NYSE Arca Rulemaking
We encourage the public to submit comments on the following NYSE Arca, Inc. (NYSE Arca; formerly Pacific Exchange, Inc.) 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
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
NYSE Arca File Number List for 2019
Additional Archives
2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999
Chronological List for 2019
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-NYSEArca-2019-61 | ||
| 34-87699 | Dec. 9, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Exchanges' Co-Location Price Lists to Offer Co-Location Users Access to the NMS Network and Establish Associated Fees
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Additional File Nos.: SR-NYSE-2019-46, SR-NYSENAT-2019-19, SR-NYSEAMER-2019-34 |
| SR-NYSEArca-2019-85 | ||
| 34-87685 | Dec. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-83 | ||
| 34-87610 | Nov. 25, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 6.72-O to Extend the Penny Pilot
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-84 | ||
| 34-87623 | Nov. 25, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37-E to Specify in Exchange Rules the Exchange's Use of Data Feeds from NYSE American LLC
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-60 | ||
| 34-87589 | Nov. 22, 2019 | 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 thereto, to List and Trade Shares of the KFA Global Carbon ETF under NYSE Arca Rule 8.600-E
Comments due: December 20, 2019 Rebuttal comments due: January 3, 2020 |
| SR-NYSEArca-2019-14 | ||
| 34-87576 | Nov. 20, 2019 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Permitted Investments of the PGIM Ultra Short Bond ETF |
| SR-NYSEArca-2019-82 | ||
| 34-87556 | Nov. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Permitting the Listing and Trading of Shares of the Nationwide Risk-Managed Income ETF under NYSE Arca Rule 8.600-E
Comments due: December 13, 2019 |
| SR-NYSEArca-2019-81 | ||
| 34-87542 | Nov. 14, 2019 | Notice of Filing of Proposed Rule Change 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: December 11, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-80 | ||
| 34-87519 | Nov. 13, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31-E to Delete Cross Orders
Comments due: December 10, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-78 | ||
| 34-87514 | Nov. 13, 2019 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Innovator PTAM Core Bond ETF under NYSE Arca Rule 8.600-E
Comments due: December 10, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-79 | ||
| 34-87488 | Nov. 7, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37-E to Specify in Exchange Rules the Exchange's Use of Data Feeds from NYSE Chicago, Inc.
Comments due: December 5, 2019 |
| SR-NYSEArca-2019-71 | ||
| 34-87443 | Nov. 1, 2019 | Notice of Filing of Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange
Comments due: November 29, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-62 | ||
| 34-87437 | Oct. 31, 2019 | 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 Listing and Trading of Shares of the Innovator MSCI EAFE Power Buffer ETFs and Innovator MSCI Emerging Markets Power Buffer ETFs, Series of the Innovator ETFs Trust, Under NYSE Arca Rule 8.600-E
Comments due: November 27, 2019 |
| SR-NYSEArca-2019-12 | ||
| 34-87434 | Oct. 31, 2019 | 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 iShares Commodity Curve Carry Strategy ETF Under NYSE Arca Rule 8.600-E
Comments due: November 27, 2019 |
| SR-NYSEArca-2019-33 | ||
| 34-87410 | Oct. 28, 2019 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Regarding Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF
Comments due: November 22, 2019 |
| SR-NYSEArca-2019-73 | ||
| 34-87409 | Oct. 28, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Permitting the Continued Listing and Trading of the WisdomTree Emerging Markets Multifactor Fund and the WisdomTree International Multifactor Fund
Comments due: November 22, 2019 |
| SR-NYSEArca-2019-61 | ||
| 34-87400 | Oct. 24, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Exchange's Options and Equities Fee Schedules Related to Co-Location Services to Offer Access to a Network Providing Connection to the Three Equities and Options Feeds |
| SR-NYSEArca-2019-51 | ||
| 34-87385 | Oct. 23, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF Currently Listed and Traded on the Exchange under NYSE Arca Rule 8.600-E
Comments due: November 18, 2019 Rebuttal comments due: December 3, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-04 | ||
| 34-87382 | Oct. 22, 2019 | 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 5.2-E(j)(3) to Adopt Generic Listing Standards for Investment Company Units Based on an Index or Portfolio of Municipal Securities
Comments due: November 18, 2019 |
| SR-NYSEArca-2019-75 | ||
| 34-87355 | Oct. 18, 2019 | 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 14, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-63 | ||
| 34-87350 | Oct. 18, 2019 | Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent the Retail Liquidity Program Pilot, Rule 7.44-E, Which is Set to Expire on October 31, 2019, Notice of Filing of Amendment No. 1, and Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS
Comments due: November 14, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-76 | ||
| 34-87346 | Oct. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: November 14, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-58 | ||
| 34-87316 | Oct. 16, 2019 | Order Approving a Proposed Rule Change to Modify Rules 6.60-O and 6.65A-O Regarding the Treatment of Orders Subject to Trade Collar Protection |
| SR-NYSEArca-2019-72 | ||
| 34-87313 | Oct. 16, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation of Intercontinental Exchange, Inc.
