolio Shares |
| SR-NYSEArca-2020-54 | ||
| 34-90297 | Oct. 30, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rule 5.3-E to Exempt Registered Investment Companies that List Certain Categories of the Securities Defined as Derivative and Special Purpose Securities under NYSE Arca Rules From Having to Obtain Shareholder Approval Prior to the Issuance of Securities in Connection with Certain Acquisitions of the Stock or Assets of an Affiliated Company |
| SR-NYSEArca-2020-80 | ||
| 34-90286 | Oct. 29, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Alger Mid Cap 40 ETF and Alger 25 ETF under Rule 8.900-E, Managed Portfolio Shares |
| SR-NYSEArca-2020-93 | ||
| 34-90266 | Oct. 23, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: November 19, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-59 | ||
| 34-90216 | Oct. 16, 2020 | 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 Rule 8.201-E (Commodity-Based Trust Shares) and to Permit the Listing and Trading of Shares of the Wilshire wShares Enhanced Gold Trust Under Amended NYSE Arca Rule 8.201-E
Comments due: November 12, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-08 and SR-NYSEArca-2020-15 | ||
| 34-90209 | Oct. 15, 2020 | Notice of Filings of Partial Amendment No. 3 and Order Granting Accelerated Approval to Proposed Rule Changes, each as Modified by Partial Amendment No. 3, to Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections
Comments due: November 12, 2020 Additional File Nos.: SR-NYSE-2020-05, SR-NYSEAMER-2020-05, SR-NYSEArca-2020-08, SR-NYSECHX-2020-02, SR-NYSENAT-2020-03, SR-NYSE-2020-11, SR-NYSEAMER-2020-10, SR-NYSECHX-2020-05, SR-NYSENAT-2020-08 |
| SR-NYSEArca-2020-90 | ||
| 34-90191 | Oct. 15, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee
Comments due: November 12, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-88 | ||
| 34-90155 | Oct. 13, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10-E
Comments due: November 9, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-89 | ||
| 34-90136 | Oct. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 7.12-E
Comments due: November 4, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2020-87 | ||
| 34-90113 | Oct. 7, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Temporary Commentary .10 under NYSE Arca Rule 2.1210
Comments due: November 4, 2020 |
| SR-NYSEArca-2020-84 | ||
| 34-90104 | Oct. 7, 2020 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Arca Rule 8.900-E to Adopt Generic Listing Standards for Managed Portfolio Shares
Comments due: November 3, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2020-85 | ||
| 34-90088 | Oct. 5, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Rules 10.9261 and 10.9830 with Recent Changes by the Financial Industry Regulatory Authority, Inc.
Comments due: October 30, 2020 |
| SR-NYSEArca-2020-56 | ||
| 34-90075 | Oct. 2, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E, and 8.900-E
Comments due: October 29, 2020 Rebuttal comments due: November 12, 2020 |
| Third Quarter | ||
| SR-NYSEArca-2020-46 | ||
| 34-89898 | Sep. 16, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities
Comments due: October 13, 2020 Rebuttal comments due: October 27, 2020 |
| SR-NYSEArca-2020-82 | ||
| 34-89883 | Sep. 16, 2020 | Notice of Filing of Proposed Rule Change to Establish Procedures for the Allocation of Cabinets to its Co-Located Users
Comments due: October 13, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-80 | ||
| 34-89869 | Sep. 15, 2020 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the Alger Mid Cap 40 ETF and Alger 25 ETF under Rule 8.900-E, Managed Portfolio Shares
Comments due: October 13, 2020 Comments received are available for this proposal. |
| SR-NYSEArca-2020-77 | ||
| 34-89874 | Sep. 15, 2020 | Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 8.601-E to Adopt Generic Listing Standards for Active Proxy Portfolio Shares
Comments due: October 13, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-54 | ||
| 34-89834 | Sep. 11, 2020 | Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 5.3-E to Exempt Issuers of Certain Derivative and Special Purpose Securities From Having to Obtain Shareholder Approval Prior to the Issuance of Securities in Connection with Certain Acquisitions of the Stock or Assets of an Affiliated Company
Comments due: October 8, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-83 | ||
| 34-89824 | Sep. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37-E to Update the Exchange's Source of Data Feeds from MIAX PEARL, LLC
Comments due: October 7, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020- 81 | ||
| 34-89797 | Sep. 9, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: October 6, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-78 | ||
| 34-89787 | Sep. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: October 5, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-79 | ||
| 34-89741 | Sep. 2, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: September 29, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-59 | ||
| 34-89724 | Sep. 1, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and to Permit the Listing and Trading of Shares of the United States Gold and Treasury Investment Trust Under NYSE Arca Rule 8.201-E |
| SR-NYSEArca-2020-76 | ||
| 34-89694 | Aug. 27, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: September 23, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-48 | ||
| 34-89663 | Aug. 25, 2020 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of Gabelli ETFs under Rule 8.900-E, Managed Portfolio Shares |
| SR-NYSEArca-2020-74 | ||
| 34-89652 | Aug. 25, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Waiver of the Co-location Hot Hands Fee
Comments due: September 21, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-77 | ||
| 34-89608 | Aug. 19, 2020 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the AdvisorShares Pure US Cannabis ETF under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2020-75 | ||
| 34-89607 | Aug. 18, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges
Comments due: September 14, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-56 | ||
| 34-89584 | Aug. 17, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E, and 8.900-E |
| SR-NYSEArca-2020-08 | ||
| 34-89532 | Aug. 12, 2020 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendment No. 1, to Establish a Schedule of Wireless Connectivity Fees and Charges with Wireless Connections between the Mahwah, New Jersey Data Center and Other Data Centers
