NYSE Arca Rulemaking Archive 2018
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 2018
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Chronological List for 2018
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-NYSEArca-2018-77 | ||
| 34-84976 | Dec. 26, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Rule 7.44-E to Expand and Modify the Exchange's Retail Liquidity Program
Comments due: February 21, 2019 Rebuttal comments due: March 7, 2019 |
| SR-NYSEArca-2018-95 | ||
| 34-84971 | Dec. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule
Comments due: February 21, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-83 | ||
| 34-84931 | Dec. 21, 2018 | Notice of Filing of Proposed Rule Changes Regarding Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF
Comments due: January 22, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2018-93 | ||
| 34-84898 | Dec. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Options Fees and Charges and Equities Fees and Charges to Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection with the Exchange's Co-location Services
Comments due: January 18, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-94 | ||
| 34-84881 | Dec. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing and Trading of Shares of iShares Gold Trust Micro under NYSE Arca Rule 8.201-E
Comments due: January 18, 2019 |
| SR-NYSEArca-2018-80 | ||
| 34-84874 | Dec. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule in Conjunction with Relocating the Trading Floor to a New Trading Facility
Comments due: January 17, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-96 | ||
| 34-84873 | Dec. 19, 2018 | 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 through June 30, 2019
Comments due: January 17, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-92 | ||
| 34-84872 | Dec. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reflecting Changes to Certain Representations Relating to the Horizons S&P 500 Covered Call ETF
Comments due: January 17, 2019 |
| SR-NYSEArca-2018-97 | ||
| 34-84857 | Dec. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Delete References to the Term "Allied Person" from Exchange Rules
Comments due: January 17, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-91 | ||
| 34-84853 | Dec. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to ProShares Ultra Gold, ProShares UltraShort Gold, ProShares Ultra Silver, and ProShares UltraShort Silver
Comments due: January 17, 2019 |
| SR-NYSEArca-2018-67 | ||
| 34-84863 | Dec. 19, 2018 | 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 Equity Index-Linked Securities Listing Standards Set Forth in NYSE Arca Rule 5.2-E(j)(6)(B)(I)
Comments due: January 17, 2019 Rebuttal comments due: January 31, 2019 |
| SR-NYSEArca-2018-25 | ||
| 34-84826 | Dec. 14, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, Regarding the Continued Listing and Trading of Shares of the Natixis Loomis Sayles Short Duration Income ETF |
| SR-NYSEArca-2018-90 | ||
| 34-84819 | Dec. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges
Comments due: January 9, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-75 | ||
| 34-84818 | Dec. 13, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Regarding the Listing and Trading of Shares of the PGIM Ultra Short Bond ETF |
| SR-NYSEArca-2018-88 | ||
| 34-84786 | Dec. 11, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect a Change to the Benchmark Index of the SPDR Nuveen Bloomberg Barclays Municipal Bond ETF
Comments due: January 7, 2018 |
| SR-NYSEArca-2018-89 | ||
| 34-84773 | Dec. 10, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program Until June 30, 2019
Comments due: January 4, 2018 |
| SR-NYSEArca-2018-77 | ||
| 34-84772 | Dec. 10, 2018 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rule 7.44-E, the Exchange's Retail Liquidity Program |
| SR-NYSEArca-2013-107 | ||
| 34-84762 | Dec. 10, 2018 | Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Programs Until June 30, 2019 |
| SR-NYSEArca-2018-74 | ||
| 34-84737 | Dec. 6, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rules 6.62-O and 6.37A-O to Add New Order Types and Quotation Designations |
| SR-NYSEArca-2018-87 | ||
| 34-84735 | Dec. 6, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Arca Rule 5.1-E(a)(2)
Comments due: January 2, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-40 | ||
| 34-84732 | Dec. 6, 2018 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Regarding Investments of the REX BKCM ETF |
| SR-NYSEArca-2018-82 | ||
| 34-84696 | Nov. 30, 2018 | Notice of Filing of Proposed Rule Change Regarding Certain Changes Relating to Investments of the PGIM Active High Yield Bond ETF
Comments due: December 27, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2016-120 | ||
| 34-84676 | Nov. 29, 2018 | Request for Additional Comment: Proposed Rule Change to List and Trade Shares of the ForceShares Daily 4X US Market Futures Long Fund and ForceShares Daily 4X US Market Futures Short Fund Under Commentary .02 to NYSE Arca Equities Rule 8.200
Comments due: December 20, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-85 | ||
| 34-84648 | Nov. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Certificate of Incorporation, Bylaws and Rule 3.3
Comments due: December 21, 2018 Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c |
| SR-NYSEArca-2018-84 | ||
| 34-84647 | Nov. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.4-O, Series of Options Open for Trading
Comments due: December 21, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-60 | ||
| 34-84639 | Nov. 21, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the First Trust Long Duration Opportunities ETF under NYSE Arca Rule 8.600-E
Comments due: December 18, 2018 Rebuttal comments due: January 2, 2019 |
| SR-NYSEArca-2018-79 | ||
| 34-84586 | Nov. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Exchange Rules that Reference Pillar Phase I Protocols
Comments due: December 11, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-67 | ||
| 34-84576 | Nov. 13, 2018 | Notice of Designation of a Longer Period for Commission Action on 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-2018-78 | ||
| 34-84557 | Nov. 8, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Remove Certain Obsolete Text that References Pillar Phase I Protocols
Comments due: December 6, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-77 | ||
| 34-84547 | Nov. 7, 2018 | Notice of Filing of Proposed Rule Change to Amend Rule 7.44-E
Comments due: December 5, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-54 | ||
| 34-84517 | Nov. 1, 2018 | Order Instituting 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
Comments due: November 28, 2018 Rebuttal comments due: December 12, 2018 |
| SR-NYSEArca-2018-43 | ||
| 34-84504 | Oct. 30, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF
Comments due: November 26, 2018 Rebuttal comments due: December 10, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-76 | ||
| 34-84489 | Oct. 25, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: November 21, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-75 | ||
| 34-84486 | Oct. 25, 2018 | Notice of Filing of Proposed Rule Change Regarding Certain Investments of the PGIM Ultra Short Bond ETF
Comments due: November 21, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-63 | ||
| 34-84471 | Oct. 23, 2018 | Order Approving a Proposed Rule Change to Amend NYSE Arca Rule 1.1(ll) to Modify the Formula for Establishing the Official Closing Price for a Derivative Securities Product When There Is No Closing Auction or If the Closing Auction Is Less than One Round Lot, By Excluding the NBBO Midpoint If the Midpoint Multiplied by 10% Is Less than the NBBO Spread or If the NBBO Is Crossed |