Comments due: November 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-39 | ||
| 34-87301 | Oct. 15, 2019 | Notice of Filing of Amendment No. 1 to Proposed Rule Change 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
Comments due: November 12, 2019 |
| SR-NYSEArca-2019-70 | ||
| 34-87292 | Oct. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: November 7, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-68 | ||
| 34-87278 | Oct. 10, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Listing and Trading of Shares under NYSE Arca Rule 8.600-E of the Overlay Shares Large Cap Equity ETF, Overlay Shares Small Cap Equity ETF, Overlay Shares Foreign Equity ETF, Overlay Shares Core Bond ETF and Overlay Shares Municipal Bond ETF
Comments due: November 7, 2019 |
| SR-NYSEArca-2019-60 | ||
| 34-87277 | Oct. 10, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 thereto, to List and Trade Shares of the KFA Global Carbon ETF under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2019-01 | ||
| 34-87267 | Oct. 9, 2019 | Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E
See also: Letter from the Secretary of the Commission to Michael Cavalier, Counsel and David De Gregorio, Senior Counsel, Intercontinental Exchange, NYSE, dated October 15, 2019 |
| SR-NYSEArca-2019-55 | ||
| 34-87223 | Oct. 4, 2019 | Order Approving a Proposed Rule Change to Amend NYSE Arca Rule 8.700-E and to List and Trade Shares of the Dynamic Short Short-Term Volatility Futures ETF |
| SR-NYSEArca-2019-57 | ||
| 34-87190 | Oct. 1, 2019 | Order Granting Approval of Proposed Rule Change to List and Trade Shares of the Franklin Liberty Systematic Style Premia ETF, a Series of the Franklin Templeton ETF Trust under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2019-64 | ||
| 34-87185 | Oct. 1, 2019 | Notice of Withdrawal of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule to Revise the Options Regulatory Fee |
| Third Quarter | ||
| SR-NYSEArca-2019-67 | ||
| 34-87153 | Sep. 30, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange Retail Liquidity Program until October 31, 2019
Comments due: October 25, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2013-107 | ||
| 34-87150 | Sep. 27, 2019 | Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Programs Until October 31, 2019 |
| SR-NYSEArca-2019-49 | ||
| 34-87091 | Sep. 24, 2019 | Notice of Withdrawal of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule to Modify the Options Regulatory Fee |
| SR-NYSEArca-2019-39 | ||
| 34-87071 | Sep. 24, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend NYSE Arca Rule
Comments due: October 21, 2019 Rebuttal comments due: November 4, 2019 |
| SR-NYSEArca-2019-14 | ||
| 34-87058 | Sep. 23, 2019 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to the Permitted Investments of the PGIM Ultra Short Bond ETF |
| SR-NYSEArca-2019-65 | ||
| 34-87040 | Sep. 20, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Change in the Name and Benchmark Index for the SPDR Nuveen S&P High Yield Municipal Bond ETF
Comments due: October 17, 2019 |
| SR-NYSEArca-2019-66 | ||
| 34-87017 | Sep. 19, 2019 | 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: October 16, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-64 | ||
| 34-86961 | Sep. 13, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule
Comments due: October 10, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-62 | ||
| 34-86948 | Sep. 12, 2019 | Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Innovator MSCI EAFE Power Buffer ETFs and Innovator MSCI Emerging Markets Power Buffer ETFs, Series of the Innovator ETFs Trust, under NYSE Arca Rule 8.600-E
Comments due: October 9, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-12 | ||
| 34-86945 | Sep. 12, 2019 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the iShares Commodity Curve Carry Strategy ETF under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2019-63 | ||
| 34-86870 | Sep. 4, 2019 | Notice of Filing of Proposed Rule Change to Make Permanent Rule 7.44-E
Comments due: October 1, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-61 | ||
| 34-86868 | Sep. 4, 2019 | Notice of Filing 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: October 1, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-51 | ||
| 34-86855 | Sep. 3, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF Currently Listed and Traded on the Exchange under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2019-38 | ||
| 34-86841 | Aug. 30, 2019 | Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, to Amend the Listing Rule Applicable to Shares of the Aware Ultra-Short Duration Enhanced Income ETF |
| SR-NYSEArca-2019-49 | ||
| 34-86832 | Aug. 30, 2019 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the Options Regulatory Fee
Comments due: September 27, 2019 Rebuttal comments due: October 11, 2019 |
| SR-NYSEArca-2019-58 | ||
| 34-86788 | Aug. 28, 2019 | Notice of Filing of Proposed Rule Change to Modify Rules 6.60-O and 6.65A-O Regarding the Treatment of Orders Subject to Trade Collar Protection
Comments due: September 25, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-33 | ||
| 34-86760 | Aug. 26, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Regarding Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF
Comments due: September 20, 2019 Rebuttal comments due: October 4, 2019 |
| SR-NYSEArca-2019-60 | ||
| 34-86752 | Aug. 23, 2019 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the KFA Global Carbon ETF under NYSE Arca Rule 8.600-E
Comments due: September 19, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-55 | ||
| 34-86714 | Aug. 20, 2019 | Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 8.700-E and to List and Trade Shares of the Dynamic Short Short-Term Volatility Futures ETF
Comments due: September 16, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-83 | ||
| 34-86698 | Aug. 16, 2019 | Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, Regarding Changes to Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF
Comments due: September 12, 2019 |
| SR-NYSEArca-2019-59 | ||
| 34-86697 | Aug. 16, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.40-O to Reduce the Minimum Allowable Parameter for the Transaction- and Volume-Based Settings in the Risk Limitation Mechanism
Comments due: September 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-57 | ||
| 34-86659 | Aug. 14, 2019 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the Franklin Liberty Systematic Style Premia ETF, a Series of the Franklin Templeton ETF Trust under NYSE Arca Rule 8.600-E