Additional File Nos.: SR-NYSE-2020-05, SR-NYSEAMER-2020-05, SR-NYSECHX-2020-02, SR-NYSENAT-2020-03 |
| SR-NYSEArca-2020-15 | ||
| 34-89531 | Aug. 12, 2020 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendment No. 1, to Amend the Schedule of Wireless Connectivity Fees and Charges to Add Wireless Connectivity Services
Additional File Nos.: SR-NYSE-2020-11, SR-NYSEAMER-2020-10, SR-NYSECHX-2020-05, SR-NYSENAT-2020-08 |
| SR-NYSEArca-2020-72 | ||
| 34-89511 | Aug. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Certain Changes Regarding the Underlying Benchmark for the ProShares Ultra Bloomberg Crude Oil ETF and ProShares UltraShort Bloomberg Crude Oil ETF
Comments due: September 4, 2020 |
| SR-NYSEArca-2020-69 | ||
| 34-89480 | Aug. 5, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: September 1, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-15 | ||
| 34-89460 | Aug. 3, 2020 | Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change to Amend the Schedule of Wireless Connectivity Fees and Charges to Add Wireless Connectivity Services
Comments due: August 28, 2020 Additional Materials: Exhibit 4a, Exhibit 4b, Exhibit 5a, Exhibit 5b |
| SR-NYSEArca-2020-08 | ||
| 34-89455 | Aug. 3, 2020 | Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change to Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Associated Fees
Comments due: August 28, 2020 Additional Materials: Exhibit 4a, Exhibit 4b, Exhibit 5a, Exhibit 5b |
| SR-NYSEArca-2020-51 | ||
| 34-89438 | Jul. 31, 2020 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of Natixis Vaughan Nelson Select ETF and Natixis Vaughan Nelson MidCap ETF under NYSE Arca Rule 8.601-E |
| SR-NYSEArca-2020-71 | ||
| 34-89432 | Jul. 30, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Rule 11.6800 Series
Comments due: August 26, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-70 | ||
| 34-89427 | Jul. 30, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.8-O to Increase Position Limits for Options on Certain Exchange-Traded Funds
Comments due: August 26, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-66 | ||
| 34-89415 | Jul. 28, 2020 | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations in Rule 10.9217
Comments due: August 24, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-46 | ||
| 34-89412 | Jul. 28, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities |
| SR-NYSEArca-2020-67 | ||
| 34-89387 | Jul. 23, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37-E to Add the Data Source for MEMX
Comments due: August 19, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-61 | ||
| 34-89366 | Jul. 21, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1.1 to Include Active Proxy Portfolio Shares, Tracking Fund Shares, Proxy Portfolio Shares, and Index Fund Shares
Comments due: August 17, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-68 | ||
| 34-89359 | Jul. 21, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update the NYSE Arca Options Fee Schedule
Comments due: August 17, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-59 | ||
| 34-89310 | Jul. 14, 2020 | Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and to Permit the Listing and Trading of Shares of the United States Gold and Treasury Investment Trust Under NYSE Arca Rule 8.201-E
Comments due: August 10, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2020-48 | ||
| 34-89279 | Jul. 9, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of Gabelli ETFs under Rule 8.900-E, Managed Portfolio Shares |
| SR-NYSEArca-2020-62 | ||
| 34-89274 | Jul. 9, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Charges to Adopt Listing and Annual Fees for Actively Managed Proxy Shares Listed under Rule 8.601-E and Managed Portfolio Shares Listed under Rule 8.900-E
Comments due: August 5, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-64 | ||
| 34-89255 | Jul. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-60 | ||
| 34-89242 | Jul. 7, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| Second Quarter | ||
| SR-NYSEArca-2020-56 | ||
| 34-89197 | Jun. 30, 2020 | Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E and 8.900-E
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-96 | ||
| 34-89192 | Jun. 30, 2020 | Notice of Filing of Amendment No. 5 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 5, to List and Trade Two Series of Active Proxy Portfolio Shares Issued by the American Century ETF Trust Under NYSE Arca Rule 8.601-E
Comments due: 21 days after publication in the Federal Register |
| SR-NYSEArca-2019-92 | ||
| 34-89191 | Jun. 30, 2020 | Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Four Series of Active Proxy Portfolio Shares Issued by T. Rowe Price Exchange-Traded Funds, Inc. Under NYSE Arca Rule 8.601-E
Comments due: 21 days after publication in the Federal Register |
| SR-NYSEArca-2020-58 | ||
| 34-89174 | Jun. 29, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Waiver of the Co-location Hot Hands Fee
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-95 | ||
| 34-89185 | Jun. 29, 2020 | Notice of Filing of Amendment No. 6 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 6, to Adopt NYSE Arca Rule 8.601-E to Permit the Listing and Trading of Active Proxy Portfolio Shares and To List and Trade Shares of the Natixis U.S. Equity Opportunities ETF Under Proposed NYSE Arca Rule 8.601-E
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-51 | ||
| 34-89127 | Jun. 23, 2020 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Relating to the Listing and Trading of the Shares of Natixis Vaughan Nelson Select ETF and Natixis Vaughan Nelson MidCap ETF under Proposed NYSE Arca Rule 8.601-E
Comments due: July 20, 2020 Comments received are available for this proposal. |
| SR-NYSEArca-2020-57 | ||
| 34-89129 | Jun. 23, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Permit the Continued Listing and Trading of the WisdomTree Mortgage Plus Bond Fund
Comments due: July 20, 2020 |
| SR-NYSEArca-2020-01 | ||
| 34-89107 | Jun. 19, 2020 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, to Amend Consolidated Audit Trail Compliance Rules
Comments due: July 16, 2020 |
| SR-NYSEArca-2020-46 | ||
| 34-89073 | Jun. 16, 2020 | Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities
Comments due: July 13, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-37 | ||