| SR-NYSEArca-2018-25 | ||
| 34-84462 | Oct. 22, 2018 | 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, Regarding the Continued Listing and Trading of Shares of the Natixis Loomis Sayles Short Duration Income ETF |
| SR-NYSEArca-2018-74 | ||
| 34-84451 | Oct. 18, 2018 | Notice of Filing of Proposed Rule Change to Amend Rules 6.62-O and 6.37A-O to Add New Order Types and Quotation Designations
Comments due: November 14, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2018-70 | ||
| 34-84396 | Oct. 10, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing and Trading of Shares of the iShares iBond Dec 2026 Term Muni Bond ETF Under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3)
Comments due: November 6, 2018 |
| SR-NYSEArca-2018-71 | ||
| 34-84389 | Oct. 10, 2018 | Notice of Filing and Immediate Effectiveness of Amendments to Rules Regarding Qualification, Registration and Continuing Education Applicable to Equity Trading Permit Holders, Options Trading Permit Holders or OTP Firms
Comments due: November 6, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-60 | ||
| 34-84383 | Oct. 9, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the First Trust Long Duration Opportunities ETF under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2018-73 | ||
| 34-84379 | Oct. 5, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing and Trading of Shares of the First Trust Short Duration Managed Municipal ETF under NYSE Arca Rule 8.600-E
Comments due: November 2, 2018 |
| SR-NYSEArca-2018-72 | ||
| 34-84381 | Oct. 5, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing and Trading of Shares of the First Trust Ultra Short Duration Municipal ETF under NYSE Arca Rule 8.600-E
Comments due: November 2, 2018 |
| SR-NYSEArca-2018-02 | ||
| 34-84370 | Oct. 4, 2018 | Corrected Order Scheduling Filing of Statements on Review In the Matter of NYSE Arca, Inc. For an Order of Disapproval of Proposed Rule Change to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares, and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E (File No. SR-NYSEArca-2018-02) See also: Rel. No. 34-90430 (Order Setting Aside the Order by Delegated Authority Disapproving SR-NYSEArca-2018-02), Letter from David De Gregorio, Senior Counsel, New York Stock Exchange, dated June 17, 2020 (withdrawing the proposed rule change) |
| SR-NYSEArca-2017-139 | ||
| 34-84369 | Oct. 4, 2018 | Corrected Order Scheduling Filing of Statements on Review In the Matter of NYSE Arca, Inc. For an Order of Disapproval of Proposed Rule Change to List and Trade the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF (File No. SR-NYSEArca-2017-139) |
| SR-NYSEArca-2018-57 | ||
| 34-84348 | Oct. 3, 2018 | Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 4 and 6, to List and Trade Shares of the Amplify BlackSwan Growth & Treasury Core ETF Under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3) |
| Third Quarter | ||
| SR-NYSEArca-2018-68 | ||
| 34-84284 | Sep. 25, 2018 | Notice of Filing of Proposed Rule Change to Modify Rule 6.15-O Regarding the Give Up of a Clearing Member by OTP Holders and OTP Firms and Conforming changes to Rule 6.46-O
Comments due: October 22, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-69 | ||
| 34-84282 | Sep. 25, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend a Representation Relating to the Redemption Procedures Applicable to the Sprott Physical Gold and Silver Trust
Comments due: October 22, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-67 | ||
| 34-84279 | Sep. 25, 2018 | Notice of Filing of 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)
Comments due: October 22, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-40 | ||
| 34-84275 | Sep. 24, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Regarding Investments of the REX BKCM ETF
Comments due: October 19, 2018 Rebuttal comments due: November 2, 2018 |
| SR-NYSEArca-2018-55 | ||
| 34-84257 | Sep. 21, 2018 | Notice of Filing of Amendment No. 1 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the GraniteShares Gold MiniBAR Trust Pursuant to NYSE Arca Rule 8.201-E
Comments due: October 18, 2018 |
| SR-NYSEArca-2018-54 | ||
| 34-84195 | Sep. 19, 2018 | 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 Certain Generic Listing Standards for Managed Fund Shares |
| SR-NYSEArca-2018-43 | ||
| 34-84123 | Sep. 14, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF |
| SR-NYSEArca-2018-66 | ||
| 34-84103 | Sep. 12, 2018 | 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 3
Comments due: October 9, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-64 | ||
| 34-84099 | Sep. 12, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: October 9, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-65 | ||
| 34-84098 | Sep. 12, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Options Rules to Make Certain Non-Substantive Changes and to Harmonize Certain Rules with Those of Its Affiliate, NYSE American LLC
Comments due: October 9, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-63 | ||
| 34-84079 | Sep. 11, 2018 | Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 1.1 Official Closing Price to Exclude from the TWAP Calculation a Midpoint That Is Based on an NBBO That Is Not Reflective of the Security's True and Current Value
Comments due: October 9, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-38 | ||
| 34-84049 | Sep. 6, 2018 | Notice of Filing of Amendment No. 1 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Continued Listing Criteria Applicable to the Shares of the iShares California AMT Free Muni Bond ETF and iShares New York AMT-Free Muni Bond ETF
Comments due: October 3, 2018 |
| SR-NYSEArca-2018-62 | ||
| 34-83982 | Aug. 29, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing and Trading of Shares of the American Century Diversified Municipal Bond ETF under NYSE Arca Rule 8.600-E
Comments due: September 26, 2018 |
| SR-NYSEArca-2018-61 | ||
| 34-83967 | Aug. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31-E relating to Reserve Orders, to Re-Name Two Order Types, and to Delete Inoperative Rule Text
Comments due: September 25, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-60 | ||
| 34-83936 | Aug. 24, 2018 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the First Trust Long Duration Opportunities ETF under NYSE Arca Rule 8.600-E
Comments due: 21 days after publication in the Federal Register |
| SR-NYSEArca-2018-02 | ||
| 34-83912 | Aug. 22, 2018 | Order Disapproving a Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares, and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E See also: Letter from Secretary of the Commission to Eugene Schlanger, Counsel, NYSE Group, Inc., dated August 23, 2018 (providing notice of Commission review of delegated action and stay of order) |
| SR-NYSEArca-2017-139 | ||
| 34-83904 | Aug. 22, 2018 | Order Disapproving a Proposed Rule Change to List and Trade the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF See also: Letter from Secretary of the Commission to David De Gregorio, Senior Counsel, NYSE Group, Inc., dated August 23, 2018 (providing notice of Commission review of delegated action and stay of order) |
| SR-NYSEArca-2018-57 | ||
| 34-83845 | Aug. 14, 2018 | Notice of Filing of Proposed Rule Change, as Modified By Amendment No. 1, to List and Trade Shares of the Amplify BlackSwan Growth & Treasury Core ETF under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3)
Comments due: September 10, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-40 | ||
| 34-83844 | Aug. 14, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the REX BKCM ETF |
| SR-NYSEArca-2018-59 | ||