Comments due: September 10, 2019 |
| SR-NYSEArca-2019-04 | ||
| 34-86643 | Aug. 13, 2019 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending NYSE Arca Rule 5.2-E(j)(3) To Adopt Generic Listing Standards for Investment Company Units Based on an Index of Municipal Bond Securities |
| SR-NYSEArca-2018-98 | ||
| 34-86636 | Aug. 12, 2019 | 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 iShares Commodity Multi-Strategy ETF under NYSE Arca Rule 8.600-E
Comments due: September 6, 2019 |
| SR-NYSEArca-2019-39 | ||
| 34-86631 | Aug. 12, 2019 | 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 List and Trade Shares of the United States Bitcoin and Treasury Investment Trust under NYSE Arca Rule 8.201-E |
| SR-NYSEArca-2019-01 | ||
| 34-86629 | Aug. 12, 2019 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust under NYSE Arca Rule 8.201-E |
| SR-NYSEArca-2019-56 | ||
| 34-86620 | Aug. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Adopt An Incremental Credit Under a Current Pricing Tier, Cross-Asset Tier 3
Comments due: September 5, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-54 | ||
| 34-86547 | Aug. 1, 2019 | 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: August 28, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-02 | ||
| 34-86532 | Jul. 31, 2019 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF under NYSE Arca Rule 8.200-E |
| SR-NYSEArca-2019-52 | ||
| 34-86458 | Jul. 24, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: August 20, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-50 | ||
| 34-86423 | Jul. 22, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Rule 9.21-O, Delete Current Rules 9.21-O through 9.25-O, and Amend Rule 10.9551
Comments due: August 16, 2019 |
| SR-NYSEArca-2019-51 | ||
| 34-86417 | Jul. 19, 2019 | Notice of Filing of Proposed Rule Change Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF Currently Listed and Traded on the Exchange under NYSE Arca Rule 8.600-E
Comments due: August 15, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-38 | ||
| 34-86414 | Jul. 19, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, Regarding Investments of the Aware Ultra-Short Duration Enhanced Income ETF |
| SR-NYSEArca-2019-49 | ||
| 34-86390 | Jul. 16, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule by Revising the Options Regulatory Fee
Comments due: August 12, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-53 | ||
| 34-86377 | Jul. 15, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges
Comments due: August 9, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-36 | ||
| 34-86362 | Jul. 12, 2019 | 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 Shares of JPMorgan Income Builder Blend ETF under NYSE Arca Rule 8.600-E
Comments due: August 8, 2019 |
| SR-NYSEArca-2019-46 | ||
| 34-86300 | Jul. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37-E to Update a Rule Cross Reference
Comments due: July 30, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-33 | ||
| 34-86299 | Jul. 3, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, Regarding Certain Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF |
| Second Quarter | ||
| SR-NYSEArca-2019-14 | ||
| 34-86220 | Jun. 27, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to the Permitted Investments of the PGIM Ultra Short Bond ETF
Comments due: July 24, 2019 Rebuttal comments due: August 7, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2018-83 | ||
| 34-86199 | Jun. 26, 2019 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 3, Regarding Changes to Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF |
| SR-NYSEArca-2019-45 | ||
| 34-86198 | Jun. 26, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange Retail Liquidity Program until September 30, 2019
Comments due: July 23, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-39 | ||
| 34-86195 | Jun. 25, 2019 | Notice of Filing of Proposed Rule Change 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
Comments due: July 22, 2019 Additional Materials: Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-12 | ||
| 34-86136 | Jun. 18, 2019 | 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 iShares Commodity Curve Carry Strategy ETF
Comments due: July 15, 2019 Rebuttal comments due: July 29, 2019 |
| SR-NYSEArca-2019-43 | ||
| 34-86122 | Jun. 17, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: July 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-42 | ||
| 34-86121 | Jun. 17, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: July 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-28 | ||
| 34-86112 | Jun. 14, 2019 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of the Virtus WMC Risk-Managed Alternative Equity ETF under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2018-98 | ||
| 34-86104 | Jun. 13, 2019 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of the iShares Commodity Multi-Strategy ETF under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2019-41 | ||
| 34-86062 | Jun. 7, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 6.72-O in Order to Extend the Penny Pilot in Options Classes in Certain Issues
Comments due: July 5, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-06 | ||
| 34-86017 | Jun. 3, 2019 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Certain Generic Listing Standards for Managed Fund Shares Applicable to Holdings of Fixed Income Securities |
| SR-NYSEArca-2019-40 | ||
| 34-85958 | May 29, 2019 | 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 25, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-38 | ||
| 34-85955 | May 29, 2019 | Notice of Filing of Proposed Rule Change Regarding Investments of Aware Ultra-Short Duration Enhanced Income ETF, a Series of Tidal ETF Trust
Comments due: June 25, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-04 | ||
| 34-85946 | May 28, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(3) and to Adopt Generic Listing Standards for Investment Company Units Based on an Index or Portfolio of Municipal Securities
Comments due: June 24, 2019 Rebuttal comments due: July 8, 2019 |
| SR-NYSEArca-2019-35 | ||
| 34-85922 | May 23, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.60-O
Comments due: June 20, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-36 | ||
| 34-85899 | May 21, 2019 | Notice of Filing of Proposed Rule Change to List and Trade Shares of JPMorgan Income Builder Blend ETF under NYSE Arca Rule 8.600-E