| 34-89068 | Jun. 15, 2020 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Make Certain Changes Regarding the Investments of the PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund |
| SR-NYSEArca-2020-55 | ||
| 34-89061 | Jun. 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule Regarding Pricing Incentives for Certain Posted Volume
Comments due: July 9, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-77 | ||
| 34-89057 | Jun. 12, 2020 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the AdvisorShares Pure US Cannabis ETF under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2020-52 | ||
| 34-89038 | Jun. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: July 7, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-31 | ||
| 34-89008 | Jun. 4, 2020 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to Modify Rule 6.60-O Regarding the Treatment of Orders Subject to Trade Collar Protection |
| SR-NYSEArca-2020-49 | ||
| 34-88980 | Jun. 1, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services
Comments due: June 26, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-48 | ||
| 34-88970 | May 28, 2020 | Notice of Filing of Proposed Rule Change to List and Trade Shares of Gabelli ETFs under Rule 8.900-E, Managed Portfolio Shares
Comments due: June 24, 2020 Comments received are available for this proposal. |
| SR-NYSEArca-2020-47 | ||
| 34-88961 | May 27, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Waiver of the Co-location Hot Hands Fee
Comments due: June 23, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-50 | ||
| 34-88943 | May 26, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6.72-O to Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due: June 22, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-07 | ||
| 34-88924 | May 21, 2020 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E
Comments due: June 18, 2020 |
| SR-NYSEArca-2020-42 | ||
| 34-88912 | May 20, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Representations Relating to the Redemption Procedures Applicable to the Sprott Physical Gold Trust and the Sprott Physical Silver Trust
Comments due: June 17, 2020 |
| SR-NYSEArca-2020-43 | ||
| 34-88904 | May 19, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Rules to Add New Rule 7.19-E
Comments due: June 16, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-08 and SR-NYSEArca-2020-15 | ||
| 34-88901 | May 18, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections and Associated Fees
Comments due: June 12, 2020 Rebuttal comments due: June 26, 2020 Additional File Nos.: SR-NYSE-2020-05, SR-NYSEAMER-2020-05, SR-NYSEArca-2020-08, SR-NYSECHX-2020-02, SR-NYSENAT-2020-03, SR-NYSEAMER-2020-10, SR-NYSEArca-2020-15, SR-NYSECHX-2020-05, SR-NYSENAT- 2020-08 Comments received are available for SR-NYSEArca-2020-08. Comments received are available for SR-NYSEArca-2020-15. |
| SR-NYSEArca-2020-44 | ||
| 34-88873 | May 14, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule Regarding Pricing Incentives for Certain Posted Volume
Comments due: June 10, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-61 | ||
| 34-88837 | May 7, 2020 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Exchanges' Co-Location Services to Offer Co-Location Users Access to the NMS Network
Additional File Nos.: SR-NYSE-2019-46, SR-NYSENAT-2019-19, SR-NYSEAMER-2019-34 |
| SR-NYSEArca-2020-39 | ||
| 34-88833 | May 7, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: June 3, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-37 | ||
| 34-88822 | May 6, 2020 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Investments of the PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund
Comments due: June 2, 2020 Comments received are available for this proposal. |
| SR-NYSEArca-2020-38 | ||
| 34-88812 | May 5, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: June 1, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-17 | ||
| 34-88793 | May 1, 2020 | Order Granting Approval of Proposed Rule Changes Relating to Repricing of Depth-of-Book Orders In Response to a Locked or Crossed Market
Additional File Nos.: SR-NYSE-2020-13, SR-NYSENAT-2020-09, SR-NYSEAMER-2020-12, SR-NYSECHX-2020-06 |
| SR-NYSEArca-2020-35 | ||
| 34-88764 | Apr. 28, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Charges
Comments due: May 26, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-34 | ||
| 34-88761 | Apr. 28, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1.1 to Modify the Definition of "UTP Derivative Securities Product" and Rule 5.1-E(a) to Incorporate the Modified Definition of "UTP Exchange Traded Product"
Comments due: May 26, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-36 | ||
| 34-88755 | Apr. 27, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.40-O Relating to the Risk Limitation Mechanism
Comments due: May 22, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-31 | ||
| 34-88737 | Apr. 24, 2020 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, to Modify Rule 6.60-O Regarding the Treatment of Orders Subject to Trade Collar Protection
Comments due: May 21, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2020-07 | ||
| 34-88738 | Apr. 24, 2020 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E
Comments due: May 21, 2020 Rebuttal comments due: June 4, 2020 |
| SR-NYSEArca-2020-33 | ||
| 34-88709 | Apr. 21, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: May 18, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-01 | ||
| 34-88696 | Apr. 20, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the NYSE Arca Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: May 15, 2020 Rebuttal comments due: May 29, 2020 Comments received are available for this proposal. |
| SR-NYSEArca-2020-32 | ||
| 34-88648 | Apr. 15, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New NYSE Arca Rule 8.900-E
Comments due: May 12, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-81 | ||
| 34-88625 | Apr. 13, 2020 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Adopt NYSE Arca Rule 5.2-E(j)(8) Governing the Listing and Trading of Exchange-Traded Fund Shares
Comments due: May 8, 2020 |
| SR-NYSEArca-2020-28 | ||
| 34-88621 | Apr. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: May 6, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-30 | ||
| 34-88610 | Apr. 9, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37-E to Specify the Exchange's Source of Data Feeds from the Long-Term Stock Exchange, Inc.