| 34-83837 | Aug. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 6.4-O and 6.4A-O
Comments due: September 10, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-58 | ||
| 34-83828 | Aug. 10, 2018 | 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
Comments due: September 6, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-56 | ||
| 34-83780 | Aug. 6, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: August 31, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-55 | ||
| 34-83765 | Aug. 2, 2018 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the GraniteShares Gold MiniBAR Trust
Comments due: August 29, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-54 | ||
| 34-83759 | Aug. 1, 2018 | Notice of Filing of Proposed Rule Change to Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares
Comments due: August 28, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-25 | ||
| 34-83733 | Jul. 27, 2018 | 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 Thereto Regarding the Continued Listing and Trading of Shares of the Natixis Loomis Sayles Short Duration Income ETF
Comments due: August 23, 2018 Rebuttal comments due: September 6, 2018 |
| SR-NYSEArca-2018-43 | ||
| 34-83720 | Jul. 26, 2018 | Notice of Filing of Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF
Comments received are available for this proposal. |
| SR-NYSEArca-2018-53 | ||
| 34-83716 | Jul. 26, 2018 | 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 in Connection with a Proposed Transaction with the Chicago Stock Exchange, Inc. Exchange and Its Parent, CHX Holdings, Inc.
Comments due: August 22, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-52 | ||
| 34-83708 | Jul. 25, 2018 | 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
Comments due: August 21, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-50 | ||
| 34-83695 | Jul. 24, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of Shares of the Columbia Multi-Sector Municipal Income ETF
Comments due: August 20, 2018 |
| SR-NYSEArca-2018-38 | ||
| 34-83694 | Jul. 24, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Continued Listing Criteria Applicable to the Indexes Underlying the iShares California AMT Free Muni Bond ETF and iShares New York AMT-Free Muni Bond ETF |
| SR-NYSEArca-2018-04 | ||
| 34-83692 | Jul. 24, 2018 | Notice of Withdrawal of a Proposed Rule Change to Adopt a New NYSE Arca Rule 8.900-E and to List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF under Proposed NYSE Arca Equities Rule 8.900-E |
| SR-NYSEArca-2018-04 | ||
| 34-83676 | Jul. 20, 2018 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a New NYSE Arca Rule 8.900-E and to List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF under Proposed NYSE Arca Equities Rule 8.900-E |
| SR-NYSEArca-2018-02 | ||
| 34-83661 | Jul. 18, 2018 | 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 Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares under NYSE Arca Rule 8.200-E |
| SR-NYSEArca-2018-51 | ||
| 34-83616 | Jul. 10, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: August 6, 2018 Additional Materials: Exhibit 5 |
| Second Quarter | ||
| SR-NYSEArca-2018-49 | ||
| 34-83554 | Jun. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: July 26, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-40 | ||
| 34-83546 | Jun. 28, 2018 | Notice of Filing of Proposed Rule Change Regarding Investments of the REX BKCM ETF
Comments due: July 24, 2018 |
| SR-NYSEArca-2018-46 | ||
| 34-83538 | Jun. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program Until December 31, 2018
Comments due: July 24, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-48 | ||
| 34-83512 | Jun. 25, 2018 | 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 through December 31, 2018
Comments due: July 20, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2017-139 | ||
| 34-83452 | Jun. 15, 2018 | 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 the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF under NYSE Arca Rule 8.200-E, Commentary .02 |
| SR-NYSEArca-2018-39 | ||
| 34-83447 | Jun. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes in the Description of the Investments of the USCF Canadian Crude Oil Index Fund
Comments due: July 11, 2018 |
| SR-NYSEArca-2018-41 | ||
| 34-83418 | Jun. 12, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: July 9, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-44 | ||
| 34-83413 | Jun. 12, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .06 to Rule 6.8-O
Comments due: July 9, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-42 | ||
| 34-83410 | Jun. 12, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Extend the Effectiveness of the Decommission Extension Fee until September 2018
Comments due: July 9, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-36 | ||
| 34-83403 | Jun. 11, 2018 | 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 in Connection with the Re-launch of Trading on NYSE National, Inc. and Proposed NYSE National Co-location Services
Comments due: July 6, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-25 | ||
| 34-83385 | Jun. 5, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Natixis Loomis Sayles Short Duration Income ETF |
| SR-NYSEArca-2018-38 | ||
| 34-83381 | Jun. 5, 2018 | Notice of Filing of Proposed Rule Change Relating to the Index Methodology Applicable to Indexes Underlying iShares California AMT Free Muni Bond ETF and iShares New York AMT-Free Muni Bond ETF
Comments due: July 2, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-37 | ||
| 34-83352 | May 31, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37-E and Rule 7.45-E with Respect to NYSE National's Reopening of Trading and Reactivating Connection to the Securities Information Processors
Comments due: June 27, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-27 | ||
| 34-83343 | May 30, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Intercontinental Exchange, Inc. Director Independence Policy
Comments due: June 26, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-31 | ||
| 34-83324 | May 24, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Arca Rule 5.3-E to Exclude Certain Categories of Issuers from the Exchange's Annual Meeting Requirement
Comments due: June 21, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-35 | ||
| 34-83320 | May 24, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Peritus High Yield ETF
Comments due: June 21, 2018 |
| SR-NYSEArca-2018-15 | ||
| 34-83319 | May 24, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Continue Listing and Trading Shares of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2018-34 | ||
| 34-83268 | May 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: June 13, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-32 | ||
| 34-83248 | May 15, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proposed Operation of the Perth Mint Physical Gold ETF Trust
Comments due: June 11, 2018 |
| SR-NYSEArca-2018-28 | ||
| 34-83218 | May 11, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Users with Connectivity to Three Additional Third Party Data Feeds and Change the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to these Co-location Services
Comments due: June 7, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-29 | ||
| 34-83202 | May 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule
Comments due: June 5, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-15 | ||
| 34-83174 | May 4, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Continue Listing and Trading Shares of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2018-26 | ||
| 34-83160 | May 3, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc.