Comments due: June 18, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-33 | ||
| 34-85903 | May 21, 2019 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Certain Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF
Comments due: June 18, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-37 | ||
| 34-85888 | May 17, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Adopt a Higher Credit for the Tier 2 Pricing Tier
Comments due: June 13, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-34 | ||
| 34-85872 | May 16, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds
Comments due: June 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-32 | ||
| 34-85871 | May 16, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Rule 6.15-O and Conforming Changes to Rule 6.46-O Governing the Give Up of a Clearing Broker
Comments due: June 12, 2019 Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 5 |
| SR-NYSEArca-2019-02 | ||
| 34-85860 | May 15, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF under NYSE Arca Rule 8.200-E
Comments due: June 11, 2019 Rebuttal comments due: June 25, 2019 |
| SR-NYSEArca-2019-01 | ||
| 34-85854 | May 14, 2019 | 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, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust
Comments due: June 11, 2019 Rebuttal comments due: June 25, 2019 |
| SR-NYSEArca-2019-14 | ||
| 34-85829 | May 10, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Certain Changes Regarding Investments of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2019-30 | ||
| 34-85820 | May 9, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: June 5, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-12 | ||
| 34-85758 | May 1, 2019 | 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 iShares Commodity Curve Carry Strategy ETF under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2019-28 | ||
| 34-85751 | Apr. 30, 2019 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the Virtus WMC Risk-Managed Alternative Equity ETF
Comments due: May 24, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-29 | ||
| 34-85724 | Apr. 25, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.11-E, Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments due: May 22, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-27 | ||
| 34-85697 | Apr. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete NYSE Arca Rule 8.800-E Setting Forth the Requirements for the NYSE Arca ETP Incentive Program
Comments due: May 16, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-24 | ||
| 34-85696 | Apr. 19, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule Regarding Certain Credits
Comments due: May 16, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-06 | ||
| 34-85690 | Apr. 18, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Generic Listing Standards for Managed Fund Shares Applicable to Holdings in Fixed Income Securities |
| SR-NYSEArca-2018-77 | ||
| 34-85646 | Apr. 15, 2019 | Notice of Withdrawal of Proposed Rule Change to Amend Rule 7.44-E to Expand and Modify the Exchange's Retail Liquidity Program |
| SR-NYSEArca-2019-15 | ||
| 34-85639 | Apr. 12, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Investigation, Disciplinary, Sanction, and Other Procedural Rules Modeled on the Rules of the Exchange's Affiliate NYSE American LLC
Comments due: May 9, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-25 | ||
| 34-85620 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-22 | ||
| 34-85610 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot for Certain Options Market Rules that are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-04 | ||
| 34-85573 | Apr. 9, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(3) to Adopt Generic Listing Standards for Investment Company Units Based on an Index of Municipal Bond Securities |
| SR-NYSEArca-2019-23 | ||
| 34-85561 | Apr. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 7.12-E, Trading Halts Due to Extraordinary Market Volatility
Comments due: May 6, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-21 | ||
| 34-85532 | Apr. 5, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10-E, Clearly Erroneous Executions
Comments due: May 2, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-18 | ||
| 34-85494 | Apr. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.40-O to Reduce the Minimum Allowable Parameter for the Percentage-Based Risk Limitation Mechanism
Comments due: April 30, 2019 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-NYSEArca-2019-01 | ||
| 34-85461 | Mar. 29, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust under NYSE Arca Rule 8.201-E |
| SR-NYSEArca-2019-07 | ||
| 34-85450 | Mar. 29, 2019 | 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: April 25, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-14 | ||
| 34-85430 | Mar. 27, 2019 | Notice of Filing of Proposed Rule Change Relating to Certain Changes Regarding Investments of the PGIM Ultra Short Bond ETF under NYSE Arca Rule 8.600-E
Comments due: April 23, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-17 | ||
| 34-85426 | Mar. 26, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Statements Made in a Recent Filing In Regards to the Six-Month Lookback Period for New Issues Added to the Penny Pilot on a Quarterly Basis
Comments due: April 22, 2019 |
| SR-NYSEArca-2018-43 | ||
| 34-85422 | Mar. 26, 2019 | Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF |
| SR-NYSEArca-2019-02 | ||
| 34-85417 | Mar. 26, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF under NYSE Arca Rule 8.200-E |
| SR-NYSEArca-2018-83 | ||
| 34-85385 | Mar. 21, 2019 | 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, Regarding Changes to Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF
Comments due: April 17, 2019 Rebuttal comments due: May 1, 2019 |
| SR-NYSEArca-2018-98 | ||
| 34-85375 | Mar. 20, 2019 | 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 Shares of the iShares Commodity Multi-Strategy ETF under NYSE Arca Rule 8.600-E
Comments due: April 16, 2019 Rebuttal comments due: April 30, 2019 |
| SR-NYSEArca-2019-13 | ||
| 34-85363 | Mar. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to Rule 6.72-O to specify that replacement issues may be added to the Penny Pilot quarterly
Comments due: April 15, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-12 | ||
| 34-85312 | Mar. 14, 2019 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the iShares Commodity Curve Carry Strategy ETF under NYSE Arca Rule 8.600-E
Comments due: April 10, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-10 | ||
| 34-85311 | Mar. 14, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Introduce a New Pricing Tier, Step Up Tier 4
Comments due: April 10, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-11 | ||
| 34-85306 | Mar. 13, 2019 | 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: April 9, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-08 | ||
| 34-85265 | Mar. 7, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7.16-E, 7.18-E, 7.31-E, 7.34-E, 7.35-E, and 7.38-E
Comments due: April 3, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-82 | ||
| 34-85244 | Mar. 4, 2019 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Regarding Certain Changes Relating to Investments of the PGIM Active High Yield Bond ETF |
| SR-NYSEArca-2019-06 | ||
| 34-85220 | Feb. 28, 2019 | Notice of Filing of Proposed Rule Change to Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Generic Listing Standards for Managed Fund Shares Applicable to Holdings in Fixed Income Securities
Comments due: March 27, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-04 | ||
| 34-85170 | Feb. 21, 2019 | Notice of Filing of Proposed Rule Change Amending NYSE Arca Rule 5.2-E(j)(3) to Adopt Generic Listing Standards for Investment Company Units Based on an Index of Municipal Bond Securities
Comments due: March 20, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2018-54 | ||
| 34-85154 | Feb. 15, 2019 | Notice of Withdrawal of a Proposed Rule Change to Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares |
| SR-NYSEArca-2018-83 | ||
| 34-85117 | Feb. 13, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF |
| SR-NYSEArca-2018-67 | ||
| 34-85110 | Feb. 12, 2019 | Notice of Withdrawal of a Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Equity Index-Linked Securities Listing Standards Set Forth in NYSE Arca Rule 5.2-E(j)(6)(B)(I) |
| SR-NYSEArca-2019-02 | ||
| 34-85088 | Feb. 11, 2019 | Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF under NYSE Arca Rule 8.200-E
Comments due: March 8, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-01 | ||
| 34-85093 | Feb. 11, 2019 | Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust under NYSE Arca Rule 8.201-E
Comments due: March 8, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-05 | ||
| 34-85094 | Feb. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 8, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-03 | ||
| 34-85064 | Feb. 6, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31-E Relating to the Minimum Trade Size Modifier
Comments due: March 5, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-101 | ||
| 34-85035 | Feb. 1, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges Regarding Credits Applicable to Lead Market Makers and to ETP Holders and Market Makers Affiliated with the LMM that Provide Displayed Liquidity to the NYSE Arca Book in Tape B Securities
Comments due: February 22, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-98 | ||
| 34-85033 | Feb. 1, 2019 | Notice of Filing of Proposed Rule Change Relating to Listing and Trading Shares of the iShares Commodity Multi-Strategy ETF under NYSE Arca Rule 8.600-E; and Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Listing and Trading Shares of the iShares Commodity Multi-Strategy ETF under NYSE Arca Rule 8.600-E
Comments due: February 28, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2018-99 | ||
| 34-85029 | Feb. 1, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule
Comments due: February 22, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-54 | ||
| 34-85026 | Feb. 1, 2019 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares |
| SR-NYSEArca-2018-40 | ||
| 34-85020 | Jan. 31, 2019 | Notice of Withdrawal of a Proposed Rule Change Regarding Investments of the REX BKCM ETF |
| SR-NYSEArca-2018-43 | ||
| 34-84990 | Jan. 25, 2019 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF |
| SR-NYSEArca-2018-82 | ||
| 34-84987 | Jan. 17, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Certain Changes Relating to Investments of the PGIM Active High Yield Bond ETF |
NYSE Arca File Number List for 2019
| Release No. | Date | Details |
|---|---|---|
| SR-NYSEArca-2019-85 | ||
| 34-87685 | Dec. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-84 | ||
| 34-87623 | Nov. 25, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37-E to Specify in Exchange Rules the Exchange's Use of Data Feeds from NYSE American LLC
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-83 | ||
| 34-87610 | Nov. 25, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 6.72-O to Extend the Penny Pilot
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-82 | ||
| 34-87556 | Nov. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Permitting the Listing and Trading of Shares of the Nationwide Risk-Managed Income ETF under NYSE Arca Rule 8.600-E
Comments due: December 13, 2019 |
| SR-NYSEArca-2019-81 | ||
| 34-87542 | Nov. 14, 2019 | Notice of Filing of Proposed Rule Change 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: December 11, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-80 | ||
| 34-87519 | Nov. 13, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31-E to Delete Cross Orders
Comments due: December 10, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-79 | ||
| 34-87488 | Nov. 7, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37-E to Specify in Exchange Rules the Exchange's Use of Data Feeds from NYSE Chicago, Inc.
Comments due: December 5, 2019 |
| SR-NYSEArca-2019-78 | ||
| 34-87514 | Nov. 13, 2019 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Innovator PTAM Core Bond ETF under NYSE Arca Rule 8.600-E
Comments due: December 10, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-76 | ||
| 34-87346 | Oct. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: November 14, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-75 | ||
| 34-87355 | Oct. 18, 2019 | 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 14, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-73 | ||
| 34-87409 | Oct. 28, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Permitting the Continued Listing and Trading of the WisdomTree Emerging Markets Multifactor Fund and the WisdomTree International Multifactor Fund
Comments due: November 22, 2019 |
| SR-NYSEArca-2019-72 | ||
| 34-87313 | Oct. 16, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation of Intercontinental Exchange, Inc.
Comments due: November 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-71 | ||
| 34-87443 | Nov. 1, 2019 | Notice of Filing of Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange
Comments due: November 29, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-70 | ||
| 34-87292 | Oct. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: November 7, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-68 | ||
| 34-87278 | Oct. 10, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Listing and Trading of Shares under NYSE Arca Rule 8.600-E of the Overlay Shares Large Cap Equity ETF, Overlay Shares Small Cap Equity ETF, Overlay Shares Foreign Equity ETF, Overlay Shares Core Bond ETF and Overlay Shares Municipal Bond ETF
Comments due: November 7, 2019 |
| SR-NYSEArca-2019-67 | ||
| 34-87153 | Sep. 30, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange Retail Liquidity Program until October 31, 2019
Comments due: October 25, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-66 | ||
| 34-87017 | Sep. 19, 2019 | 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: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-65 | ||
| 34-87040 | Sep. 20, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Change in the Name and Benchmark Index for the SPDR Nuveen S&P High Yield Municipal Bond ETF
Comments due: October 17, 2019 |
| SR-NYSEArca-2019-64 | ||
| 34-87185 | Oct. 1, 2019 | Notice of Withdrawal of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule to Revise the Options Regulatory Fee |
| 34-86961 | Sep. 13, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule
Comments due: October 10, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-63 | ||
| 34-87350 | Oct. 18, 2019 | Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent the Retail Liquidity Program Pilot, Rule 7.44-E, Which is Set to Expire on October 31, 2019, Notice of Filing of Amendment No. 1, and Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS
Comments due: November 14, 2019 Additional Materials: Exhibit 5 |
| 34-86870 | Sep. 4, 2019 | Notice of Filing of Proposed Rule Change to Make Permanent Rule 7.44-E
Comments due: October 1, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-62 | ||
| 34-87437 | Oct. 31, 2019 | 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 Listing and Trading of Shares of the Innovator MSCI EAFE Power Buffer ETFs and Innovator MSCI Emerging Markets Power Buffer ETFs, Series of the Innovator ETFs Trust, Under NYSE Arca Rule 8.600-E
Comments due: November 27, 2019 |
| 34-86948 | Sep. 12, 2019 | Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Innovator MSCI EAFE Power Buffer ETFs and Innovator MSCI Emerging Markets Power Buffer ETFs, Series of the Innovator ETFs Trust, under NYSE Arca Rule 8.600-E
Comments due: October 9, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-61 | ||
| 34-87699 | Dec. 9, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Exchanges' Co-Location Price Lists to Offer Co-Location Users Access to the NMS Network and Establish Associated Fees
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Additional File Nos.: SR-NYSE-2019-46, SR-NYSENAT-2019-19, SR-NYSEAMER-2019-34 |
| 34-87400 | Oct. 24, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Exchange's Options and Equities Fee Schedules Related to Co-Location Services to Offer Access to a Network Providing Connection to the Three Equities and Options Feeds |
| 34-86868 | Sep. 4, 2019 | Notice of Filing 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: October 1, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-60 | ||
| 34-87589 | Nov. 22, 2019 | 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 thereto, to List and Trade Shares of the KFA Global Carbon ETF under NYSE Arca Rule 8.600-E
Comments due: December 20, 2019 Rebuttal comments due: January 3, 2020 |
| 34-87277 | Oct. 10, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 thereto, to List and Trade Shares of the KFA Global Carbon ETF under NYSE Arca Rule 8.600-E |
| 34-86752 | Aug. 23, 2019 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the KFA Global Carbon ETF under NYSE Arca Rule 8.600-E
Comments due: September 19, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-59 | ||
| 34-86697 | Aug. 16, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.40-O to Reduce the Minimum Allowable Parameter for the Transaction- and Volume-Based Settings in the Risk Limitation Mechanism
Comments due: September 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-58 | ||
| 34-87316 | Oct. 16, 2019 | Order Approving a Proposed Rule Change to Modify Rules 6.60-O and 6.65A-O Regarding the Treatment of Orders Subject to Trade Collar Protection |
| 34-86788 | Aug. 28, 2019 | Notice of Filing of Proposed Rule Change to Modify Rules 6.60-O and 6.65A-O Regarding the Treatment of Orders Subject to Trade Collar Protection
Comments due: September 25, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-57 | ||
| 34-87190 | Oct. 1, 2019 | Order Granting Approval of Proposed Rule Change to List and Trade Shares of the Franklin Liberty Systematic Style Premia ETF, a Series of the Franklin Templeton ETF Trust under NYSE Arca Rule 8.600-E |
| 34-86659 | Aug. 14, 2019 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the Franklin Liberty Systematic Style Premia ETF, a Series of the Franklin Templeton ETF Trust under NYSE Arca Rule 8.600-E
Comments due: September 10, 2019 |
| SR-NYSEArca-2019-56 | ||
| 34-86620 | Aug. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Adopt An Incremental Credit Under a Current Pricing Tier, Cross-Asset Tier 3
Comments due: September 5, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-55 | ||
| 34-87223 | Oct. 4, 2019 | Order Approving a Proposed Rule Change to Amend NYSE Arca Rule 8.700-E and to List and Trade Shares of the Dynamic Short Short-Term Volatility Futures ETF |
| 34-86714 | Aug. 20, 2019 | Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 8.700-E and to List and Trade Shares of the Dynamic Short Short-Term Volatility Futures ETF
Comments due: September 16, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-54 | ||
| 34-86547 | Aug. 1, 2019 | 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: August 28, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-53 | ||
| 34-86377 | Jul. 15, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges
Comments due: August 9, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-52 | ||
| 34-86458 | Jul. 24, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: August 20, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-51 | ||
| 34-87385 | Oct. 23, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF Currently Listed and Traded on the Exchange under NYSE Arca Rule 8.600-E
Comments due: November 18, 2019 Rebuttal comments due: December 3, 2019 Comments received are available for this proposal. |
| 34-86855 | Sep. 3, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF Currently Listed and Traded on the Exchange under NYSE Arca Rule 8.600-E |
| 34-86417 | Jul. 19, 2019 | Notice of Filing of Proposed Rule Change Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF Currently Listed and Traded on the Exchange under NYSE Arca Rule 8.600-E