Comments due: May 6, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-29 | ||
| 34-88596 | Apr. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: May 5, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-25 | ||
| 34-88590 | Apr. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10-E
Comments due: May 5, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-27 | ||
| 34-88576 | Apr. 7, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule
Comments due: May 4, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-15 | ||
| 34-88540 | Apr. 1, 2020 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Amend the Schedule of Wireless Connectivity Fees and Charges to Add Wireless Connectivity Services
Additional File Nos.: SR-NYSE-2020-11, SR-NYSECHX-2020-05, SR-NYSEAMER-2020-10, SR-NYSENAT-2020-08 |
| SR-NYSEArca-2020-08 | ||
| 34-88539 | Apr. 1, 2020 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Establish a Schedule of Wireless Connectivity Fees and Charges with Wireless Connections between the Mahwah, New Jersey Data Center and Other Data Centers
Additional File Nos.: SR-NYSE-2020-05, SR-NYSECHX-2020-02, SR-NYSEAMER-2020-05, SR-NYSENAT-2020-03 |
| First Quarter | ||
| SR-NYSEArca-2019-92 | ||
| 34-88535 | Apr. 1, 2020 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Four Series of Active Proxy Portfolio Shares Issued by T. Rowe Price Exchange-Traded Funds, Inc. Under Proposed NYSE Arca Rule 8.601-E Comments due: April 28, 2020 Rebuttal comments due: May 12, 2020 Comments received are available for this proposal. |
| SR-NYSEArca-2019-96 | ||
| 34-88534 | Apr. 1, 2020 | Notice of Filing of Amendment No. 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Two Series of Active Proxy Portfolio Shares Issued by the American Century ETF Trust Under Proposed NYSE Arca Rule 8.601-E
Comments due: April 28, 2020 Rebuttal comments due: May 12, 2020 Comments received are available for this proposal. |
| SR-NYSEArca-2019-95 | ||
| 34-88533 | Apr. 1, 2020 | Notice of Filing of Amendment No. 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to Adopt NYSE Arca Rule 8.601-E to Permit the Listing and Trading of Active Proxy Portfolio Shares and to List and Trade Shares of the Natixis ETF Under Proposed NYSE Arca Rule 8.601-E
Comments due: April 28, 2020 Rebuttal comments due: May 12, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2020-26 | ||
| 34-88520 | Mar. 31, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change for an Extension of the Temporary Waiver of the Co-location "Hot Hands" Fee
Comments due: April 27, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-21 | ||
| 34-88436 | Mar. 20, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: April 16, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-23 | ||
| 34-88414 | Mar. 18, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.12-E Concerning the Resumption of Trading following a Level 3 Market-wide Circuit Breaker Halt
Comments due: April 14, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-20 | ||
| 34-88404 | Mar. 17, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of Shares of the First Trust TCW Securitized Plus ETF under NYSE Arca Rule 8.600-E
Comments due: April 13, 2020 |
| SR-NYSEArca-2020-22 | ||
| 34-88398 | Mar. 17, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change of a Temporary Waiver of the Co-location Hot Hands Fee
Comments due: April 13, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-77 | ||
| 34-88378 | Mar. 13, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the AdvisorShares Pure US Cannabis ETF under NYSE Arca Rule 8.600-E
Comments due:April 9, 2020. Rebuttal comments by April 23, 2020 Rebuttal comments due: 35 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-NYSEArca-2020-17 | ||
| 34-88369 | Mar. 12, 2020 | Notice of Filing of Proposed Rule Change Amending Rule 7.31-E (Orders and Modifiers) Relating to How Orders are Repriced and Make Related Changes to Rules 7.35-E, 7.36-E, and 7.38-E
Comments due: April 8, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-07 | ||
| 34-88364 | Mar. 12, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2020-18 | ||
| 34-88345 | Mar. 9, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: April 3, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-01 | ||
| 34-88330 | Mar. 5, 2020 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail |
| SR-NYSEArca-2019-61 | ||
| 34-88319 | Mar. 4, 2020 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Exchanges' Co-Location Services to Offer Co-Location Users Access to the NMS Network
Additional File Nos.: SR-NYSE-2019-46, SR-NYSENAT-2019-19, SR-NYSEAMER-2019-34 |
| SR-NYSEArca-2019-39 | ||
| 34-88284 | Feb. 26, 2020 | Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and to List and Trade Shares of the United States Bitcoin and Treasury Investment Trust Under NYSE Arca Rule 8.201-E |
| SR-NYSEArca-2019-60 | ||
| 34-88255 | Feb. 20, 2020 | Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, to List and Trade Shares of the KFA Global Carbon ETF under NYSE Arca Rule 8.600-E
Comments due: March 18, 2020 |
| SR-NYSEArca-2020-15 | ||
| 34-88239 | Feb. 19, 2020 | Notice of Filing of Proposed Rule Change to Amend the Schedule of Wireless Connectivity Fees and Charges to Add Wireless Connectivity Services
Comments due: March 17, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2020-13 | ||
| 34-88230 | Feb. 18, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges Related to Co-location Services
Comments due: March 16, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-81 | ||
| 34-88204 | Feb. 13, 2020 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Generic Listing Standards for Derivative Securities Products that are Permitted to Operate in Reliance on Rule 6c-11 under the Investment Company Act of 1940 Comments due: March 12, 2020 Rebuttal comments due: March 26, 2020 Additional Materials: Exhibit 4, Exhibit 5 |
| SR-NYSEArca-2019-95 | ||
| 34-88199 | Feb. 13, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt NYSE Arca Rule 8.602-E to Permit the Listing and Trading of Actively Managed Solution Shares and to List and Trade Shares of the Natixis ETF Under Proposed NYSE Arca Rule 8.602-E |
| SR-NYSEArca-2019-96 | ||
| 34-88198 | Feb. 13, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt NYSE Arca Rule 8.602-E to Permit the Listing and Trading of Actively Managed Solution Shares and to List and Trade Two Series of Actively Managed Solution Shares Issued by the American Century ETF Trust Under Proposed NYSE Arca Rule 8.602-E |
