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: View Received Comments
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
34-99195
Dec. 18, 2023
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: View Received Comments
34-99200
Dec. 18, 2023
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
Dec. 18, 2023
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) View Received Comments
34-99115
Dec. 7, 2023
SR-ICC-2023-014
Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts
34-99031
Nov. 28, 2023
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) View Received Comments
34-99030
Nov. 28, 2023
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 View Received Comments
34-99023
Nov. 27, 2023
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 Comments Due: View Received Comments
34-99017
Nov. 24, 2023
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: Rebuttal Comments
34-98982
Nov. 17, 2023
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
Nov. 17, 2023
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
Nov. 17, 2023
SR-CboeBZX-2023-058
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 View Received Comments
34-98957
Nov. 15, 2023
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
Nov. 15, 2023
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
Nov. 14, 2023
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
Nov. 14, 2023
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:
34-98937
Nov. 14, 2023
SR-NYSE-2023-29
Order Approving Proposed Rule Changes to Establish Certain Alternative Procedures for the Allocation of Power in Co-Location File Nos.:
34-98915
Nov. 13, 2023
SR-CBOE-2023-049
Order Approving a Proposed Rule Change to Adopt Monthly Options Series View Received Comments
34-98917
Nov. 13, 2023
SR-MIAX-2023-36
Order Approving a Proposed Rule Change to Amend Exchange Rule 404, Series of Option Contracts Open for Trading
34-98905
Nov. 13, 2023
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
Nov. 8, 2023
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
Nov. 8, 2023
SR-NSCC-2023-009
Order Approving Proposed Rule Change Relating to the Schedule of Haircuts for Eligible Clearing Fund Securities
34-98843
Nov. 1, 2023
SR-NASDAQ-2023-025
Order Approving a Proposed Rule Change Related to Notification and Disclosure of Reverse Stock Splits View Received Comments
34-98815
Oct. 27, 2023
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
Oct. 25, 2023
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
Oct. 24, 2023
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
Sept. 29, 2023
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 View Received Comments
34-98653
Sept. 29, 2023
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 View Received Comments
34-98656
Sept. 29, 2023
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 View Received Comments
34-98656
Sept. 29, 2023
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: Rebuttal comments
34-98652
Sept. 29, 2023
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 View Received Comments
34-98657
Sept. 29, 2023
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 View Received Comments
34-98659
Sept. 29, 2023
SR-NASDAQ-2023-022
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
34-98659
Sept. 29, 2023
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:
34-98651
Sept. 29, 2023
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
34-98650
Sept. 29, 2023
SR-CboeBZX-2023-068
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 View Received Comments
34-98658
Sept. 29, 2023
SR-PEARL-2023-35
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 View Received Comments
34-98649
Sept. 29, 2023
SR-C2-2023-020
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 View Received Comments
34-98628
Sept. 28, 2023
SR-FINRA-2023-010
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
34-98623
Sept. 28, 2023
SR-CboeBZX-2023-042
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 View Received Comments
34-98610
Sept. 28, 2023
SR-NASDAQ-2023-016
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 View Received Comments
34-98613
Sept. 28, 2023
SR-CboeBZX-2023-038
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 Invesco Galaxy Bitcoin ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares View Received Comments
34-98606
Sept. 28, 2023
SR-NASDAQ-2023-019
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Valkyrie Bitcoin Fund under Nasdaq Rule 5711(d), Commodity-Based Trust Shares
34-98639
Sept. 28, 2023
SR-CboeBZX-2023-044
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the Wise Origin Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares View Received Comments
34-98614
Sept. 28, 2023
SR-CboeBZX-2023-040
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 VanEck Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares View Received Comments
34-98570
Sept. 27, 2023
SR-ICEEU-2023-019
Order Approving Proposed Rule Change Relating to Amendments to the Model Risk Policy
34-98572
Sept. 27, 2023
SR-ICC-2023-013
Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures Comments Due:
34-98514
Sept. 25, 2023
SR-OPRA-2023-01
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Amendment to Modify the Options Price Reporting Authority's Fee Schedule Regarding Caps on the Amounts of Certain Port Fees Comments Due:
34-98496
Sept. 25, 2023
SR-ICC-2023-012
Order Approving Proposed Rule Change Relating to the Stress Testing Framework
34-98494
Sept. 25, 2023
SR-FICC-2023-011
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a Portfolio Differential Charge as an Additional Component to the Government Securities Division Required Fund Deposit
34-98456
Sept. 20, 2023
SR-CBOE-2023-020
Order Granting Approval of a Proposed Rule Change to Make the Nonstandard Expirations Pilot Program Permanent
34-98455
Sept. 20, 2023
SR-CBOE-2023-019
Order Granting Approval of a Proposed Rule Change to Make Permanent the Operation of its Pilot Program that Allows the Exchange to List P.M.-Settled Third Friday-of-the-Month Mini-SPX Index ("XSP") Options and Mini-Russell 2000 Index ("MRUT") Options Seri
34-98450
Sept. 20, 2023
SR-ISE-2023-08
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent Certain P.M.-Settled Pilots View Received Comments
34-98454
Sept. 20, 2023
SR-CBOE-2023-005
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent the Operation of the Program that Allows the Exchange to List P.M.-Settled Third Friday-of-the-Month S&P 500 Stock Index Options ("SPX") Series View Received Comments
34-98451
Sept. 20, 2023
SR-Phlx-2023-07
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent Certain P.M.-Settled Pilots View Received Comments
34-98409
Sept. 15, 2023
SR-ISE-2023-11
Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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 Comments Due: View Received Comments
34-98387
Sept. 14, 2023
SR-ICEEU-2023-018
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 and Partial Amendment No. 2, Relating to Amendments to the Outsourcing Policy
34-98367
Sept. 12, 2023
SR-NASDAQ-2023-017
Order Granting Approval of a Proposed Rule Change to Modify the Package of Complimentary Services Provided to Certain Eligible Switches and Make Other Changes to IM-5900-7 and IM-5900-7A
34-98353
Sept. 12, 2023
SR-MSRB-2023-05
Order Granting Approval of a Proposed Rule Change to Amend MSRB Rule G-3 to Create an Exemption for Municipal Advisor Representatives from Requalification by Examination and Remove Waiver Provisions and to Amend MSRB Rule G-8 to Establish Related Books an
34-98337
Sept. 8, 2023
SR-ICEEU-2023-020
Order Approving Proposed Rule Change Relating to Amendments to Recovery Plan
34-98327
Sept. 8, 2023
SR-FICC-2023-010
Order Granting Approval of Proposed Rule Change to Amend and Restate the Cross-Margining Agreement between FICC and CME
34-98317
Sept. 7, 2023
SR-FINRA-2022-033
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Codes of Arbitration Procedure to Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Indepen
34-98302
Sept. 6, 2023
SR-NYSEARCA-2023-37
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 View Received Comments
34-98290
Sept. 6, 2023
4-698
Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Fact Sheet , Press Release
34-98276
Sept. 1, 2023
SR-LCH SA-2023-005
Order Approving Proposed Rule Change Relating to Portfolio Margining
34-98271
Sept. 1, 2023
4-757
Amended Order Directing the Exchanges and the Financial Industry Regulatory Authority, Inc., to File a National Market System Plan Regarding Consolidated Equity Market Data Comments Due: View Received Comments
34-98212
Aug. 24, 2023
SR-FINRA-2022-032
Order Approving Proposed Rule Change Relating to Alternative Display Facility New Entrant Comments Due: Federal Register
View Received Comments Letter from Deputy Secretary J. Matthew DeLesDernier to Faisal Sheikh, Assistant General Counsel, FINRA, dated August 25, 2023
34-98143
Aug. 16, 2023
SR-ICC-2023-010
Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts
34-98101
Aug. 10, 2023
SR-OCC-2022-012
Order Approving Proposed Rule Change Concerning Collateral Haircuts and Standards for Clearing Banks and Letters of Credit Comments Due:
34-98086
Aug. 8, 2023
SR-NSCC-2022-015
Order Approving a Proposed Rule Change to Make Certain Enhancements to the Gap Risk Measure and the VaR Charge
34-98071
Aug. 7, 2023
SR-ICEEU-2023-010
Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, to the ICE Clear Europe Clearing Rules Relating to Non-Default Losses Comments Due:
34-98055
Aug. 4, 2023
SR-ICC-2023-007
Order Approving Proposed Rule Change Relating to the ICC Recovery Plan and the ICC Wind-Down Plan
34-98047
Aug. 2, 2023
SR-FINRA-2022-031
Order Approving a Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)
34-98045
Aug. 2, 2023
SR-MIAX-2023-19
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend MIAX Rule 307, Position Limits View Received Comments
34-98032
Aug. 1, 2023
SR-ICEEU-2023-013
Order Approving Proposed Rule Change Relating to Amendments to the Collateral and Haircut Procedures
34-98029
July 31, 2023
SR-FINRA-2023-008
Order Approving a Proposed Rule Change to Amend FINRA Rules 1015, 9261, 9341, 9524, 9830 and Funding Portal Rule 900 (Code of Procedure) to Permit Hearings Under Those Rules to Be Conducted by Video Conference
34-98013
July 27, 2023
SR-NYSEAMER-2023-27
Order Granting Approval of a Proposed Rule Change to Amend Rule 915 (Criteria for Underlying Securities) to Accelerate the Listing of Options on Certain IPOs View Received Comments