Comments due: August 15, 2019 Comments received are available for this proposal. --> |
| SR-NYSEArca-2019-50 | ||
| 34-86423 | Jul. 22, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Rule 9.21-O, Delete Current Rules 9.21-O through 9.25-O, and Amend Rule 10.9551
Comments due: August 16, 2019 |
| SR-NYSEArca-2019-49 | ||
| 34-87091 | Sep. 24, 2019 | Notice of Withdrawal of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule to Modify the Options Regulatory Fee |
| 34-86832 | Aug. 30, 2019 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the Options Regulatory Fee
Comments due: September 27, 2019 Rebuttal comments due: October 11, 2019 |
| 34-86390 | Jul. 16, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule by Revising the Options Regulatory Fee
Comments due: August 12, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-46 | ||
| 34-86300 | Jul. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37-E to Update a Rule Cross Reference
Comments due: July 30, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-45 | ||
| 34-86198 | Jun. 26, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange Retail Liquidity Program until September 30, 2019
Comments due: July 23, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-43 | ||
| 34-86122 | Jun. 17, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: July 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-42 | ||
| 34-86121 | Jun. 17, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: July 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-41 | ||
| 34-86062 | Jun. 7, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 6.72-O in Order to Extend the Penny Pilot in Options Classes in Certain Issues
Comments due: July 5, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-40 | ||
| 34-85958 | May 29, 2019 | 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 25, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-39 | ||
| 34-87301 | Oct. 15, 2019 | Notice of Filing of Amendment No. 1 to Proposed Rule Change 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
Comments due: November 12, 2019 |
| 34-87071 | Sep. 24, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend NYSE Arca Rule
Comments due: October 21, 2019 Rebuttal comments due: November 4, 2019 |
| 34-86631 | Aug. 12, 2019 | 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 List and Trade Shares of the United States Bitcoin and Treasury Investment Trust under NYSE Arca Rule 8.201-E |
| 34-86195 | Jun. 25, 2019 | Notice of Filing of Proposed Rule Change 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
Comments due: July 22, 2019 Additional Materials: Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-38 | ||
| 34-86841 | Aug. 30, 2019 | Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, to Amend the Listing Rule Applicable to Shares of the Aware Ultra-Short Duration Enhanced Income ETF |
| 34-86414 | Jul. 19, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, Regarding Investments of the Aware Ultra-Short Duration Enhanced Income ETF |
| 34-85955 | May 29, 2019 | Notice of Filing of Proposed Rule Change Regarding Investments of Aware Ultra-Short Duration Enhanced Income ETF, a Series of Tidal ETF Trust
Comments due: June 25, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-37 | ||
| 34-85888 | May 17, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Adopt a Higher Credit for the Tier 2 Pricing Tier
Comments due: June 13, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-36 | ||
| 34-86362 | Jul. 12, 2019 | 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 Shares of JPMorgan Income Builder Blend ETF under NYSE Arca Rule 8.600-E
Comments due: August 8, 2019 |
| 34-85899 | May 21, 2019 | Notice of Filing of Proposed Rule Change to List and Trade Shares of JPMorgan Income Builder Blend ETF under NYSE Arca Rule 8.600-E
Comments due: June 18, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-35 | ||
| 34-85922 | May 23, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.60-O
Comments due: June 20, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-34 | ||
| 34-85872 | May 16, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds
Comments due: June 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-33 | ||
| 34-87410 | Oct. 28, 2019 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Regarding Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF
Comments due: November 22, 2019 |
| 34-86760 | Aug. 26, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Regarding Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF
Comments due: September 20, 2019 Rebuttal comments due: October 4, 2019 |
| 34-86299 | Jul. 3, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, Regarding Certain Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF |
| 34-85903 | May 21, 2019 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Certain Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF
Comments due: June 18, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-32 | ||
| 34-85871 | May 16, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Rule 6.15-O and Conforming Changes to Rule 6.46-O Governing the Give Up of a Clearing Broker
Comments due: June 12, 2019 Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 5 |
| SR-NYSEArca-2019-30 | ||
| 34-85820 | May 9, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: June 5, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-29 | ||
| 34-85724 | Apr. 25, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.11-E, Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments due: May 22, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-28 | ||
| 34-86112 | Jun. 14, 2019 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of the Virtus WMC Risk-Managed Alternative Equity ETF under NYSE Arca Rule 8.600-E |
| 34-85751 | Apr. 30, 2019 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the Virtus WMC Risk-Managed Alternative Equity ETF
Comments due: May 24, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-27 | ||
| 34-85697 | Apr. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete NYSE Arca Rule 8.800-E Setting Forth the Requirements for the NYSE Arca ETP Incentive Program
Comments due: May 16, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-25 | ||
| 34-85620 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-24 | ||
| 34-85696 | Apr. 19, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule Regarding Certain Credits
Comments due: May 16, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-23 | ||
| 34-85561 | Apr. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 7.12-E, Trading Halts Due to Extraordinary Market Volatility
Comments due: May 6, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-22 | ||
| 34-85610 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot for Certain Options Market Rules that are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-21 | ||
| 34-85532 | Apr. 5, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10-E, Clearly Erroneous Executions
Comments due: May 2, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-18 | ||
| 34-85494 | Apr. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.40-O to Reduce the Minimum Allowable Parameter for the Percentage-Based Risk Limitation Mechanism