| SR-NYSEArca-2019-92 | ||
| 34-88197 | Feb. 13, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt NYSE Arca Rule 8.601-E to Permit the Listing and Trading of Managed Portfolio Securities and to List and Trade Four Series of Managed Portfolio Securities Issued by T. Rowe Price Exchange-Traded Funds, Inc. Under Proposed NYSE Arca Rule 8.601-E |
| SR-NYSEArca-2020-12 | ||
| 34-88194 | Feb. 13, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 12, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-11 | ||
| 34-88182 | Feb. 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 11, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-10 | ||
| 34-88181 | Feb. 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 11, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-08 | ||
| 34-88170 | Feb. 11, 2020 | Notice of Filing of Proposed Rule Change to Establish a Schedule of Wireless Connectivity Fees and Charges with Wireless Connections
Comments due: March 10, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-77 | ||
| 34-88066 | Jan. 28, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the AdvisorShares Pure US Cannabis ETF under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2020-07 | ||
| 34-88031 | Jan. 24, 2020 | Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E
Comments due: February 20, 2020 Comments received are available for this proposal. |
| SR-NYSEArca-2020-06 | ||
| 34-88009 | Jan. 21, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees and Charges to Remove the Ineligibility for Certain Discounts
Comments due: February 18, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-05 | ||
| 34-87994 | Jan. 16, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Introduce Two New Pricing Tiers, Retail Order Step-Up Tier 3 and Retail Order Step-Up Tier 4 Comments due: February 13, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-01 | ||
| 34-87987 | Jan. 16, 2020 | Notice of Filing of Proposed Rule Change to Amend the Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: February 13, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2020-03 | ||
| 34-87978 | Jan. 15, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Introduce a New Lead Market Maker Credit
Comments due: February 12, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-51 | ||
| 34-87963 | Jan. 14, 2020 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF
Comments due: February 11, 2020 |
| SR-NYSEArca-2019-61 | ||
| 34-87928 | Jan. 9, 2020 | Notice of Filing of Amendment No. 1 to Proposed Rule Change Amending the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services in the Mahwah, New Jersey Data Center
Comments due: February 5, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-93 | ||
| 34-87917 | Jan. 9, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Schedule of Fees and Charges to Modify the Annual Fees Applicable to Exchange Traded Products and Managed Fund Shares and Managed Trust Securities
Comments due: February 5, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2020-04 | ||
| 34-87901 | Jan. 7, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule Regarding the Floor Broker Prepayment Program
Comments due: February 3, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-78 | ||
| 34-87885 | Jan. 3, 2020 | Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Innovator PTAM Core Bond Fund ETF Under NYSE Arca Rule 8.600-E |
File Number List for 2020
| Release No. | Date | Details |
|---|---|---|
| SR-NYSEArca-2020-100 | ||
| 34-90529 | Nov. 30, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Perth Mint Physical Gold ETF
Comments due: 21 days after publication in the Federal Register |
| SR-NYSEArca-2020-98 | ||
| 34-90443 | Nov. 17, 2020 | Notice of Filing of Proposed Rule Change Regarding the Availability of Information for the iShares Gold Trust, the iShares Silver Trust under NYSE Arca Rule 8.201-E and the iShares S&P GSCI Commodity-Indexed Trust under Rule 8.203-E
Comments due: 21 days after publication in the Federal Register |
| SR-NYSEArca-2020-97 | ||
| 34-90334 | Nov. 4, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges to Adopt an Alternative Method to Qualify for the Tier 2 Pricing Tier
Comments due: December 1, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-96 | ||
| 34-90414 | Nov. 13, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule regarding the Criteria to Qualify for a Posting Credit on certain Customer Volume
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-95 | ||
| 34-90409 | Nov. 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca BBO and NYSE Arca Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE Arca Trades by Adopting a Waiver Applicable to the Redistribution Fee
Comments due: December 9, 2020 Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 3d, Exhibit 5 |
| SR-NYSEArca-2020-94 | ||
| 34-90323 | Nov. 3, 2020 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the AdvisorShares Q Portfolio Blended Allocation ETF and AdvisorShares Q Dynamic Growth ETF under Rule 8.900-E
Comments due: November 30. 2020 |
| SR-NYSEArca-2020-93 | ||
| 34-90266 | Oct. 23, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: November 19, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-92 | ||
| 34-90311 | Nov. 2, 2020 | Notice of Filing of Proposed Rule Change to Amend Rule 7.31-E
Comments due: Novemner 27, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-90 | ||
| 34-90191 | Oct. 15, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee
Comments due: November 12, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-89 | ||
| 34-90136 | Oct. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 7.12-E
Comments due: November 4, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2020-88 | ||
| 34-90155 | Oct. 13, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10-E
Comments due: November 9, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-87 | ||
| 34-90113 | Oct. 7, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Temporary Commentary .10 under NYSE Arca Rule 2.1210
Comments due: November 4, 2020 |
| SR-NYSEArca-2020-85 | ||
| 34-90088 | Oct. 5, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Rules 10.9261 and 10.9830 with Recent Changes by the Financial Industry Regulatory Authority, Inc.
