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Release Number:34-100402
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SEC Issue Date:
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File Number:SR-FICC-2024-008
|
Details: Order Approving Proposed Rule Change to Modify the GSD Rules and MBSD Rules to Update Certain Member Requirements Under CCLF
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Release Number:34-100400
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SEC Issue Date:
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File Number:SR-DTC-2024-003
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Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Clearing Agency Risk Management Framework
File Nos.:
SR-DTC-2024-003, SR-FICC-2024-006, SR-NSCC-2024-003
Comments Due:
21 days after publication in the Federal Register. Rebuttal Comments should be submitted 35 days after date of publication in the Federal Register.
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Release Number:34-100401
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SEC Issue Date:
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File Number:SR-FICC-2024-007
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the GSD Rules (i) Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Particip
Comments Due: 21 days after publication in the Federal Register. Rebuttal Comments Due: 35 days after publication in the Federal Register.
View Received Comments
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Release Number:34-100399
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SEC Issue Date:
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File Number:SR-FICC-2024-005
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement of All Eligible Secondary Market Transacti
View Received Comments
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|
Release Number: 34-100394
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SEC Issue Date:
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File Number:SR-LCH SA-2024-002
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Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to the CDS Select Membership Model
Comments Due: 21 days after publication in the Federal Register. Rebuttal comments should be submitted 35 days after publication in the Federal Register.
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Release Number:34-100390
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SEC Issue Date:
|
File Number: SR-NYSEARCA-2024-27
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the 7RCC Spot Bitcoin and Carbon Credit Futures ETF Under NYSE Arca Rule 8.500-E (Trust Units)
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Release Number:34-100327
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SEC Issue Date:
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File Number:SR-NYSE-2024-13
|
Details: Order Approving a Proposed Rule Change Amending Rule 7.35 and Rule 7.35B
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Release Number:34-100274
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SEC Issue Date:
|
File Number:SR-ICC-2024-003
|
Details: Order Approving Proposed Rule Change Relating to the ICC Collateral Risk Management Framework
|
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Release Number:34-100256
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SEC Issue Date:
|
File Number:SR-CBOE-2024-008
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a New Rule Regarding Order and Execution Management Systems
Comments Due: 21 days after publication in the Federal Register.
Rebuttal Comments Due: 35 days after publication in the Federal Register.
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|
Release Number:34-100224
|
SEC Issue Date:
|
File Number:SR-NYSEARCA-2023-70
|
Details: Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments Thereto, to List and Trade Shares of Ether-Based Exchange-Traded Products
File Nos.:
SR-NYSEARCA-2023-70, SR-NYSEARCA-2024-31, SR-NASDAQ-2023-045, SR-CboeBZX-2023-069, SR-CboeBZX-2023-070, SR-CboeBZX-2023-087, SR-CboeBZX-2023-095, SR-CboeBZX-2024-018
Comments Due: June 20, 2024
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|
Release Number:34-100188
|
SEC Issue Date:
|
File Number:SR-NASDAQ-2024-016
|
Details: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Increase Fees for Certain Market Data and Connectivity Products and to Maintain the Current Fees for Such Products if Members Meet a Mini
Comments Due: June 18, 2024. Rebuttal comments should be submitted by July 2, 2024.
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Release Number:34-100160
|
SEC Issue Date:
|
File Number:SR-PHLX-2024-15
|
Details: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Exchange's Fees for Top of PHLX Options (TOPO), PHLX Orders, and TOPO Plus Orders
Comments Due: June 12, 2024. Rebuttal comments should be submitted by June 26, 2024.
View Received Comments
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|
Release Number:34-100113
|
SEC Issue Date:
|
File Number:SR-CboeBYX-2024-004
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Definition of Retail Order, and Codify Interpretations and Policies Regarding Permissible Uses of Algorithms by RMOs
Comments Due: June 7, 2024. Rebuttal comments should be submitted June 21, 2024.
|
|
Release Number:34-100115
|
SEC Issue Date:
|
File Number:SR-CboeBZX-2024-007
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Definition of Retail Order, and Codify Interpretations and Policies Regarding Permissible Uses of Algorithms by RMOs
Comments Due: June 7, 2024. Rebuttal comments should be submitted by June 21, 2024.
|
|
Release Number:34-100114
|
SEC Issue Date:
|
File Number:SR-CboeEDGX-2024-009
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Definition of Retail Order, and Codify Interpretations and Policies Regarding Permissible Uses of Algorithms by RMOs
Comments Due: June 7, 2024. Rebuttal comments should be submitted June 21, 2024.
|
|
Release Number:34-100065
|
SEC Issue Date:
|
File Number:SR-CboeBZX-2023-087
|
Details: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Invesco Galaxy Ethereum ETF under BZX Rule 14.11(e)(4), Commodity-Based Trus
|
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Release Number:34-100052
|
SEC Issue Date:
|
File Number:SR-CboeEDGX-2024-007
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend Rule 11.6(n)(4) and Rule 11.10(a)(4)(D) to Permit the Use of the Post Only Order Instruction at Prices Below $1.00
Comments Due: May 29, 2024. Rebuttal comments should be submitted by June 12, 2024.
|
|
Release Number:34-100051
|
SEC Issue Date:
|
File Number:SR-CboeEDGA-2024-003
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend Rule 11.6(n)(4) and Rule 11.10(a)(4)(D) to Permit the Use of the Post Only Order Instruction at Prices Below $1.00
Comments Due: May 29, 2024. Rebuttal comments should be submitted by June 12, 2024.
|
|
Release Number:34-100048
|
SEC Issue Date:
|
File Number:SR-NSCC-2024-002
|
Details: Order Approving of Proposed Rule Change to Accommodate a Shorter Standard Settlement Cycle and Make Other Changes
Comments Due: April 11, 2024
|
|
Release Number:34-100038
|
SEC Issue Date:
|
File Number:SR-CboeBZX-2024-006
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend Rule 11.9(c)(6) and Rule 11.13(a)(4)(D) to Permit the Use of BZX Post Only Orders at Prices Below $1.00
Comments Due: May 23, 2024. Rebuttal comments should be submitted by June 6, 2024.
|
|
Release Number: 34-100040
|
SEC Issue Date:
|
File Number:SR-CboeBYX-2024-003
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend Rule 11.9(c)(6) and Rule 11.13(a)(4)(D) to Permit the Use of BYX Post Only Orders at Prices Below $1.00
Comments Due: May 23, 2024. Rebuttal comments should be submitted by June 6, 2024.
|
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Release Number:34-100032
|
SEC Issue Date:
|
File Number:SR-CboeBZX-2023-062
|
Details: Order Disapproving a Proposed Rule Change to Amend the Initial Period After Commencement of Trading of a Series of Exchange-Traded Fund Shares on the Exchange as It Relates to the Holders of Record and/or Beneficial Holders, as Provided in Excha
|
|
Release Number:34-100029
|
SEC Issue Date:
|
File Number:SR-NYSEARCA-2024-05
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the COtwo Advisors Physical European Carbon Allowance Trust under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Comments Due: May 22, 2024. Rebuttal comments should be submitted by June 5, 2024.
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Release Number:34-100024
|
SEC Issue Date:
|
File Number:SR-BOX-2024-07
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Permit the Listing and Trading of Options on Trusts That Hold Bitcoin
File Nos.:
SR-BOX-2024-07, SR-CBOE-2024-005, SR-ISE-2024-03, SR-ISE-2024-14, SR-MIAX-2024-03, SR-NYSEAMER-2024-10, SR-PEARL-2024-03
Comments Due: May 21, 2024
View Received Comments
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|
Release Number:34-100023
|
SEC Issue Date:
|
File Number:SR-NYSEARCA-2024-06
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Exchange Rule 5.3–O to Permit the Listing and Trading of Options on Commodity-Based Trust Shares
Comments Due: 21 days after date of publication in the Federal Register. Rebuttal Comments should be submitted 35 days after date of publication in the Federal Register.
View Received Comments
|
|
Release Number:34-100017
|
SEC Issue Date:
|
File Number:4-757
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a National Market System Plan Regarding Consolidated Equity Market Data
Comments Due: June 3, 2024
View Received Comments
|
|
Release Number:34-100009
|
SEC Issue Date:
|
File Number:SR-OCC-2024-001
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change by The Options Clearing Corporation Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements Du
Comments Due: May 17, 2024
|
|
Release Number:34-100006
|
SEC Issue Date:
|
File Number:SR-FINRA-2024-004
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute
Comments Due: 21 days after date of publication in the Federal Register. Rebuttal comments should be submitted by 35 days after date of publication in the Federal Register.
View Received Comments
|
|
Release Number:34-100003
|
SEC Issue Date:
|
File Number: SR-MSRB-2024-01
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Consisting of Proposed Rule Change to Amend MSRB Rule G-14 to Shorten the Timeframe for Reporting Trades in Municipal Securities to the MSRB
Comments Due: May 17, 2024
|
|
Release Number:34-99994
|
SEC Issue Date:
|
File Number:4-820
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Amendment To Modify Section 5.2(c)(iii) of the OPRA Plan Relating to Dissemination of Exchange Proprietary Data Information
Comments Due: May 16, 2024
View Received Comments
|
|
Release Number:34-99988
|
SEC Issue Date:
|
File Number:SR-FINRA-2024-001
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers) to Strengthen the General Prohibition Against Borrowing and Lending Arrangements.
Comments Due: May 15, 2024
View Received Comments
|
|
Release Number:34-99965
|
SEC Issue Date:
|
File Number:SR-CboeBYX-2023-020
|
Details: 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 Introduce an Enhanced RPI Order and Expand its Retail Price Improvement Program
Comments Due: May 13, 2024. Rebuttal Comments Due: May 28, 2024.
View Received Comments
|
|
Release Number:34-99946
|
SEC Issue Date:
|
File Number:SR-ISE-2024-06
|
Details: Order Approving a Proposed Rule Change to Amend the Short Term Option Series Program
|
|
Release Number:34-99922
|
SEC Issue Date:
|
File Number:SR-LCH SA-2023-007
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Liquidity Risk Modelling Framework
Comments Due: May 3, 2024. Rebuttal Comments should be submitted on or before May 7, 2024.
|
|
Release Number: 34-99833
|
SEC Issue Date:
|
File Number:SR-CboeBZX-2023-101
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Pando Asset Spot Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: April 17, 2024. Rebuttal comments should be submitted by May 1, 2024.
View Received Comments
|
|
Release Number:34-99733
|
SEC Issue Date:
|
File Number:SR-NSCC-2023-007
|
Details: Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1 and Amendment No. 2, to Modify the Amended and Restated Stock Options and Futures Settlement Agreement and Make Certain Revisions to the NSCC Rules
|
|
Release Number:34-99735
|
SEC Issue Date:
|
File Number:SR-OCC-2023-007
|
Details: Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1 and Amendment No. 2, Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and t
|
|
Release Number:34-99721
|
SEC Issue Date:
|
File Number:SR-CBOE-2023-063
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Exchange’s Rules Relating to Position and Exercise Limits
Comments Due: April 9, 2024. Rebuttal comments should be submitted by April 23, 2024.
|
|
Release Number:34-99701
|
SEC Issue Date:
|
File Number:SR-OCC-2024-002
|
Details: Order Granting Proposed Rule Change Concerning Amendments to The Options Clearing Corporation's Rules, By-Laws, and Certain Clearing Member Documents
|
|
Release Number: 34-99696
|
SEC Issue Date:
|
File Number:SR-FINRA-2023-010
|
Details: Order Approving a Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements)
View Received Comments
|
|
Release Number: 34-99667
|
SEC Issue Date:
|
File Number:SR-CboeBZX-2023-095
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Fidelity Ethereum Fund under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: March 29, 2024. Rebuttal comments should be submitted by April 12, 2024.
|
|
Release Number:34-99665
|
SEC Issue Date:
|
File Number:SR-NASDAQ-2023-045
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the iShares Ethereum Trust under Nasdaq Rule 5711(d), Commodity-Based Trust Shares
Comments Due: by March 29, 2024. Rebuttal comments should be submitted by April 12, 2024.
View Received Comments
|
|
Release Number:34-99655
|
SEC Issue Date:
|
File Number:SR-CBOE-2024-006
|
Details: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Options That Overlie a Reduced Value of the MSCI World Index, the Full Value of the MSCI ACWI Index, and a Reduced Value of the MSCI USA Index
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Release Number:34-99545
|
SEC Issue Date:
|
File Number:4-631
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Twenty-Third Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, I
Comments Due: March 14, 2024
|
|
Release Number:34-99511
|
SEC Issue Date:
|
File Number:SR-NYSE-2023-36
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Regarding Enhancements to its DMM Program
Comments Due: March 7, 2024.
Rebuttal comments: March 21, 2024
View Received Comments
|
|
Release Number:34-99484
|
SEC Issue Date:
|
File Number:SR-MSRB-2023-07
|
Details: Order Granting Approval of a Proposed Rule Change to Amend MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date
View Received Comments
|
|
Release Number:34-99487
|
SEC Issue Date:
|
File Number:SR-FINRA-2023-015
|
Details: Order Approving Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees
View Received Comments
|
|
Release Number:34-99479
|
SEC Issue Date:
|
File Number:SR-CboeBZX-2023-087
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Invesco Galaxy Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: March 4, 2024. Rebuttal comments should be submitted by March 18, 2024.
View Received Comments
|
|
Release Number:34-99456
|
SEC Issue Date:
|
File Number:
|
Details: Order Approving of Proposed Rule Change to Modify the DTC Settlement Service Guide
Comments Due: January 18, 2024
|
|
Release Number:34-99456
|
SEC Issue Date:
|
File Number:SR-DTC-2023-013
|
Details: Order Approving of Proposed Rule Change to Modify the DTC Settlement Service Guide
|
|
Release Number:34-99444
|
SEC Issue Date:
|
File Number:SR-MSRB-2023-06
|
Details: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13
Comments Due: February 23, 2024
Rebuttal comments due: March 8, 2024
View Received Comments
|
|
Release Number:34-99428
|
SEC Issue Date:
|
File Number:SR-NYSEARCA-2023-70
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Grayscale Ethereum Trust under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Comments Due: March 6, 2024
|
|
Release Number:34-99423
|
SEC Issue Date:
|
File Number:SR-LCH SA-2023-008
|
Details: Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Recovery and Resolution
|
|
Release Number:34-99335
|
SEC Issue Date:
|
File Number:SR-FINRA-2023-013
|
Details: Order Approving a Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure and Code of Mediation Procedure to Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations
See Also -
Order Scheduling Filing of Statements of Review for SR-FINRA-2023-013, Letter from Deputy Secretary J. Matthew DeLesDernier to Kristine Vo, Assistant General Counsel, FINRA dated January 19, 2024
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|
Release Number:34-99306
|
SEC Issue Date:
|
File Number:SR-NYSEARCA-2023-44
|
Details: Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments Thereto, to List and Trade Bitcoin-Based Commodity-Based Trust Shares and Trust Units
File Nos.:
SR-NYSEArca-2021-90, SR-NYSEARCA-2023-44, SR-NYSEARCA-2023-58, SR-NASDAQ-2023-016, SR-NASDAQ-2023-019, SR-CboeBZX-2023-028, SR-CboeBZX-2023-038, SR-CboeBZX-2023-040, SR-CboeBZX-2023-042, SR-CboeBZX-2023-044, SR-CboeBZX-2023-072
|
|
Release Number:34-99303
|
SEC Issue Date:
|
File Number:SR-NSCC-2023-011
|
Details: Order Granting Approval of a Proposed Rule Change to Refine the Margin Liquidity Adjustment (“MLA”) Charge Calculation and the Description of the MLA Charge
|
|
Release Number:34-99260
|
SEC Issue Date:
|
File Number:4-818
|
Details: Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq PHLX LLC
|
|
Release Number:34-99247
|
SEC Issue Date:
|
File Number:SR-CboeBZX-2023-063
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt an Alternative to the Minimum $4 Price Requirement for Companies Seeking to List Tier II Securities on the Exchange
Comments Due: January 24, 2024. Rebuttal comments should be submitted by February 7, 2024.
View Received Comments
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|
Release Number:34-99225
|
SEC Issue Date:
|
File Number:SR-NYSE-2023-09
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the NYSE Listed Company Manual to Adopt Listing Standards for Natural Asset Companies
Comments Due: Comments Due: January 18, 2024
Rebuttal Comments Due: February 1, 2024
View Received Comments
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|
Release Number:34-99196
|
SEC Issue Date:
|
File Number:SR-CboeBZX-2023-070
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the ARK 21Shares Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: January 12, 2024. Rebuttal comments should be submitted by January 26, 2024.
View Received Comments
|
|
Release Number:34-99195
|
SEC Issue Date:
|
File Number:SR-CboeBZX-2023-069
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the VanEck Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: January 12, 2024. Rebuttal comments should be submitted by January 26, 2024.
|
|
Release Number:34-99200
|
SEC Issue Date:
|
File Number:SR-NASDAQ-2023-035
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Hashdex Nasdaq Ethereum ETF under Nasdaq Rule 5711(i) (Trust Units)
|
|
Release Number:34-99198
|
SEC Issue Date:
|
File Number:SR-NYSEARCA-2023-63
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Grayscale Ethereum Futures Trust (ETH) ETF under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts)
Comments Due: Comments Due: January 12, 2024
Rebuttal Comments Due: January 26, 2024
|
|
Release Number:34-99115
|
SEC Issue Date:
|
File Number:SR-ICC-2023-014
|
Details: Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts
|
|
Release Number:34-99031
|
SEC Issue Date:
|
File Number:SR-NYSEARCA-2023-58
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Hashdex Bitcoin Futures ETF under NYSE Arca Rule 8.500-E (Trust Units)
Comments Due: December 22, 2023
Rebuttal comments due: January 5, 2024
View Received Comments
|
|
Release Number:34-99030
|
SEC Issue Date:
|
File Number:SR-CboeBZX-2023-072
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Franklin Bitcoin ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: December 22, 2023. Rebuttal comments submitted by January 5, 2024.
View Received Comments
|
|
Release Number:34-99023
|
SEC Issue Date:
|
File Number:4-698
|
Details: Order Granting an Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Recordkeeping Requirements for Industry Test Data, as Required by Rule 17a-1 Under th
|
|
Release Number:34-99017
|
SEC Issue Date:
|
File Number:SR-MEMX-2023-25
|
Details: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend its Fee Schedule to Establish an Options Regulatory Fee
Comments Due: by December 21, 2023. Rebuttal Comments should be submitted on or before December 21, 2023.
|
|
Release Number:34-98982
|
SEC Issue Date:
|
File Number:SR-FINRA-2023-007
|
Details: Order Approving a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
View Received Comments
|
|
Release Number:34-98979
|
SEC Issue Date:
|
File Number:SR-OCC-2023-003
|
Details: Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations
|
|
Release Number:34-98981
|
SEC Issue Date:
|
File Number:
|
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Global X Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: December 15, 2023. Rebuttal comments submitted by December 29, 2023.
View Received Comments
|
|
Release Number:34-98957
|
SEC Issue Date:
|
File Number:SR-CBOE-2023-054
|
Details: Order Approving a Proposed Rule Change to Amend Rule 4.13 to Expand the Nonstandard Expirations Program to Include P.M.-Settled Options on Broad-Based Indexes that Expire on Tuesday or Thursday
|
|
Release Number:34-98950
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SEC Issue Date:
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File Number:
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Details: Order Approving a Proposed Rule Change to Permit the Listing and Trading of P.M.-Settled Nasdasq-100 Index® Options with a Third-Friday-of-the-Month Expiration
View Received Comments
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Release Number:34-98935
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SEC Issue Date:
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File Number: SR-ISE-2023-20
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Details: Order Approving a Proposed Rule Change to Permit the Listing and Trading of P.M.-Settled Nasdasq-100 Index® Options with a Third-Friday-of-the-Month Expiration
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Release Number:34-98933
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SEC Issue Date:
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File Number:SR-CboeBZX-2023-062
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Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Initial Period After Commencement of Trading of a Series of ETF Shares on the Exchange as It Relates to the Holders of Record and/or Beneficial
Comments Due: December 11, 2023. Rebuttal comments submitted by December 26, 2023.
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Release Number:34-98937
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SEC Issue Date:
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File Number:SR-NYSE-2023-29
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Details: Order Approving Proposed Rule Changes to Establish Certain Alternative Procedures for the Allocation of Power in Co-Location
File Nos.:
SR-NYSE-2023-29, SR-NYSENAT-2023-18, SR-NYSECHX-2023-16, SR-NYSEAMER-2023-39, SR-NYSEARCA-2023-53
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Release Number:34-98915
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SEC Issue Date:
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File Number:SR-CBOE-2023-049
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Details: Order Approving a Proposed Rule Change to Adopt Monthly Options Series
View Received Comments
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Release Number:34-98917
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SEC Issue Date:
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File Number:SR-MIAX-2023-36
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Details: Order Approving a Proposed Rule Change to Amend Exchange Rule 404, Series of Option Contracts Open for Trading
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Release Number:34-98905
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SEC Issue Date:
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File Number:SR-ISE-2023-11
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Details: Order Approving a Proposed Rule Change to Amend the Short Term Option Series Program to Permit the Listing of Two Wednesday Expirations for Options on Certain Exchange Traded Products
View Received Comments
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Release Number:34-98882
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SEC Issue Date:
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File Number:SR-FICC-2023-014
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Details: Order Approving Proposed Rule Change Relating to the GSD and MBSD Schedules of Haircuts for Eligible Clearing Fund Securities
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Release Number:34-98881
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SEC Issue Date:
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File Number:SR-NSCC-2023-009
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Details: Order Approving Proposed Rule Change Relating to the Schedule of Haircuts for Eligible Clearing Fund Securities
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Release Number:34-98843
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SEC Issue Date:
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File Number:SR-NASDAQ-2023-025
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Details: Order Approving a Proposed Rule Change Related to Notification and Disclosure of Reverse Stock Splits
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Release Number:34-98815
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SEC Issue Date:
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File Number:SR-ICEEU-2023-011
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Details: Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Wind Down Framework and Plan
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Release Number: 34-98799
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SEC Issue Date:
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File Number:SR-ICEEU-2023-021
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Details: Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to its Operational Risk and Resilience Policy
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Release Number:34-98790
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SEC Issue Date:
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File Number:SR-ICEEU-2023-022
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Details: Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Clearing Membership Policy and Clearing Membership Procedures
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Release Number: 34-98647
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SEC Issue Date:
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File Number:SR-CboeBYX-2023-013
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Details: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend its Fee Schedule Related to Physical Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
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Release Number:34-98653
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SEC Issue Date:
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File Number:SR-CboeEDGX-2023-057
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Details: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend its Fee Schedule Related to Physical Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
View Received Comments
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Release Number:34-98653
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SEC Issue Date:
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File Number:SR-CboeEDGX-2023-057
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Details: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend its Fee Schedule Related to Physical Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
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Release Number: 34-98656
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SEC Issue Date:
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File Number:SR-EMERALD-2023-19
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Details: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Fee Schedule To Modify Certain Connectivity and Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
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Release Number:34-98652
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SEC Issue Date:
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File Number:SR-CboeEDGA-2023-015
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Details: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend its Fee Schedule Related to Physical Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
View Received Comments
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|
Release Number:34-98657
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SEC Issue Date:
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File Number:SR-MIAX-2023-30
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Details: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Fee Schedule To Modify Certain Connectivity and Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023
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Release Number:34-98659
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SEC Issue Date:
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File Number:SR-NASDAQ-2023-022
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Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Create a New, Non-Trading Limited Underwriter Membership Class and Impose Related Requirements for Principal Underwriting Activity
View Received Comments
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Release Number:34-98659
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SEC Issue Date:
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File Number:
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Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Create a New, Non-Trading Limited Underwriter Membership Class and Impose Related Requirements for Principal Underwriting Activity
Comments Due: October 25, 2023
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Release Number:34-98651
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SEC Issue Date:
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File Number:SR-CboeEDGX-2023-058
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Details: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend its Fee Schedule Related to Physical Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
View Received Comments
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|
Release Number:34-98650
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SEC Issue Date:
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File Number:SR-CboeBZX-2023-068
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Details: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend its Fee Schedule Related to Physical Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
View Received Comments
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|
Release Number: 34-98658
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SEC Issue Date:
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File Number:SR-PEARL-2023-35
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Details: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Fee Schedule To Modify Certain Connectivity and Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
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Release Number:34-98649
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SEC Issue Date:
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File Number:SR-C2-2023-020
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Details: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend its Fee Schedule Related to Physical Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
View Received Comments
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Release Number:34-98628
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SEC Issue Date:
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File Number:SR-FINRA-2023-010
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Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements)
View Received Comments
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Release Number:34-98623
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SEC Issue Date:
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File Number: SR-CboeBZX-2023-042
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Details: 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 WisdomTree Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
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Release Number:34-98610
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SEC Issue Date:
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File Number:SR-NASDAQ-2023-016
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Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the iShares Bitcoin Trust under Nasdaq Rule 5711(d), Commodity-Based Trust Shares
Comments Due: October 25, 2023
Rebuttal comments: November 8, 2023
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