Breadcrumb

Order

Release Number SEC Issue Date File Number Details
34-100522 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
View Received Comments
34-100508 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 SR-NSCC-2024-004 Order Approving Proposed Rule Change to Decommission the DTCC Limit Monitoring Risk Management Tool
34-100480 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: 21 days after the date of publication in the Federal Register. Rebuttal comments should be submitted 35 days after date of publication in the Federal Register
34-100470 SR-LCH SA-2023-007 Order Approving Proposed Rule Change Relating to Liquidity Risk Modelling Framework
34-100462 SR-LCH SA-2024-003 Order Approving Proposed Rule Change Relating to the Terms of Reference of the Board and Sub Committees
34-100455 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 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 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
Comments Due: on or before July 23, 2024.  Rebuttal comments should be submitted by August 6, 2024.
34-100402 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 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.: 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
 
34-100401 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: 21 days after publication in the Federal Register. Rebuttal Comments Due: 35 days after publication in the Federal Register.
View Received Comments
34-100399 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: on or before July 18, 2024. Rebuttal comments should be submitted by August 1, 2024.
View Received Comments
34-100394 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
Comments Due: 21 days after publication in the Federal Register. Rebuttal comments should be submitted 35 days after publication in the Federal Register.
34-100390 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: July 17, 2024
Rebuttal comments due: July 31, 2024
34-100327 SR-NYSE-2024-13 Order Approving a Proposed Rule Change Amending Rule 7.35 and Rule 7.35B
34-100274 SR-ICC-2024-003 Order Approving Proposed Rule Change Relating to the ICC Collateral Risk Management Framework
34-100256 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
Comments Due: July 11, 2024
34-100224 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.: 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
34-100188 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: June 18, 2024. Rebuttal comments should be submitted by July 2, 2024.
34-100160 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
Comments Due: June 12, 2024. Rebuttal comments should be submitted by June 26, 2024.
View Received Comments
34-100113 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: June 7, 2024. Rebuttal comments should be submitted June 21, 2024.
34-100115 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: June 7, 2024. Rebuttal comments should be submitted by June 21, 2024.
34-100114 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: June 7, 2024. Rebuttal comments should be submitted June 21, 2024.
34-100065 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
34-100052 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: May 29, 2024. Rebuttal comments should be submitted by June 12, 2024.
34-100051 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: May 29, 2024. Rebuttal comments should be submitted by June 12, 2024.
34-100048 SR-NSCC-2024-002 Order Approving of Proposed Rule Change to Accommodate a Shorter Standard Settlement Cycle and Make Other Changes
Comments Due: April 11, 2024
34-100038 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: May 23, 2024. Rebuttal comments should be submitted by June 6, 2024.
34-100040 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: May 23, 2024. Rebuttal comments should be submitted by June 6, 2024.
34-100032 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 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: May 22, 2024. Rebuttal comments should be submitted by June 5, 2024.
34-100024 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.: 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
34-100023 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: 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
34-100017 4-757 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
34-100009 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
Comments Due: May 17, 2024
View Received Comments
34-100006 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: 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
34-100003 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
Comments Due: May 17, 2024
34-99994 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: May 16, 2024
View Received Comments
34-99988 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.
Comments Due: May 15, 2024
View Received Comments
34-99965 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: May 13, 2024. Rebuttal Comments Due: May 28, 2024.
View Received Comments
34-99946 SR-ISE-2024-06 Order Approving a Proposed Rule Change to Amend the Short Term Option Series Program
34-99922 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 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
Comments Due: April 17, 2024. Rebuttal comments should be submitted by May 1, 2024.
34-99733 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 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 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: April 9, 2024. Rebuttal comments should be submitted by April 23, 2024.
34-99701 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 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 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
Comments Due: March 29, 2024. Rebuttal comments should be submitted by April 12, 2024.
34-99665 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
Comments Due: by March 29, 2024. Rebuttal comments should be submitted by April 12, 2024.
View Received Comments
34-99655 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 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: March 14, 2024
34-99511 SR-NYSE-2023-36 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
34-99484 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 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 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
Comments Due: March 4, 2024. Rebuttal comments should be submitted by March 18, 2024.
View Received Comments
34-99456 Order Approving of Proposed Rule Change to Modify the DTC Settlement Service Guide
Comments Due: January 18, 2024
34-99456 SR-DTC-2023-013 Order Approving of Proposed Rule Change to Modify the DTC Settlement Service Guide
34-99444 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: February 23, 2024
Rebuttal comments due: March 8, 2024
View Received Comments
34-99428 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)
Comments Due: March 6, 2024
34-99423 SR-LCH SA-2023-008 Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Recovery and Resolution
34-99335 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
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
34-99306 SR-NYSEARCA-2023-44 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
34-99303 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 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 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
Comments Due: January 24, 2024. Rebuttal comments should be submitted by February 7, 2024.
View Received Comments
34-99225 SR-NYSE-2023-09 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
34-99196 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
Comments Due: January 12, 2024. Rebuttal comments should be submitted by January 26, 2024.
View Received Comments
34-99195 SR-CboeBZX-2023-069 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.
34-99200 SR-NASDAQ-2023-035 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)
34-99198 SR-NYSEARCA-2023-63 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
34-99115 SR-ICC-2023-014 Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts
34-99031 SR-NYSEARCA-2023-58 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
34-99030 SR-CboeBZX-2023-072 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
34-99023 4-698 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
34-99017 SR-MEMX-2023-25 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.
34-98982 SR-FINRA-2023-007 Order Approving a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
View Received Comments
34-98979 SR-OCC-2023-003 Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations
34-98981 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
34-98957 SR-CBOE-2023-054 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
34-98950 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
34-98935 SR-ISE-2023-20 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
34-98933 SR-CboeBZX-2023-062 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.
34-98937 SR-NYSE-2023-29 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
34-98915 SR-CBOE-2023-049 Order Approving a Proposed Rule Change to Adopt Monthly Options Series
View Received Comments
34-98917 SR-MIAX-2023-36 Order Approving a Proposed Rule Change to Amend Exchange Rule 404, Series of Option Contracts Open for Trading
34-98905 SR-ISE-2023-11 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
34-98882 SR-FICC-2023-014 Order Approving Proposed Rule Change Relating to the GSD and MBSD Schedules of Haircuts for Eligible Clearing Fund Securities
34-98881 SR-NSCC-2023-009 Order Approving Proposed Rule Change Relating to the Schedule of Haircuts for Eligible Clearing Fund Securities
34-98843 SR-NASDAQ-2023-025 Order Approving a Proposed Rule Change Related to Notification and Disclosure of Reverse Stock Splits
34-98815 SR-ICEEU-2023-011 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Wind Down Framework and Plan
34-98799 SR-ICEEU-2023-021 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to its Operational Risk and Resilience Policy
34-98790 SR-ICEEU-2023-022 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Clearing Membership Policy and Clearing Membership Procedures
34-98647 SR-CboeBYX-2023-013 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.
34-98653 SR-CboeEDGX-2023-057 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
34-98653 SR-CboeEDGX-2023-057 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.
34-98656 SR-EMERALD-2023-19 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. 
34-98652 SR-CboeEDGA-2023-015 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
34-98657 SR-MIAX-2023-30 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