Comments due: October 30, 2020 |
| SR-NYSEArca-2020-84 | ||
| 34-90418 | Nov. 13, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Arca Rule 8.900-E to Adopt Generic Listing Standards for Managed Portfolio Shares |
| 34-90104 | Oct. 7, 2020 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Arca Rule 8.900-E to Adopt Generic Listing Standards for Managed Portfolio Shares
Comments due: November 3, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2020-83 | ||
| 34-89824 | Sep. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37-E to Update the Exchange's Source of Data Feeds from MIAX PEARL, LLC
Comments due: October 7, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-82 | ||
| 34-90326 | Nov. 3, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Exchange's Co-Location Services to Establish Procedures for the Allocation of Cabinets to its Co-Located Users |
| 34-89883 | Sep. 16, 2020 | Notice of Filing of Proposed Rule Change to Establish Procedures for the Allocation of Cabinets to its Co-Located Users
Comments due: October 13, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020- 81 | ||
| 34-89797 | Sep. 9, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: October 6, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-80 | ||
| 34-90528 | Nov. 30, 2020 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of Alger Mid Cap 40 ETF and Alger 25 ETF under Rule 8.900-E |
| 34-90286 | Oct. 29, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Alger Mid Cap 40 ETF and Alger 25 ETF under Rule 8.900-E, Managed Portfolio Shares |
| 34-89869 | Sep. 15, 2020 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the Alger Mid Cap 40 ETF and Alger 25 ETF under Rule 8.900-E, Managed Portfolio Shares
Comments due: October 13, 2020 Comments received are available for this proposal. |
| SR-NYSEArca-2020-79 | ||
| 34-89741 | Sep. 2, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: September 29, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-78 | ||
| 34-89787 | Sep. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: October 5, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-77 | ||
| 34-90296 | Oct. 30, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rule 8.601-E to Adopt Generic Listing Standards for Active Proxy Portfolio Shares |
| 34-89874 | Sep. 15, 2020 | Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 8.601-E to Adopt Generic Listing Standards for Active Proxy Portfolio Shares
Comments due: October 13, 2020 Additional Materials: Exhibit 5 |
| 34-89608 | Aug. 19, 2020 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the AdvisorShares Pure US Cannabis ETF under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2020-76 | ||
| 34-89694 | Aug. 27, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: September 23, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-75 | ||
| 34-89607 | Aug. 18, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges
Comments due: September 14, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-74 | ||
| 34-89652 | Aug. 25, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Waiver of the Co-location Hot Hands Fee
Comments due: September 21, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-72 | ||
| 34-89511 | Aug. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Certain Changes Regarding the Underlying Benchmark for the ProShares Ultra Bloomberg Crude Oil ETF and ProShares UltraShort Bloomberg Crude Oil ETF
Comments due: September 4, 2020 |
| SR-NYSEArca-2020-71 | ||
| 34-89432 | Jul. 30, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Rule 11.6800 Series
Comments due: August 26, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-70 | ||
| 34-89427 | Jul. 30, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.8-O to Increase Position Limits for Options on Certain Exchange-Traded Funds
Comments due: August 26, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-69 | ||
| 34-89480 | Aug. 5, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: September 1, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-68 | ||
| 34-89359 | Jul. 21, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update the NYSE Arca Options Fee Schedule
Comments due: August 17, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-67 | ||
| 34-89387 | Jul. 23, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37-E to Add the Data Source for MEMX
Comments due: August 19, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-66 | ||
| 34-89415 | Jul. 28, 2020 | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations in Rule 10.9217
Comments due: August 24, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-64 | ||
| 34-89255 | Jul. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-62 | ||
| 34-89274 | Jul. 9, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Charges to Adopt Listing and Annual Fees for Actively Managed Proxy Shares Listed under Rule 8.601-E and Managed Portfolio Shares Listed under Rule 8.900-E
Comments due: August 5, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-61 | ||
| 34-89366 | Jul. 21, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1.1 to Include Active Proxy Portfolio Shares, Tracking Fund Shares, Proxy Portfolio Shares, and Index Fund Shares
Comments due: August 17, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-60 | ||
| 34-89242 | Jul. 7, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-59 | ||
| 34-90216 | Oct. 16, 2020 | 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 Rule 8.201-E (Commodity-Based Trust Shares) and to Permit the Listing and Trading of Shares of the Wilshire wShares Enhanced Gold Trust Under Amended NYSE Arca Rule 8.201-E
Comments due: November 12, 2020 Additional Materials: Exhibit 5 |
| 34-89724 | Sep. 1, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and to Permit the Listing and Trading of Shares of the United States Gold and Treasury Investment Trust Under NYSE Arca Rule 8.201-E |
| 34-89310 | Jul. 14, 2020 | Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and to Permit the Listing and Trading of Shares of the United States Gold and Treasury Investment Trust Under NYSE Arca Rule 8.201-E
Comments due: August 10, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2020-58 | ||
| 34-89174 | Jun. 29, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Waiver of the Co-location Hot Hands Fee
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-57 | ||
| 34-89129 | Jun. 23, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Permit the Continued Listing and Trading of the WisdomTree Mortgage Plus Bond Fund
Comments due: July 20, 2020 |
| SR-NYSEArca-2020-56 | ||
| 34-90075 | Oct. 2, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E, and 8.900-E
Comments due: October 29, 2020 Rebuttal comments due: November 12, 2020 |
| 34-89584 | Aug. 17, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E, and 8.900-E |
| 34-89197 | Jun. 30, 2020 | Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E and 8.900-E
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-55 | ||
| 34-89061 | Jun. 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule Regarding Pricing Incentives for Certain Posted Volume
Comments due: July 9, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-54 | ||
| 34-90297 | Oct. 30, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rule 5.3-E to Exempt Registered Investment Companies that List Certain Categories of the Securities Defined as Derivative and Special Purpose Securities under NYSE Arca Rules From Having to Obtain Shareholder Approval Prior to the Issuance of Securities in Connection with Certain Acquisitions of the Stock or Assets of an Affiliated Company |
| 34-89834 | Sep. 11, 2020 | Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 5.3-E to Exempt Issuers of Certain Derivative and Special Purpose Securities From Having to Obtain Shareholder Approval Prior to the Issuance of Securities in Connection with Certain Acquisitions of the Stock or Assets of an Affiliated Company
Comments due: October 8. 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-52 | ||
| 34-89038 | Jun. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: July 7, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-51 | ||
| 34-89438 | Jul. 31, 2020 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of Natixis Vaughan Nelson Select ETF and Natixis Vaughan Nelson MidCap ETF under NYSE Arca Rule 8.601-E |
| 34-89127 | Jun. 23, 2020 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Relating to the Listing and Trading of the Shares of Natixis Vaughan Nelson Select ETF and Natixis Vaughan Nelson MidCap ETF under Proposed NYSE Arca Rule 8.601-E
Comments due: July 20, 2020 Comments received are available for this proposal. |
| SR-NYSEArca-2020-50 | ||
| 34-89059 | Jun. 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Temporarily the Auction Collars for Exchange-Facilitated Core Open Auctions Under Rule 7.35C
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| 34-88943 | May 26, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6.72-O to Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due: June 22, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-49 | ||
| 34-88980 | Jun. 1, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services
Comments due: June 26, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-48 | ||
| 34-89663 | Aug. 25, 2020 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of Gabelli ETFs under Rule 8.900-E, Managed Portfolio Shares |
| 34-89279 | Jul. 9, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of Gabelli ETFs under Rule 8.900-E, Managed Portfolio Shares |
| 34-88970 | May 28, 2020 | Notice of Filing of Proposed Rule Change to List and Trade Shares of Gabelli ETFs under Rule 8.900-E, Managed Portfolio Shares
Comments due: June 24, 2020 Comments received are available for this proposal. |
| SR-NYSEArca-2020-47 | ||
| 34-88961 | May 27, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Waiver of the Co-location Hot Hands Fee
Comments due: June 23, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-46 | ||
| 34-89898 | Sep. 16, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities
Comments due: October 13, 2020 Rebuttal comments due: October 27, 2020 |
| 34-89412 | Jul. 28, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities |
| 34-89073 | Jun. 16, 2020 | Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities
Comments due: July 13, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-44 | ||
| 34-88873 | May 14, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule Regarding Pricing Incentives for Certain Posted Volume
Comments due: June 10, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-43 | ||
| 34-88904 | May 19, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Rules to Add New Rule 7.19-E
Comments due: June 16, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-42 | ||
| 34-88912 | May 20, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Representations Relating to the Redemption Procedures Applicable to the Sprott Physical Gold Trust and the Sprott Physical Silver Trust
Comments due: June 17, 2020 |
| SR-NYSEArca-2020-39 | ||
| 34-88833 | May 7, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: June 3, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-38 | ||
| 34-88812 | May 5, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: June 1, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-37 | ||
| 34-89068 | Jun. 15, 2020 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Make Certain Changes Regarding the Investments of the PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund |
| 34-88822 | May 6, 2020 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Investments of the PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund
Comments due: June 2, 2020 Comments received are available for this proposal. |
| SR-NYSEArca-2020-36 | ||
| 34-88755 | Apr. 27, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.40-O Relating to the Risk Limitation Mechanism
Comments due: May 22, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-35 | ||
| 34-88764 | Apr. 28, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Charges
Comments due: May 26, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-34 | ||
| 34-88761 | Apr. 28, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1.1 to Modify the Definition of "UTP Derivative Securities Product" and Rule 5.1-E(a) to Incorporate the Modified Definition of "UTP Exchange Traded Product"
Comments due: May 26, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-33 | ||
| 34-88709 | Apr. 21, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: May 18, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-32 | ||
| 34-88648 | Apr. 15, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New NYSE Arca Rule 8.900-E
Comments due: May 12, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-31 | ||
| 34-89008 | Jun. 4, 2020 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to Modify Rule 6.60-O Regarding the Treatment of Orders Subject to Trade Collar Protection |
| 34-88737 | Apr. 24, 2020 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, to Modify Rule 6.60-O Regarding the Treatment of Orders Subject to Trade Collar Protection
Comments due: May 21, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2020-30 | ||
| 34-88610 | Apr. 9, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37-E to Specify the Exchange's Source of Data Feeds from the Long-Term Stock Exchange, Inc.
Comments due: May 6. 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-29 | ||
| 34-88596 | Apr. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: May 5, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-28 | ||
| 34-88621 | Apr. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: May 6, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-27 | ||
| 34-88576 | Apr. 7, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule
Comments due: May 4, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-26 | ||
| 34-88520 | Mar. 31, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change for an Extension of the Temporary Waiver of the Co-location "Hot Hands" Fee
Comments due: April 27, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-25 | ||
| 34-88590 | Apr. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10-E
Comments due: May 5, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-23 | ||
| 34-88414 | Mar. 18, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.12-E Concerning the Resumption of Trading following a Level 3 Market-wide Circuit Breaker Halt
Comments due: April 14, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-22 | ||
| 34-88398 | Mar. 17, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change of a Temporary Waiver of the Co-location Hot Hands Fee
Comments due: April 13, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-21 | ||
| 34-88436 | Mar. 20, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: April 16, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-20 | ||
| 34-88404 | Mar. 17, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of Shares of the First Trust TCW Securitized Plus ETF under NYSE Arca Rule 8.600-E
Comments due: April 13, 2020 |
| SR-NYSEArca-2020-18 | ||
| 34-88345 | Mar. 9, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: April 3, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-17 | ||
| 34-88793 | May 1, 2020 | Order Granting Approval of Proposed Rule Changes Relating to Repricing of Depth-of-Book Orders In Response to a Locked or Crossed Market
Additional File Nos.: SR-NYSE-2020-13, SR-NYSENAT-2020-09, SR-NYSEAMER-2020-12, SR-NYSECHX-2020-06 |
| 34-88369 | Mar. 12, 2020 | Notice of Filing of Proposed Rule Change Amending Rule 7.31-E (Orders and Modifiers) Relating to How Orders are Repriced and Make Related Changes to Rules 7.35-E, 7.36-E, and 7.38-E
Comments due: April 8, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-15 | ||
| 34-90209 | Oct. 15, 2020 | Notice of Filings of Partial Amendment No. 3 and Order Granting Accelerated Approval to Proposed Rule Changes, each as Modified by Partial Amendment No. 3, to Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections
Comments due: November 12, 2020 Additional File Nos.: SR-NYSE-2020-05, SR-NYSEAMER-2020-05, SR-NYSEArca-2020-08, SR-NYSECHX-2020-02, SR-NYSENAT-2020-03, SR-NYSE-2020-11, SR-NYSEAMER-2020-10, SR-NYSECHX-2020-05, SR-NYSENAT-2020-08 |
| 34-89531 | Aug. 12, 2020 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendment No. 1, to Amend the Schedule of Wireless Connectivity Fees and Charges to Add Wireless Connectivity Services
Additional File Nos.: SR-NYSE-2020-11, SR-NYSEAMER-2020-10, SR-NYSECHX-2020-05, SR-NYSENAT-2020-08 |
| 34-89460 | Aug. 3, 2020 | Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change to Amend the Schedule of Wireless Connectivity Fees and Charges to Add Wireless Connectivity Services
Comments due: August 28, 2020 Additional Materials: Exhibit 4a, Exhibit 4b, Exhibit 5a, Exhibit 5b |
| 34-88901 | May 18, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections and Associated Fees
Comments due: June 12, 2020 Rebuttal comments due: June 26, 2020 Additional File Nos.: SR-NYSE-2020-05, SR-NYSEAMER-2020-05, SR-NYSEArca-2020-08, SR-NYSECHX-2020-02, SR-NYSENAT-2020-03, SR-NYSEAMER-2020-10, SR-NYSEArca-2020-15, SR-NYSECHX-2020-05, SR-NYSENAT- 2020-08 |
| 34-88540 | Apr. 1, 2020 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Amend the Schedule of Wireless Connectivity Fees and Charges to Add Wireless Connectivity Services
Additional File Nos.: SR-NYSE-2020-11, SR-NYSECHX-2020-05, SR-NYSEAMER-2020-10, SR-NYSENAT-2020-08 |
| 34-88540 | Apr. 1, 2020 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Amend the Schedule of Wireless Connectivity Fees and Charges to Add Wireless Connectivity Services
Additional File Nos.: SR-NYSE-2020-11, SR-NYSECHX-2020-05, SR-NYSEAMER-2020-10, SR-NYSENAT-2020-08 |
| 34-88239 | Feb. 19, 2020 | Notice of Filing of Proposed Rule Change to Amend the Schedule of Wireless Connectivity Fees and Charges to Add Wireless Connectivity Services
Comments due: March 17, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2020-13 | ||
| 34-88230 | Feb. 18, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges Related to Co-location Services
Comments due: March 16, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-12 | ||
| 34-88194 | Feb. 13, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 12, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-11 | ||
| 34-88182 | Feb. 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 11, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-10 | ||
| 34-88181 | Feb. 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 11, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-08 | ||
| 34-90209 | Oct. 15, 2020 | Notice of Filings of Partial Amendment No. 3 and Order Granting Accelerated Approval to Proposed Rule Changes, each as Modified by Partial Amendment No. 3, to Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections
Comments due: November 12, 2020 Additional File Nos.: SR-NYSE-2020-05, SR-NYSEAMER-2020-05, SR-NYSEArca-2020-08, SR-NYSECHX-2020-02, SR-NYSENAT-2020-03, SR-NYSE-2020-11, SR-NYSEAMER-2020-10, SR-NYSECHX-2020-05, SR-NYSENAT-2020-08 |
| 34-89532 | Aug. 12, 2020 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendment No. 1, to Establish a Schedule of Wireless Connectivity Fees and Charges with Wireless Connections between the Mahwah, New Jersey Data Center and Other Data Centers
Additional File Nos.: SR-NYSE-2020-05, SR-NYSEAMER-2020-05, SR-NYSECHX-2020-02, SR-NYSENAT-2020-03 |
| 34-89455 | Aug. 3, 2020 | Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change to Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Associated Fees
Comments due: August 28, 2020 Additional Materials: Exhibit 4a, Exhibit 4b, Exhibit 5a, Exhibit 5b |
| 34-88901 | May 18, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections and Associated Fees
Comments due: June 12, 2020 Rebuttal comments due: June 26, 2020 Additional File Nos.: SR-NYSE-2020-05, SR-NYSEAMER-2020-05, SR-NYSEArca-2020-08, SR-NYSECHX-2020-02, SR-NYSENAT-2020-03, SR-NYSEAMER-2020-10, SR-NYSEArca-2020-15, SR-NYSECHX-2020-05, SR-NYSENAT- 2020-08 |
| 34-88539 | Apr. 1, 2020 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Establish a Schedule of Wireless Connectivity Fees and Charges with Wireless Connections between the Mahwah, New Jersey Data Center and Other Data Centers
Additional File Nos.: SR-NYSE-2020-05, SR-NYSECHX-2020-02, SR-NYSEAMER-2020-05, SR-NYSENAT-2020-03 |
| 34-88539 | Apr. 1, 2020 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Establish a Schedule of Wireless Connectivity Fees and Charges with Wireless Connections between the Mahwah, New Jersey Data Center and Other Data Centers
Additional File Nos.: SR-NYSE-2020-05, SR-NYSECHX-2020-02, SR-NYSEAMER-2020-05, SR-NYSENAT-2020-03 |
| 34-88170 | Feb. 11, 2020 | Notice of Filing of Proposed Rule Change to Establish a Schedule of Wireless Connectivity Fees and Charges with Wireless Connections
Comments due: March 10, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2020-07 | ||
| 34-88924 | May 21, 2020 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E
Comments due: June 18, 2020 |
| 34-88738 | Apr. 24, 2020 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E
Comments due: May 21, 2020 Rebuttal comments due: June 4, 2020 |
| 34-88364 | Mar. 12, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E |
| 34-88031 | Jan. 24, 2020 | Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E Comments due: February 20, 2020 Comments received are available for this proposal. |
| SR-NYSEArca-2020-06 | ||
| 34-88009 | Jan. 21, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees and Charges to Remove the Ineligibility for Certain Discounts
Comments due: February 18, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-05 | ||
| 34-87994 | Jan. 16, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Introduce Two New Pricing Tiers, Retail Order Step-Up Tier 3 and Retail Order Step-Up Tier 4
Comments due: February 13, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-04 | ||
| 34-87901 | Jan. 7, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule Regarding the Floor Broker Prepayment Program
Comments due: February 3, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-03 | ||
| 34-87978 | Jan. 15, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Introduce a New Lead Market Maker Credit Comments due: February 12, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2020-01 | ||
| 34-89107 | Jun. 19, 2020 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, to Amend Consolidated Audit Trail Compliance Rules
Comments due: July 16, 2020 |
| 34-88696 | Apr. 20, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the NYSE Arca Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: May 15, 2020 Rebuttal comments due: May 29, 2020 Comments received are available for this proposal. |
| 34-88330 | Mar. 5, 2020 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail |
| 34-87987 | Jan. 16, 2020 | Notice of Filing of Proposed Rule Change to Amend the Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments due: February 13, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |