34-101382
Oct. 18, 2024
SR-ICC-2024-009
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the Clearing Rules, Risk Management Framework, Governance Playbook and Sixth Amended and Restated Operating Agreement
34-101322
Oct. 11, 2024
SR-CboeBZX-2024-055
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Exempt Closed-End Management Investment Companies Registered Under the Investment Company Act of 1940 From the Annual Me Comments Due: Rebuttal Comments Due: View Received Comments
34-101271
Oct. 7, 2024
SR-NASDAQ-2024-029
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Modify the Application of Bid Price Compliance Periods View Received Comments
34-101257
Oct. 4, 2024
SR-NYSE-2024-35
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Section 302.00 of the NYSE Listed Company Manual to Exempt Closed-End Funds Registered Under the Investment Company Act of 1940 From the Requiremen Comments Due: View Received Comments
34-101196
Sept. 26, 2024
SR-ICC-2024-008
Order Approving Proposed Rule Change Relating to the ICC Back-Testing Framework
34-101194
Sept. 26, 2024
SR-FICC-2024-009
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the GSD Rules Relating to the Adoption of a Trade Submission Requirement Comments Due: Federal Register .View Received Comments
34-101121
Sept. 20, 2024
SR-FINRA-2024-004
Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute
34-101118
Sept. 20, 2024
SR-MSRB-2024-01
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend MSRB Rule G-14 to Shorten the Timeframe for Reporting Trades in Municipal Securities to the MSRB
34-101065
Sept. 17, 2024
SR-FINRA-2024-001
Order Approving 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 View Received Comments
34-101036
Sept. 16, 2024
4-631
Joint Industry Plan; Order Disapproving the Twenty-Third Amendment to the National Market System Plan to Address Extraordinary Market Volatility View Received Comments
34-100998
Sept. 11, 2024
SR-OCC-2024-009
Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning Its Backtesting Framework and to Establish a Resource Backtesting Margin Charge
34-100816
Aug. 26, 2024
SR-NASDAQ-2024-019
Order Granting Approval of a Proposed Rule Change, to Rules 5605, 5615 and 5810 to Amend Phase-In Schedules for Certain Corporate Governance Requirements and Applicability of Certain Cure Periods View Received Comments
34-100814
Aug. 23, 2024
SR-CboeBZX-2024-032
Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, to Amend Rule 11.28(a) to Add Three Additional Market-on-Close Cut-Off Times to Cboe Market Close Comments Due: View Received Comments
34-100810
Aug. 23, 2024
SR-BX-2024-019
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt an OTTO Protocol View Received Comments
34-100783
Aug. 20, 2024
SR-LTSE-2024-03
Order Approving a Proposed Rule Change to Transition to a New Trading Platform and Amend its Trading Rules
34-100720
Aug. 13, 2024
SR-NYSE-2024-23
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Section 703.12(II) of the NYSE Listed Company Manual to Expand the Circumstances Under Which Rights May Be Listed on the NYSE Comments Due: Rebuttal comments
34-100659
Aug. 5, 2024
SR-CboeBZX-2024-051
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Exchange's Fee Schedule Related to Physical Port Fees Comments Due: Rebuttal comments View Received Comments
34-100654
Aug. 5, 2024
SR-CboeBYX-2024-021
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Exchange’s Fee Schedule Related to Physical Port Fees Comments Due: Rebuttal comments View Received Comments
34-100656
Aug. 5, 2024
SR-CboeEDGX-2024-036
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Exchange's Fee Schedule Related to Physical Port Fees Comments Due: Rebuttal comments View Received Comments
34-100655
Aug. 5, 2024
SR-FINRA-2024-007
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule to Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE™)) Comments Due: View Received Comments
34-100653
Aug. 5, 2024
SR-CboeBZX-2024-052
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Exchange's Fee Schedule Related to Physical Port Fees Comments Due: Rebuttal comments View Received Comments
34-100652
Aug. 5, 2024
SR-C2-2024-010
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Exchange’s Fee Schedule Related to Physical Port Fees Comments Due: Rebuttal comments View Received Comments
34-100651
Aug. 5, 2024
SR-CboeEDGX-2024-035
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Exchange's Fee Schedule Related to Physical Port Fees Comments Due: Rebuttal comments View Received Comments
34-100650
Aug. 5, 2024
SR-CboeEDGA-2024-022
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Exchange's Fee Schedule Related to Physical Port Fees Comments Due: Rebuttal comments View Received Comments
34-100620
July 31, 2024
SR-ICC-2024-004
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the ICC Recovery Plan and the ICC Wind-Down Plan
34-100610
July 26, 2024
SR-NYSEARCA-2024-45
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Grayscale Bitcoin Mini Trust and Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade File Nos.: View Received Comments
34-100561
July 19, 2024
SR-FINRA-2023-016
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend FINRA Rule 2210 (Communications with the Public) to Permit Projections of Performance in Institutional Communications and Specified Communications to Qualified Purchasers and View Received Comments Letter from Deputy Secretary J. Matthew DeLesDernier to Meredith Cordisco, Associate General Counsel, FINRA, dated July 26, 2024
34-100541
July 17, 2024
SR-NYSEARCA-2024-44
Order Granting Approval of Proposed Rule Changes to List and Trade Shares of the Grayscale Ethereum Mini Trust and ProShares Ethereum ETF File Nos.: View Received Comments
34-100541
July 17, 2024
SR-NYSEArca-2024-53
Order Granting Approval of Proposed Rule Changes to List and Trade Shares of the Grayscale Ethereum Mini Trust and ProShares Ethereum ETF File Nos.: Comments Due:
34-100530
July 15, 2024
4-698
Order Instituting Proceedings to Determine Whether to Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail Regarding Cost Savings Measures Comments Due: View Received Comments
34-100522
July 12, 2024
SR-CboeBZX-2024-026
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Permit the Generic Listing and Trading of Multi-Class ETF Shares Comments Due: View Received Comments
34-100508
July 11, 2024
SR-MSRB-2024-03
Order Granting Approval of a Proposed Rule Change to Amend MSRB Rule G-47, on Time of Trade Disclosure, to Codify and Retire Certain Existing Interpretive Guidance and Add New Time of Trade Disclosure Scenarios
34-100486
July 10, 2024
SR-NSCC-2024-004
Order Approving Proposed Rule Change to Decommission the DTCC Limit Monitoring Risk Management Tool
34-100480
July 9, 2024
SR-NYSE-2024-18
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Section 102.06 of the NYSE Listed Company Manual to Provide that a Special Purpose Acquisition Company Can Remain Listed Until Forty-Two Months fro Comments Due: Rebuttal comments View Received Comments
34-100470
July 9, 2024
SR-LCH SA-2023-007
Order Approving Proposed Rule Change Relating to Liquidity Risk Modelling Framework
34-100462
July 5, 2024
SR-LCH SA-2024-003
Order Approving Proposed Rule Change Relating to the Terms of Reference of the Board and Sub Committees
34-100455
July 2, 2024
SR-OCC-2024-006
Order Approving Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to Its Rules and Comprehensive Stress Testing & Clearing Fund Methodology, and Liquidity Risk Management Description
34-100447
June 28, 2024
SR-ISE-2024-17
Order Approving a Proposed Rule Change to Amend the Strike Interval for Options on Exchange-Traded Fund Shares and to Allow $1 Strike Price Intervals Above $200 for Options on SPDR Gold Shares (GLD)
34-100438
June 26, 2024
SR-ISE-2024-12
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt Rules to List and Trade FLEX Options View Received Comments
34-100402
June 21, 2024
SR-FICC-2024-008
Order Approving Proposed Rule Change to Modify the GSD Rules and MBSD Rules to Update Certain Member Requirements Under CCLF
34-100400
June 21, 2024
SR-DTC-2024-003
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Clearing Agency Risk Management Framework File Nos.: Comments Due: Federal Register . Rebuttal Comments should be submitted 35 days after date of publication in the Federal Register .
34-100401
June 21, 2024
SR-FICC-2024-007
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: Rebuttal Comments Due: 35 days after publication in the Federal Register.
View Received Comments
34-100399
June 21, 2024
SR-FICC-2024-005
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 Comments Due: Rebuttal comments View Received Comments
34-100394
June 21, 2024
SR-LCH SA-2024-002
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to the CDS Select Membership Model
34-100390
June 20, 2024
SR-NYSEARCA-2024-27
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) Comments Due: Rebuttal comments due: July 31, 2024
34-100327
June 13, 2024
SR-NYSE-2024-13
Order Approving a Proposed Rule Change Amending Rule 7.35 and Rule 7.35B
34-100274
June 5, 2024
SR-ICC-2024-003
Order Approving Proposed Rule Change Relating to the ICC Collateral Risk Management Framework
34-100256
May 31, 2024
SR-CBOE-2024-008
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 View Received Comments
34-100224
May 23, 2024
SR-NYSEARCA-2023-70
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.: View Received Comments
34-100188
May 21, 2024
SR-NASDAQ-2024-016
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: Rebuttal comments View Received Comments
34-100160
May 16, 2024
SR-Phlx-2024-15
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 View Received Comments
34-100113
May 13, 2024
SR-CboeBYX-2024-004
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: Rebuttal comments
34-100115
May 13, 2024
SR-CboeBZX-2024-007
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: Rebuttal comments
34-100114
May 13, 2024
SR-CboeEDGX-2024-009
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: Rebuttal comments
34-100065
May 6, 2024
SR-CboeBZX-2023-087
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 View Received Comments
34-100052
May 2, 2024
SR-CboeEDGX-2024-007
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: Rebuttal comments
34-100051
May 2, 2024
SR-CboeEDGA-2024-003
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: Rebuttal comments
34-100048
May 2, 2024
SR-NSCC-2024-002
Order Approving of Proposed Rule Change to Accommodate a Shorter Standard Settlement Cycle and Make Other Changes Comments Due:
34-100038
April 26, 2024
SR-CboeBZX-2024-006
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: Rebuttal comments
34-100040
April 26, 2024
SR-CboeBYX-2024-003
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: Rebuttal comments
34-100032
April 25, 2024
SR-CboeBZX-2023-062
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
34-100029
April 25, 2024
SR-NYSEARCA-2024-05
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: Rebuttal comments should be submitted by June 5, 2024.
View Received Comments
34-100024
April 24, 2024
SR-ISE-2024-03
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.: Comments Due: View Received Comments
34-100024
April 24, 2024
SR-BOX-2024-07
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.: View Received Comments
34-100023
April 24, 2024
SR-NYSEARCA-2024-06
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: View Received Comments
34-100017
April 23, 2024
4-757
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a National Market System Plan Regarding Consolidated Equity Market Data Comments Due: View Received Comments
34-100009
April 22, 2024
SR-OCC-2024-001
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 View Received Comments
34-100006
April 22, 2024
SR-FINRA-2024-004
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: Federal Register. Rebuttal comments should be submitted by 35 days after date of publication in the Federal Register.
View Received Comments
34-100003
April 22, 2024
SR-MSRB-2024-01
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
34-99994
April 19, 2024
4-820
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: View Received Comments
34-99988
April 18, 2024
SR-FINRA-2024-001
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. View Received Comments
34-99965
April 16, 2024
SR-CboeBYX-2023-020
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: Rebuttal Comments Due: May 28, 2024.
View Received Comments
34-99946
April 11, 2024
SR-ISE-2024-06
Order Approving a Proposed Rule Change to Amend the Short Term Option Series Program
34-99922
April 8, 2024
SR-LCH SA-2023-007
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Liquidity Risk Modelling Framework
34-99833
March 21, 2024
SR-CboeBZX-2023-101
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 View Received Comments
34-99733
March 14, 2024
SR-NSCC-2023-007
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
34-99735
March 14, 2024
SR-OCC-2023-007
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
34-99721
March 12, 2024
SR-CBOE-2023-063
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:
34-99701
March 8, 2024
SR-OCC-2024-002
Order Granting Proposed Rule Change Concerning Amendments to The Options Clearing Corporation's Rules, By-Laws, and Certain Clearing Member Documents
34-99696
March 8, 2024
SR-FINRA-2023-010
Order Approving a Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements) View Received Comments
34-99667
March 4, 2024
SR-CboeBZX-2023-095
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 View Received Comments
34-99665
March 4, 2024
SR-NASDAQ-2023-045
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 View Received Comments
34-99655
March 1, 2024
SR-CBOE-2024-006
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
34-99545
Feb. 15, 2024
4-631
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:
34-99511
Feb. 9, 2024
SR-NYSE-2023-36
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Regarding Enhancements to its DMM Program View Received Comments
34-99484
Feb. 7, 2024
SR-MSRB-2023-07
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
34-99487
Feb. 7, 2024
SR-FINRA-2023-015
Order Approving Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees View Received Comments
34-99479
Feb. 6, 2024
SR-CboeBZX-2023-087
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 View Received Comments
34-99456
Feb. 1, 2024
SR-DTC-2023-013
Order Approving of Proposed Rule Change to Modify the DTC Settlement Service Guide
34-99456
Feb. 1, 2024
Order Approving of Proposed Rule Change to Modify the DTC Settlement Service Guide Comments Due:
34-99444
Jan. 29, 2024
SR-MSRB-2023-06
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: Rebuttal comments due : March 8, 2024
View Received Comments
34-99428
Jan. 25, 2024
SR-NYSEARCA-2023-70
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) View Received Comments
34-99423
Jan. 24, 2024
SR-LCH SA-2023-008
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Recovery and Resolution
34-99335
Jan. 11, 2024
SR-FINRA-2023-013
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 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
34-99306
Jan. 10, 2024
SR-NYSEARCA-2023-58
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.: View Received Comments
34-99303
Jan. 9, 2024
SR-NSCC-2023-011
Order Granting Approval of a Proposed Rule Change to Refine the Margin Liquidity Adjustment (“MLA”) Charge Calculation and the Description of the MLA Charge
34-99260
Jan. 2, 2024
4-818
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
34-99247
Dec. 27, 2023
SR-CboeBZX-2023-063
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 View Received Comments
34-99225
Dec. 21, 2023
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 View Received Comments
34-99196
Dec. 18, 2023
SR-CboeBZX-2023-070
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 View Received Comments