Comments due: April 30, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-17 | ||
| 34-85426 | Mar. 26, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Statements Made in a Recent Filing In Regards to the Six-Month Lookback Period for New Issues Added to the Penny Pilot on a Quarterly Basis
Comments due: April 22, 2019 |
| SR-NYSEArca-2019-15 | ||
| 34-85639 | Apr. 12, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Investigation, Disciplinary, Sanction, and Other Procedural Rules Modeled on the Rules of the Exchange's Affiliate NYSE American LLC
Comments due: May 9, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-14 | ||
| 34-87576 | Nov. 20, 2019 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Permitted Investments of the PGIM Ultra Short Bond ETF |
| 34-87058 | Sep. 23, 2019 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to the Permitted Investments of the PGIM Ultra Short Bond ETF |
| 34-86220 | Jun. 27, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to the Permitted Investments of the PGIM Ultra Short Bond ETF
Comments due: July 24, 2019 Rebuttal comments due: August 7, 2019 Comments received are available for this proposal. |
| 34-85829 | May 10, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Certain Changes Regarding Investments of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E |
| 34-85430 | Mar. 27, 2019 | Notice of Filing of Proposed Rule Change Relating to Certain Changes Regarding Investments of the PGIM Ultra Short Bond ETF under NYSE Arca Rule 8.600-E
Comments due: April 23, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-13 | ||
| 34-85363 | Mar. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to Rule 6.72-O to specify that replacement issues may be added to the Penny Pilot quarterly
Comments due: April 15, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-12 | ||
| 34-87434 | Oct. 31, 2019 | 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 iShares Commodity Curve Carry Strategy ETF Under NYSE Arca Rule 8.600-E
Comments due: November 27, 2019 |
| 34-86945 | Sep. 12, 2019 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the iShares Commodity Curve Carry Strategy ETF under NYSE Arca Rule 8.600-E |
| 34-86136 | Jun. 18, 2019 | 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 iShares Commodity Curve Carry Strategy ETF
Comments due: July 15, 2019 Rebuttal comments due: July 29, 2019 |
| 34-85758 | May 1, 2019 | 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 iShares Commodity Curve Carry Strategy ETF under NYSE Arca Rule 8.600-E |
| 34-85312 | Mar. 14, 2019 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the iShares Commodity Curve Carry Strategy ETF under NYSE Arca Rule 8.600-E
Comments due: April 10, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-11 | ||
| 34-85306 | Mar. 13, 2019 | 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: April 9, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-10 | ||
| 34-85311 | Mar. 14, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Introduce a New Pricing Tier, Step Up Tier 4
Comments due: April 10, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-08 | ||
| 34-85265 | Mar. 7, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7.16-E, 7.18-E, 7.31-E, 7.34-E, 7.35-E, and 7.38-E
Comments due: April 3, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-07 | ||
| 34-85450 | Mar. 29, 2019 | 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: April 25, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-06 | ||
| 34-86017 | Jun. 3, 2019 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Certain Generic Listing Standards for Managed Fund Shares Applicable to Holdings of Fixed Income Securities |
| 34-85690 | Apr. 18, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Generic Listing Standards for Managed Fund Shares Applicable to Holdings in Fixed Income Securities |
| 34-85220 | Feb. 28, 2019 | Notice of Filing of Proposed Rule Change to Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Generic Listing Standards for Managed Fund Shares Applicable to Holdings in Fixed Income Securities
Comments due: March 27, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-05 | ||
| 34-85094 | Feb. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 8, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-04 | ||
| 34-87382 | Oct. 22, 2019 | 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 5.2-E(j)(3) to Adopt Generic Listing Standards for Investment Company Units Based on an Index or Portfolio of Municipal Securities
Comments due: November 18, 2019 |
| 34-86643 | Aug. 13, 2019 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending NYSE Arca Rule 5.2-E(j)(3) To Adopt Generic Listing Standards for Investment Company Units Based on an Index of Municipal Bond Securities |
| 34-85946 | May 28, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(3) and to Adopt Generic Listing Standards for Investment Company Units Based on an Index or Portfolio of Municipal Securities
Comments due: June 24, 2019 Rebuttal comments due: July 8, 2019 |
| 34-85573 | Apr. 9, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(3) to Adopt Generic Listing Standards for Investment Company Units Based on an Index of Municipal Bond Securities |
| 34-85170 | Feb. 21, 2019 | Notice of Filing of Proposed Rule Change Amending NYSE Arca Rule 5.2-E(j)(3) to Adopt Generic Listing Standards for Investment Company Units Based on an Index of Municipal Bond Securities
Comments due: March 20, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-03 | ||
| 34-85064 | Feb. 6, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31-E Relating to the Minimum Trade Size Modifier
Comments due: March 5, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-02 | ||
| 34-86532 | Jul. 31, 2019 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF under NYSE Arca Rule 8.200-E |
| 34-85860 | May 15, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF under NYSE Arca Rule 8.200-E
Comments due: June 11, 2019 Rebuttal comments due: June 25, 2019 |
| 34-85417 | Mar. 26, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF under NYSE Arca Rule 8.200-E |
| 34-85088 | Feb. 11, 2019 | Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF under NYSE Arca Rule 8.200-E
Comments due: March 8, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-01 | ||
| 34-87267 | Oct. 9, 2019 | Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E
See also: Letter from the Secretary of the Commission to Michael Cavalier, Counsel and David De Gregorio, Senior Counsel, Intercontinental Exchange, NYSE, dated October 15, 2019 |
| 34-86629 | Aug. 12, 2019 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust under NYSE Arca Rule 8.201-E |
| 34-85854 | May 14, 2019 | 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, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust
Comments due: June 11, 2019 Rebuttal comments due: June 25, 2019 |
| 34-85461 | Mar. 29, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust under NYSE Arca Rule 8.201-E |
| 34-85093 | Feb. 11, 2019 | Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust under NYSE Arca Rule 8.201-E
Comments due: March 8, 2019 Comments received are available for this proposal. |