Comments due: May 29, 2018 Additional Materials: Exhibit 5a |
| SR-NYSEArca-2018-25 | ||
| 34-83122 | Apr. 27, 2018 | Notice of Filing of Proposed Rule Change Regarding the Natixis Loomis Sayles Short Duration Income ETF
Comments due: May 24, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-04 | ||
| 34-83120 | Apr. 26, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt New NYSE Arca Rule 8.900-E and to List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF under Proposed NYSE Arca Rule 8.900-E
Comments due: May 23, 2018 Rebuttal comments due: June 6, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-02 | ||
| 34-83094 | Apr. 23, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E
Comments due: May 18, 2018 Rebuttal comments due: June 1, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-24 | ||
| 34-83074 | Apr. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule
Comments due: May 17, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-23 | ||
| 34-83066 | Apr. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 6.8-O, Commentary .06 to Expand Position Limits for Options on Certain Exchange-Traded Funds
Comments due: May 16, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-20 | ||
| 34-83032 | Apr. 11, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: May 8, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-17 | ||
| 34-83000 | Apr. 5, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ProShares Short VIX Short-Term Futures ETF and ProShares Ultra VIX Short-Term Futures ETF
Comments due: May 2, 2018 |
| SR-NYSEArca-2018-19 | ||
| 34-82993 | Apr. 4, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule With Respect to the Options Regulatory Fee
Comments due: May 1, 2018 Additional Materials: Exhibit 5 |
| FirstQuarter | ||
| SR-NYSEArca-2017-99 | ||
| 34-82973 | Mar. 30, 2018 | 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 the Hartford Schroders Tax-Aware Bond ETF under NYSE Arca Rule 8.600-E
Comments due: April 26, 2018 |
| SR-NYSEArca-2017-139 | ||
| 34-82939 | Mar. 23, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF under NYSE Arca Rule 8.200-E, Commentary .02
Comments due: April 19, 2018 Rebuttal comments due: May 3, 2018 |
| SR-NYSEArca-2018-18 | ||
| 34-82924 | Mar. 22, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation
Comments due: April 17, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-08 | ||
| 34-82907 | Mar. 20, 2018 | Order Approving a Proposed Rule Change to Amend NYSE Arca Rule 1.1(ll) to Establish How the Official Closing Price Would Be Determined for an Exchange-Listed Security That Is a Derivative Securities Product If the Exchange Does Not Conduct a Closing Auction or If a Closing Auction Trade Is Less Than a Round Lot |
| SR-NYSEArca-2018-15 | ||
| 34-82899 | Mar. 19, 2018 | Notice of Filing of Proposed Rule Change Regarding Investments of the PGIM Ultra Short Bond ETF, a Series of PGIM ETF Trust under NYSE Arca Rule 8.600-E
Comments due: April 13, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-14 | ||
| 34-82857 | Mar. 12, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Options Series Program
Comments due: April 6, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-16 | ||
| 34-82851 | Mar. 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5.3-O
Comments due: April 5, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2017-69 | ||
| 34-82850 | Mar. 9, 2018 | Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of ProShares QuadPro Funds under NYSE Arca Rule 8.200-E |
| SR-NYSEArca-2018-04 | ||
| 34-82824 | Mar. 7, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt a New NYSE Arca Rule 8.900-E and to List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF under Proposed NYSE Arca Equities Rule 8.900-E |
| SR-NYSEArca-2018-02 | ||
| 34-82795 | Mar. 1, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E |
| SR-NYSEArca-2018-13 | ||
| 34-82788 | Feb. 27, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Wilshire Micro-Cap ETF
Comments due: March 26, 2018 |
| SR-NYSEArca-2018-12 | ||
| 34-82716 | Feb. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Amend Rule 7.35-E(a)(8) Relating to the Auction Reference Price for the Trading Halt Auction for ProShares Short VIX Short-Term Futures ETF
Comments due: March 14, 2018 |
| SR-NYSEArca-2017-69 | ||
| 34-82684 | Feb. 9, 2018 | 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. 2, to List and Trade Shares of ProShares QuadPro Funds under NYSE Arca Rule 8.200-E |
| SR-NYSEArca-2018-10 | ||
| 34-82661 | Feb. 8, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 7, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-09 | ||
| 34-82638 | Feb. 6, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain of the Governing /Documents of its Intermediate Parent Companies
Comments due: March 5, 2018 Additional Materials: Exhibit 5a |
| SR-NYSEArca-2018-11 | ||
| 34-82625 | Feb. 2, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Certain Changes Regarding the U.S. Equity Cumulative Dividends Fund-Series 2027 and the U.S. Equity Ex-Dividend Fund - Series 2027
Comments due: March 1, 2018 |
| SR-NYSEArca-2018-06 | ||
| 34-82617 | Feb. 1, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Users with Access to Two Additional Third Party Systems and Connectivity to One Additional Third Party Data Feed
Comments due: February 28, 2017 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-08 | ||
| 34-82608 | Jan. 31, 2018 | Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 1.1(ll) to Establish How the Official Closing Price Would Be Determined for an Exchange-Listed Security That Is a Derivative Securities Product If the Exchange Does Not Conduct a Closing Auction or If a Closing Auction Trade Is Less Than a Round Lot
Comments due: February 27, 2017 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2017-139 | ||
| 34-82602 | Jan. 30, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF under NYSE Arca Rule 8.200-E, Commentary .02 |
| SR-NYSEArca-2017-140 | ||
| 34-82593 | Jan. 26, 2018 | Order Approving a Proposed Rule Change to List and Trade Shares of the Perth Mint Physical Gold ETF Trust Pursuant to NYSE Arca Rule 8.201-E |
| SR-NYSEArca-2017-99 | ||
| 34-82592 | Jan. 26, 2018 | 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 Hartford Schroders Tax-Aware Bond ETF under NYSE Arca Rule 8.600-E
Comments due: February 22, 2018 Rebuttal comments due: March 8, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-05 | ||
| 34-82587 | Jan. 25, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Guggenheim Ultra Short Duration ETF and the Guggenheim Total Return Bond ETF
Comments due: February 21, 2018 |
| SR-NYSEArca-2018-04 | ||
| 34-82549 | Jan. 19, 2018 | Notice of Filing of Proposed Rule Change to Adopt a New NYSE Arca Rule 8.900-E and to List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF under Proposed NYSE Arca Equities Rule 8.900-E
Comments due: February 16, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2018-02 | ||
| 34-82532 | Jan. 18, 2018 | Notice of Filing of Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares under NYSE Arca Rule 8.200-E
Comments due: February 14, 2018 |
| SR-NYSEArca-2017-59 | ||
| SR-NYSEArca-2017-57 | ||
| 34-82524 | Jan. 17, 2018 | Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| SR-NYSEArca-2017-52 | ||
| 34-82503 | Jan. 16, 2018 | Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37 |
| SR-NYSEArca-2018-01 | ||
| 34-82504 | Jan. 16, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31-E Relating to Mid-Point Liquidity Orders and the Minimum Trade Size Modifier and Rule 7.36-E to Add a Definition of "Aggressing Order"
Comments due: February 12, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2017-87 | ||
| 34-82492 | Jan. 12, 2018 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 6, to List and Trade Shares of the JPMorgan Long/Short ETF under NYSE Arca Rule 8.600-E |
| SR-NYSEArca-2017-138 | ||
| 34-82487 | Jan. 11, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade the Shares of the Goldman Sachs Access Emerging Markets Local Currency Bond ETF under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3)
Comments due: February 8, 2018 |
| SR-NYSEArca-2017-131 | ||
| 34-82448 | Jan. 5, 2018 | Notice of Filing of Amendment No. 2 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the Sprott Physical Gold and Silver Trust under NYSE Arca Rule 8.201-E
Comments due: February 1, 2018 |
NYSE Arca File Number List for 2018
| Release No. | Date | Details |
|---|---|---|
| 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-2018-99 | ||
| 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-2018-98 | ||
| 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 |
| 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 |
| 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 |
| 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-2018-97 | ||
| 34-84857 | Dec. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Delete References to the Term "Allied Person" from Exchange Rules
Comments due: January 17, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-96 | ||
| 34-84873 | Dec. 19, 2018 | 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 through June 30, 2019
Comments due: January 17, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-95 | ||
| 34-84971 | Dec. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule
Comments due: February 21, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-94 | ||
| 34-84881 | Dec. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing and Trading of Shares of iShares Gold Trust Micro under NYSE Arca Rule 8.201-E
Comments due: January 18, 2019 |
| SR-NYSEArca-2018-93 | ||
| 34-84898 | Dec. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Options Fees and Charges and Equities Fees and Charges to Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection with the Exchange's Co-location Services
Comments due: January 18, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-92 | ||
| 34-84872 | Dec. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reflecting Changes to Certain Representations Relating to the Horizons S&P 500 Covered Call ETF
Comments due: January 17, 2019 |
| SR-NYSEArca-2018-91 | ||
| 34-84853 | Dec. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to ProShares Ultra Gold, ProShares UltraShort Gold, ProShares Ultra Silver, and ProShares UltraShort Silver
Comments due: January 17, 2019 |
| SR-NYSEArca-2018-90 | ||
| 34-84819 | Dec. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges
Comments due: January 9, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-89 | ||
| 34-84773 | Dec. 10, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program Until June 30, 2019
Comments due: January 4, 2018 |
| SR-NYSEArca-2018-88 | ||
| 34-84786 | Dec. 11, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect a Change to the Benchmark Index of the SPDR Nuveen Bloomberg Barclays Municipal Bond ETF
Comments due: January 7, 2018 |
| SR-NYSEArca-2018-87 | ||
| 34-84735 | Dec. 6, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Arca Rule 5.1-E(a)(2)
Comments due: January 2, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-85 | ||
| 34-84648 | Nov. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Certificate of Incorporation, Bylaws and Rule 3.3
Comments due: December 21, 2018 Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c |
| SR-NYSEArca-2018-84 | ||
| 34-84647 | Nov. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.4-O, Series of Options Open for Trading
Comments due: December 21, 2018 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 |
| 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 |
| 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 |
| 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 |
| 34-84931 | Dec. 21, 2018 | Notice of Filing of Proposed Rule Changes Regarding Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF
Comments due: January 22, 2019 Comments received are available for this proposal. |
| 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 |
| 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 |
| 34-84696 | Nov. 30, 2018 | Notice of Filing of Proposed Rule Change Regarding Certain Changes Relating to Investments of the PGIM Active High Yield Bond ETF
Comments due: December 27, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-80 | ||
| 34-84874 | Dec. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule in Conjunction with Relocating the Trading Floor to a New Trading Facility
Comments due: January 17, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-79 | ||
| 34-84586 | Nov. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Exchange Rules that Reference Pillar Phase I Protocols
Comments due: December 11, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-78 | ||
| 34-84557 | Nov. 8, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Remove Certain Obsolete Text that References Pillar Phase I Protocols
Comments due: December 6, 2018 Additional Materials: Exhibit 5 |
| 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 |
| 34-84976 | Dec. 26, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Rule 7.44-E to Expand and Modify the Exchange's Retail Liquidity Program
Comments due: February 21, 2019 Rebuttal comments due: March 7, 2019 |
| 34-84772 | Dec. 10, 2018 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rule 7.44-E, the Exchange's Retail Liquidity Program |
| 34-84547 | Nov. 7, 2018 | Notice of Filing of Proposed Rule Change to Amend Rule 7.44-E
Comments due: December 5, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-76 | ||
| 34-84489 | Oct. 25, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: November 21, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-75 | ||
| 34-84818 | Dec. 13, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Regarding the Listing and Trading of Shares of the PGIM Ultra Short Bond ETF |
| 34-84486 | Oct. 25, 2018 | Notice of Filing of Proposed Rule Change Regarding Certain Investments of the PGIM Ultra Short Bond ETF
Comments due: November 21, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-74 | ||
| 34-84737 | Dec. 6, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rules 6.62-O and 6.37A-O to Add New Order Types and Quotation Designations |
| 34-84451 | Oct. 18, 2018 | Notice of Filing of Proposed Rule Change to Amend Rules 6.62-O and 6.37A-O to Add New Order Types and Quotation Designations
Comments due: November 14, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2018-73 | ||
| 34-84379 | Oct. 5, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing and Trading of Shares of the First Trust Short Duration Managed Municipal ETF under NYSE Arca Rule 8.600-E
Comments due: November 2, 2018 |
| SR-NYSEArca-2018-72 | ||
| 34-84381 | Oct. 5, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing and Trading of Shares of the First Trust Ultra Short Duration Municipal ETF under NYSE Arca Rule 8.600-E
Comments due: November 2, 2018 |
| SR-NYSEArca-2018-71 | ||
| 34-84389 | Oct. 10, 2018 | Notice of Filing and Immediate Effectiveness of Amendments to Rules Regarding Qualification, Registration and Continuing Education Applicable to Equity Trading Permit Holders, Options Trading Permit Holders or OTP Firms
Comments due: November 6, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-70 | ||
| 34-84396 | Oct. 10, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing and Trading of Shares of the iShares iBond Dec 2026 Term Muni Bond ETF Under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3)
Comments due: November 6, 2018 |
| SR-NYSEArca-2018-69 | ||
| 34-84282 | Sep. 25, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend a Representation Relating to the Redemption Procedures Applicable to the Sprott Physical Gold and Silver Trust
Comments due: October 22, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-68 | ||
| 34-84284 | Sep. 25, 2018 | Notice of Filing of Proposed Rule Change to Modify Rule 6.15-O Regarding the Give Up of a Clearing Member by OTP Holders and OTP Firms and Conforming changes to Rule 6.46-O
Comments due: October 22, 2018 Additional Materials: Exhibit 5 |
| 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) |
| 34-84863 | Dec. 19, 2018 | 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 Equity Index-Linked Securities Listing Standards Set Forth in NYSE Arca Rule 5.2-E(j)(6)(B)(I)
Comments due: January 17, 2019 Rebuttal comments due: January 31, 2019 |
| 34-84576 | Nov. 13, 2018 | Notice of Designation of a Longer Period for Commission Action on 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) |
| 34-84279 | Sep. 25, 2018 | Notice of Filing of 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)
Comments due: October 22, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-66 | ||
| 34-84103 | Sep. 12, 2018 | 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 3
Comments due: October 9, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-65 | ||
| 34-84098 | Sep. 12, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Options Rules to Make Certain Non-Substantive Changes and to Harmonize Certain Rules with Those of Its Affiliate, NYSE American LLC
Comments due: October 9, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-64 | ||
| 34-84099 | Sep. 12, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: October 9, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-63 | ||
| 34-84471 | Oct. 23, 2018 | Order Approving a Proposed Rule Change to Amend NYSE Arca Rule 1.1(ll) to Modify the Formula for Establishing the Official Closing Price for a Derivative Securities Product When There Is No Closing Auction or If the Closing Auction Is Less than One Round Lot, By Excluding the NBBO Midpoint If the Midpoint Multiplied by 10% Is Less than the NBBO Spread or If the NBBO Is Crossed |
| 34-84079 | Sep. 11, 2018 | Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 1.1 Official Closing Price to Exclude from the TWAP Calculation a Midpoint That Is Based on an NBBO That Is Not Reflective of the Security's True and Current Value
Comments due: October 9, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-62 | ||
| 34-83982 | Aug. 29, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing and Trading of Shares of the American Century Diversified Municipal Bond ETF under NYSE Arca Rule 8.600-E
Comments due: September 26, 2018 |
| SR-NYSEArca-2018-61 | ||
| 34-83967 | Aug. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31-E relating to Reserve Orders, to Re-Name Two Order Types, and to Delete Inoperative Rule Text
Comments due: September 25, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-60 | ||
| 34-84639 | Nov. 21, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the First Trust Long Duration Opportunities ETF under NYSE Arca Rule 8.600-E
Comments due: December 18, 2018 Rebuttal comments due: January 2, 2019 |
| 34-84383 | Oct. 9, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the First Trust Long Duration Opportunities ETF under NYSE Arca Rule 8.600-E |
| 34-83936 | Aug. 24, 2018 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the First Trust Long Duration Opportunities ETF under NYSE Arca Rule 8.600-E
Comments due: 21 days after publication in the Federal Register |
| SR-NYSEArca-2018-59 | ||
| 34-83837 | Aug. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 6.4-O and 6.4A-O
Comments due: September 10, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-58 | ||
| 34-83828 | Aug. 10, 2018 | 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
Comments due: September 6, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-57 | ||
| 34-84348 | Oct. 3, 2018 | Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 4 and 6, to List and Trade Shares of the Amplify BlackSwan Growth & Treasury Core ETF Under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3) |
| 34-83845 | Aug. 14, 2018 | Notice of Filing of Proposed Rule Change, as Modified By Amendment No. 1, to List and Trade Shares of the Amplify BlackSwan Growth & Treasury Core ETF under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3)
Comments due: September 10, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-56 | ||
| 34-83780 | Aug. 6, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: August 31, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-55 | ||
| 34-84257 | Sep. 21, 2018 | Notice of Filing of Amendment No. 1 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the GraniteShares Gold MiniBAR Trust Pursuant to NYSE Arca Rule 8.201-E
Comments due: October 18, 2018 |
| 34-83765 | Aug. 2, 2018 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the GraniteShares Gold MiniBAR Trust
Comments due: August 29, 2018 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 |
| 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 |
| 34-84517 | Nov. 1, 2018 | Order Instituting 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
Comments due: November 28, 2018 Rebuttal comments due: December 12, 2018 |
| 34-84195 | Sep. 19, 2018 | 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 Certain Generic Listing Standards for Managed Fund Shares |
| 34-83759 | Aug. 1, 2018 | Notice of Filing of Proposed Rule Change to Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares
Comments due: August 28, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-53 | ||
| 34-83716 | Jul. 26, 2018 | 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 in Connection with a Proposed Transaction with the Chicago Stock Exchange, Inc. Exchange and Its Parent, CHX Holdings, Inc.
Comments due: August 22, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-52 | ||
| 34-83708 | Jul. 25, 2018 | 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
Comments due: August 21, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-51 | ||
| 34-83616 | Jul. 10, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: August 6, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-50 | ||
| 34-83695 | Jul. 24, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of Shares of the Columbia Multi-Sector Municipal Income ETF
Comments due: August 20, 2018 |
| SR-NYSEArca-2018-49 | ||
| 34-83554 | Jun. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: July 26, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-48 | ||
| 34-83512 | Jun. 25, 2018 | 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 through December 31, 2018
Comments due: July 20, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-46 | ||
| 34-83538 | Jun. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program Until December 31, 2018
Comments due: July 24, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-44 | ||
| 34-83413 | Jun. 12, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .06 to Rule 6.8-O
Comments due: July 9, 2018 Additional Materials: Exhibit 5 |
| 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 |
| 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 |
| 34-84504 | Oct. 30, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF
Comments due: November 26, 2018 Rebuttal comments due: December 10, 2018 Comments received are available for this proposal. |
| 34-84123 | Sep. 14, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF |
| 34-83720 | Jul. 26, 2018 | Notice of Filing of Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF
Comments received are available for this proposal. |
| SR-NYSEArca-2018-42 | ||
| 34-83410 | Jun. 12, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Extend the Effectiveness of the Decommission Extension Fee until September 2018
Comments due: July 9, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-41 | ||
| 34-83418 | Jun. 12, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: July 9, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-40 | ||
| 34-85020 | Jan. 31, 2019 | Notice of Withdrawal of a Proposed Rule Change Regarding Investments of the REX BKCM ETF |
| 34-84732 | Dec. 6, 2018 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Regarding Investments of the REX BKCM ETF |
| 34-84275 | Sep. 24, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Regarding Investments of the REX BKCM ETF
Comments due: October 19, 2018 Rebuttal comments due: November 2, 2018 |
| 34-83844 | Aug. 14, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the REX BKCM ETF |
| 34-83546 | Jun. 28, 2018 | Notice of Filing of Proposed Rule Change Regarding Investments of the REX BKCM ETF
Comments due: July 24, 2018 |
| SR-NYSEArca-2018-39 | ||
| 34-83447 | Jun. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes in the Description of the Investments of the USCF Canadian Crude Oil Index Fund
Comments due: July 11, 2018 |
| SR-NYSEArca-2018-38 | ||
| 34-84049 | Sep. 6, 2018 | Notice of Filing of Amendment No. 1 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Continued Listing Criteria Applicable to the Shares of the iShares California AMT Free Muni Bond ETF and iShares New York AMT-Free Muni Bond ETF
Comments due: October 3, 2018 |
| 34-83694 | Jul. 24, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Continued Listing Criteria Applicable to the Indexes Underlying the iShares California AMT Free Muni Bond ETF and iShares New York AMT-Free Muni Bond ETF |
| 34-83381 | Jun. 5, 2018 | Notice of Filing of Proposed Rule Change Relating to the Index Methodology Applicable to Indexes Underlying iShares California AMT Free Muni Bond ETF and iShares New York AMT-Free Muni Bond ETF
Comments due: July 2, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-37 | ||
| 34-83352 | May 31, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37-E and Rule 7.45-E with Respect to NYSE National's Reopening of Trading and Reactivating Connection to the Securities Information Processors
Comments due: June 27, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-36 | ||
| 34-83403 | Jun. 11, 2018 | 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 in Connection with the Re-launch of Trading on NYSE National, Inc. and Proposed NYSE National Co-location Services
Comments due: July 6, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-35 | ||
| 34-83320 | May 24, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Peritus High Yield ETF
Comments due: June 21, 2018 |
| SR-NYSEArca-2018-34 | ||
| 34-83268 | May 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: June 13, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-32 | ||
| 34-83248 | May 15, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proposed Operation of the Perth Mint Physical Gold ETF Trust
Comments due: June 11, 2018 |
| SR-NYSEArca-2018-31 | ||
| 34-83324 | May 24, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Arca Rule 5.3-E to Exclude Certain Categories of Issuers from the Exchange's Annual Meeting Requirement
Comments due: June 21, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-29 | ||
| 34-83202 | May 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule
Comments due: June 5, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-28 | ||
| 34-83218 | May 11, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Users with Connectivity to Three Additional Third Party Data Feeds and Change the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to these Co-location Services
Comments due: June 7, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-27 | ||
| 34-83343 | May 30, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Intercontinental Exchange, Inc. Director Independence Policy
Comments due: June 26, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-26 | ||
| 34-83160 | May 3, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc.
Comments due: May 29, 2018 Additional Materials: Exhibit 5a |
| SR-NYSEArca-2018-25 | ||
| 34-84826 | Dec. 14, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, Regarding the Continued Listing and Trading of Shares of the Natixis Loomis Sayles Short Duration Income ETF |
| 34-84462 | Oct. 22, 2018 | 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, Regarding the Continued Listing and Trading of Shares of the Natixis Loomis Sayles Short Duration Income ETF |
| 34-83733 | Jul. 27, 2018 | 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 Thereto Regarding the Continued Listing and Trading of Shares of the Natixis Loomis Sayles Short Duration Income ETF
Comments due: August 23, 2018 Rebuttal comments due: September 6, 2018 |
| 34-83385 | Jun. 5, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Natixis Loomis Sayles Short Duration Income ETF |
| 34-83122 | Apr. 27, 2018 | Notice of Filing of Proposed Rule Change Regarding the Natixis Loomis Sayles Short Duration Income ETF
Comments due: May 24, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-24 | ||
| 34-83074 | Apr. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule
Comments due: May 17, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-23 | ||
| 34-83066 | Apr. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 6.8-O, Commentary .06 to Expand Position Limits for Options on Certain Exchange-Traded Funds
Comments due: May 16, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-20 | ||
| 34-83032 | Apr. 11, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: May 8, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-19 | ||
| 34-82993 | Apr. 4, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule With Respect to the Options Regulatory Fee
Comments due: May 1, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-18 | ||
| 34-82924 | Mar. 22, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation
Comments due: April 17, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-17 | ||
| 34-83000 | Apr. 5, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ProShares Short VIX Short-Term Futures ETF and ProShares Ultra VIX Short-Term Futures ETF
Comments due: May 2, 2018 |
| SR-NYSEArca-2018-16 | ||
| 34-82851 | Mar. 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5.3-O
Comments due: April 5, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-15 | ||
| 34-83319 | May 24, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Continue Listing and Trading Shares of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E |
| 34-83174 | May 4, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Continue Listing and Trading Shares of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E |
| 34-82899 | Mar. 19, 2018 | Notice of Filing of Proposed Rule Change Regarding Investments of the PGIM Ultra Short Bond ETF, a Series of PGIM ETF Trust under NYSE Arca Rule 8.600-E
Comments due: April 13, 2018 Comments received are available for this proposal. |
| SR-NYSEArca-2018-14 | ||
| 34-82857 | Mar. 12, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Options Series Program
Comments due: April 6, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-13 | ||
| 34-82788 | Feb. 27, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Wilshire Micro-Cap ETF
Comments due: March 26, 2018 |
| SR-NYSEArca-2018-12 | ||
| 34-82716 | Feb. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Amend Rule 7.35-E(a)(8) Relating to the Auction Reference Price for the Trading Halt Auction for ProShares Short VIX Short-Term Futures ETF
Comments due: March 14, 2018 |
| SR-NYSEArca-2018-11 | ||
| 34-82625 | Feb. 2, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Certain Changes Regarding the U.S. Equity Cumulative Dividends Fund-Series 2027 and the U.S. Equity Ex-Dividend Fund - Series 2027
Comments due: March 1, 2018 |
| SR-NYSEArca-2018-10 | ||
| 34-82661 | Feb. 8, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 7, 2018 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-09 | ||
| 34-82638 | Feb. 6, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain of the Governing /Documents of its Intermediate Parent Companies
Comments due: March 5, 2018 Additional Materials: Exhibit 5a |
| SR-NYSEArca-2018-08 | ||
| 34-82907 | Mar. 20, 2018 | Order Approving a Proposed Rule Change to Amend NYSE Arca Rule 1.1(ll) to Establish How the Official Closing Price Would Be Determined for an Exchange-Listed Security That Is a Derivative Securities Product If the Exchange Does Not Conduct a Closing Auction or If a Closing Auction Trade Is Less Than a Round Lot |
| 34-82608 | Jan. 31, 2018 | Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 1.1(ll) to Establish How the Official Closing Price Would Be Determined for an Exchange-Listed Security That Is a Derivative Securities Product If the Exchange Does Not Conduct a Closing Auction or If a Closing Auction Trade Is Less Than a Round Lot
Comments due: February 27, 2017 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-06 | ||
| 34-82617 | Feb. 1, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Users with Access to Two Additional Third Party Systems and Connectivity to One Additional Third Party Data Feed
Comments due: February 28, 2017 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-05 | ||
| 34-82587 | Jan. 25, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Guggenheim Ultra Short Duration ETF and the Guggenheim Total Return Bond ETF
Comments due: February 21, 2018 |
| SR-NYSEArca-2018-04 | ||
| 34-83692 | Jul. 24, 2018 | Notice of Withdrawal of a Proposed Rule Change to Adopt a New NYSE Arca Rule 8.900-E and to List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF under Proposed NYSE Arca Equities Rule 8.900-E |
| 34-83676 | Jul. 20, 2018 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a New NYSE Arca Rule 8.900-E and to List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF under Proposed NYSE Arca Equities Rule 8.900-E |
| 34-83120 | Apr. 26, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt New NYSE Arca Rule 8.900-E and to List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF under Proposed NYSE Arca Rule 8.900-E
Comments due: May 23, 2018 Rebuttal comments due: June 6, 2018 Comments received are available for this proposal. |
| 34-82824 | Mar. 7, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt a New NYSE Arca Rule 8.900-E and to List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF under Proposed NYSE Arca Equities Rule 8.900-E |
| 34-82549 | Jan. 19, 2018 | Notice of Filing of Proposed Rule Change to Adopt a New NYSE Arca Rule 8.900-E and to List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF under Proposed NYSE Arca Equities Rule 8.900-E
Comments due: February 16, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2018-02 | ||
| 34-84370 | Oct. 4, 2018 | Corrected Order Scheduling Filing of Statements on Review In the Matter of NYSE Arca, Inc. For an Order of Disapproval of Proposed Rule Change to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares, and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E (File No. SR-NYSEArca-2018-02) See also: Rel. No. 34-90430 (Order Setting Aside the Order by Delegated Authority Disapproving SR-NYSEArca-2018-02), Letter from David De Gregorio, Senior Counsel, New York Stock Exchange, dated June 17, 2020 (withdrawing the proposed rule change) |
| 34-83912 | Aug. 22, 2018 | Order Disapproving a Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares, and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E See also: Letter from Secretary of the Commission to Eugene Schlanger, Counsel, NYSE Group, Inc., dated August 23, 2018 (providing notice of Commission review of delegated action and stay of order) |
| 34-83661 | Jul. 18, 2018 | 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 Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares under NYSE Arca Rule 8.200-E |
| 34-83094 | Apr. 23, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E
Comments due: May 18, 2018 Rebuttal comments due: June 1, 2018 Comments received are available for this proposal. |
| 34-82795 | Mar. 1, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E |
| 34-82532 | Jan. 18, 2018 | Notice of Filing of Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares under NYSE Arca Rule 8.200-E
Comments due: February 14, 2018 |
| SR-NYSEArca-2018-01 | ||
| 34-82504 | Jan. 16, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31-E Relating to Mid-Point Liquidity Orders and the Minimum Trade Size Modifier and Rule 7.36-E to Add a Definition of "Aggressing Order"
Comments due: February 12, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |