34-97100
March 9, 2023
SR-LCHSA-2023-001
Order Approving Proposed Rule Change Relating to the Liquidity Risk Model Framework Federal Register version (88 FR 16040)
34-97039
March 3, 2023
SR-FINRA-2022-031
Order Routing Information for OTC Equity Securities) Comments Due: View Received Comments Federal Register version (88 FR 14653)
34-97018
March 2, 2023
SR-ICEEU-2022-027
Order Approving Proposed Rule Change Relating to the Capital Replenishment Plan Federal Register version (88 FR 14412)
34-97019
March 2, 2023
SR-CBOE-2022-058
Order Approving a Proposed Rule Change To Amend Rule 10.3 Regarding Margin Requirements Federal Register version (88 FR 14416)
34-96965
Feb. 22, 2023
SR-CBOE-2022-057
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Increase Position Limits for Options on Apple Inc. Stock Comments Due: Federal Register version (88 FR 12705)
34-96861
Feb. 9, 2023
SR-CboeBZX-2022-038
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 11.28(a) To Extend the MOC Cut-Off Time for Cboe Market Close View Received Comments Federal Register version (88 FR 9940)
34-96798
Feb. 3, 2023
SR-FINRA-2022-015
Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm Comments Due: Federal Register version (88 FR 8494)
34-96786
Feb. 1, 2023
SR-NSCC-2022-005
Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Revise the Excess Capital Premium Charge Comments Due: Federal Register version (88 FR 8013)
34-96781
Jan. 31, 2023
SR-NASDAQ-2022-057
Order Approving of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Listing Rule 5732 To Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (88 FR 7766)
34-96751
Jan. 26, 2023
SR-CboeBZX-2022-031
Order Disapproving a Proposed Rule Change to List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares View Received Comments Federal Register version (88 FR 6328)
34-96684
Jan. 18, 2023
SR-CBOE-2022-051
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rules Relating to the Processing of Auction Responses Comments Due: Federal Register version (88 FR 4243)
34-96611
Jan. 9, 2023
SR-IEX-2022-10
Order Granting Approval of a Proposed Rule Change To Modify IEX Rule 11.190(b)(7) To Adopt an Optional Cancel or Re-Price Functionality for D-Limit Orders Comments Due: Federal Register version (88 FR 2379)
34-96566
Dec. 22, 2022
SR-OCC-2022-010
Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning a Risk Management Framework and Corporate Risk Management Policy Federal Register version (87 FR 80207)
34-96568
Dec. 22, 2022
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 Comments Due: View Received Comments Federal Register version (87 FR 80204)
34-96557
Dec. 21, 2022
SR-ICC-2022-013
Order Approving Proposed Rule Change Relating to the ICC Collateral Risk Management Framework, ICC Treasury Operations Policies and Procedures, and ICC Liquidity Risk Management Framework Federal Register version (87 FR 79922)
34-96555
Dec. 20, 2022
SR-DTC-2022-011
Order Granting Proposed Rule Changes To Amend Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes File Nos.: Federal Register version (87 FR 79398)
34-96514
Dec. 15, 2022
SR-NYSE-2022-14
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing View Received Comments Federal Register version (87 FR 78141)
34-96469
Dec. 8, 2022
SR-NYSEARCA-2022-61
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade the Shares of the Breakwave Tanker Shipping ETF Comments Due: Federal Register version (87 FR 76524)
34-96416
Dec. 1, 2022
SR-IEX-2022-06
Order Types for Determining Whether a Quote Instability Condition Exists Federal Register version (87 FR 75099)
34-96411
Nov. 30, 2022
SR-Phlx-2022-38
Order Granting Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq 100 Micro Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program Federal Register version (87 FR 74688)
34-96384
Nov. 23, 2022
SR-CboeBZX-2022-045
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B) View Received Comments Federal Register version (87 FR 73367)
34-96351
Nov. 18, 2022
SR-ICEEU-2022-015
Order Approving Proposed Rule Change Relating to ICE Clear Europe Operational Risk and Resilience Policy Federal Register version (87 FR 72553)
34-96345
Nov. 17, 2022
SR-DTC-2022-006
Order Granting Proposed Rule Changes To Amend the Stress Testing Framework and Liquidity Risk Management Framework File Nos.: Federal Register version (87 FR 71714)
34-96297
Nov. 10, 2022
SR-FINRA-2022-021
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision) Comments Due: Federal Register version (87 FR 68774)
34-96279
Nov. 9, 2022
SR-FINRA-2022-025
Order Approving Proposed Rule Change To Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) To Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings Federal Register version (87 FR 68783)
34-96281
Nov. 9, 2022
SR-ISE-2022-18
Order Granting Approval of a Proposed Rule Change To Amend the Short Term Option Series Program Federal Register version (87 FR 68769)
34-96191
Oct. 31, 2022
SR-FINRA-2022-019
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 Comments Due: Federal Register version (87 FR 66767)
34-96136
Oct. 24, 2022
SR-FICC-2022-006
Order Granting Approval of Proposed Rule Change To Increase the Minimum Required Fund Deposit for Government Securities Division Netting Members and Sponsoring Members, and Make Other Changes Comments Due: Federal Register version (87 FR 65268)
34-96134
Oct. 24, 2022
SR-ICEEU-2022-010
Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Clearing Membership Procedures Federal Register version (87 FR 65262)
34-96088
Oct. 14, 2022
SR-NSCC-2022-009
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Intraday Volatility Charge and Eliminate Intraday Backtesting Charge Comments Due: Federal Register version (87 FR 63845)
34-96011
Oct. 11, 2022
SR-CboeBZX-2022-006
Order Disapproving a Proposed Rule Change To List and Trade Shares of the WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Comments Due: View Received Comments Federal Register version (87 FR 62466)
34-95978
Oct. 4, 2022
SR-CboeBZX-2022-035
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Comments Due: Federal Register version (87 FR 61418)
34-95961
Sept. 30, 2022
SR-BOX-2022-19
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Article 4 of the Exchange's Bylaws To Establish a Staggered Board Comments Due: View Received Comments Federal Register version (87 FR 60717)
34-95848
Sept. 21, 2022
S7-24-89
Order Disapproving the Fifty-First Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Comments Due: Federal Register version (87 FR 58544)
34-95849
Sept. 21, 2022
S7-24-89
Order Disapproving the Fifty-Second Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Comments Due: Federal Register version (87 FR 58592)
34-95850
Sept. 21, 2022
SR-CTA/CQ-2021-02
Order Disapproving the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-Eighth Substantive Amendment to the Restated CQ Plan Comments Due: Federal Register version (87 FR 58560)
34-95851
Sept. 21, 2022
SR-CTA/CQ-2021-03
Order Disapproving the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan Comments Due: Federal Register version (87 FR 58613)
34-95791
Sept. 15, 2022
SR-FINRA-2022-015
Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm Comments Due: Federal Register version (87 FR 57731)
34-95795
Sept. 15, 2022
SR-CBOE-2022-039
Order Approving a Proposed Rule Change To Expand the Nonstandard Expirations Pilot Program To Include P.M.-Settled Options on the Mini-S&P 500 Index That Expire on Tuesday or Thursday Federal Register version (87 FR 57745)
34-95724
Sept. 9, 2022
SR-FICC-2022-004
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework Comments Due: Federal Register version (87 FR 56732)
34-95729
Sept. 9, 2022
SR-DTC-2022-006
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework Comments Due: Federal Register version (87 FR 56733)
34-95725
Sept. 9, 2022
SR-DTC-2022-006
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework Comments Due: Federal Register version (87 FR 56735)
34-95707
Sept. 8, 2022
SR-CBOE-2022-036
Order Approving a Proposed Rule Change To Amend Cboe Rule 5.6 and Cboe Rule 5.33 To Allow Delta-Adjusted at Close Orders To Be Submitted in FLEX Equity Options Federal Register version (87 FR 56477)
34-95685
Sept. 7, 2022
SR-ICEEU-2022-014
Order Approving Proposed Rule Change Relating to the ICE Clear Europe Outsourcing Policy Federal Register version (87 FR 56129)
34-95691
Sept. 7, 2022
SR-NYSE-2022-32
Order Approving a Proposed Rule Change To Amend NYSE Rule 7.35B Relating to the Closing Auction and Make Certain Conforming and Non-Substantive Changes to NYSE Rules 7.31, 7.35, 7.35B and 104 Federal Register version (87 FR 56099)
34-95656
Sept. 1, 2022
SR-NSCC-2022-005
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Revise the Excess Capital Premium Charge Comments Due: Federal Register version (87 FR 55058)
34-95654
Sept. 1, 2022
SR-ICC-2022-012
Order Approving Proposed Rule Change Relating to the Clearing Rules Federal Register version (87 FR 55045)
34-95658
Sept. 1, 2022
SR-CboeBZX-2022-037
Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend BZX Rule 11.17, Clearly Erroneous Executions View Received Comments Federal Register version (87 FR 55060)
34-95657
Sept. 1, 2022
SR-CBOE-2022-038
Order Approving a Proposed Rule Change To Amend CBOE Rule 5.32 With Respect to the Handling of Cancel/Replace Messages Federal Register version (87 FR 55053)
34-95635
Aug. 30, 2022
SR-FINRA-2022-013
Order Approving a Proposed Rule Change To Amend FINRA Rule 6730 (Transaction Reporting) To Enhance TRACE Reporting Obligations for U.S. Treasury Securities Federal Register version (87 FR 54579)
34-95634
Aug. 30, 2022
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 Comments Due: View Received Comments Federal Register version (87 FR 54558)
34-95622
Aug. 29, 2022
SR-CboeBZX-2022-031
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Comments Due: View Received Comments Federal Register version (87 FR 54270)
34-95616
Aug. 26, 2022
SR-FICC-2021-009
Order Approving of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes Comments Due: Federal Register version (87 FR 53818)
34-95615
Aug. 26, 2022
SR-DTC-2021-017
Order Approving of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes Comments Due: Federal Register version (87 FR 53807)
34-95618
Aug. 26, 2022
SR-NSCC-2021-016
Order Approving of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes Comments Due: View Received Comments Federal Register version (87 FR 53796)
34-95605
Aug. 25, 2022
SR-FICC-2022-005
Order Approving Proposed Rule Change To Revise the Formula Used To Calculate the VaR Charge for Repo Interest Volatility Comments Due: Federal Register version (87 FR 53522)
34-95603
Aug. 25, 2022
SR-ICC-2022-010
Order Approving Proposed Rule Change Relating to the Clearing Rules and the End-of-Day Price Discovery Policies and Procedures Federal Register version (87 FR 53529)
34-95602
Aug. 25, 2022
SR-MSRB-2022-05
Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices
34-95581
Aug. 23, 2022
SR-NYSEARCA-2022-31
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 6.64P-O View Received Comments Federal Register version (87 FR 52827)
34-95504
Aug. 16, 2022
SR-ICC-2022-008
Order Approving Proposed Rule Change Relating to the Stress Testing Framework and the Liquidity Risk Management Framework Federal Register version (87 FR 51466)
34-95503
Aug. 16, 2022
SR-LCHSA-2022-004
Order Approving Proposed Rule Change Relating to the Clearing of Markit iTraxx Australia Indices and the Associated Single-Name Constituents and Remediation of WWR Margin Instability Federal Register version (87 FR 51471)
34-95472
Aug. 11, 2022
SR-ICC-2022-007
Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts Federal Register version (87 FR 50672)
34-95465
Aug. 10, 2022
SR-FINRA-2022-011
Order Approving Proposed Rule Change To Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities Federal Register version (87 FR 50354)
34-95438
Aug. 5, 2022
SR-FINRA-2022-017
Order Approving a Proposed Rule Change To Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. Treasury Securities Federal Register version (87 FR 49626)
34-95393
July 29, 2022
SR-ISE-2022-13
Order Granting Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq-100 Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program Federal Register version (87 FR 47807)
34-95391
July 29, 2022
SR-Phlx-2022-22
Order Granting Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq-100 Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program Federal Register version (87 FR 47797)
34-95319
July 19, 2022
SR-OCC-2022-001
Order Granting Approval of Proposed Rule Change Concerning The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility Comments Due: View Received Comments Federal Register version (87 FR 44167)
34-95314
July 19, 2022
SR-CBOE-2022-015
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 10.3 Regarding Margin Requirements Comments Due: Federal Register version (87 FR 44163)
34-95312
July 18, 2022
SR-NYSE-2022-14
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing View Received Comments Federal Register version (87 FR 43914)
34-95233
July 8, 2022
SR-FICC-2022-003
Order Approving a Proposed Rule Change To Require Applicants and Members To Maintain or Upgrade Their Network or Communications Technology Comments Due: Federal Register version (87 FR 42218)
34-95232
July 8, 2022
SR-DTC-2022-004
Order Approving a Proposed Rule Change To Require Applicants, Participants, and Pledgees To Maintain or Upgrade Their Network or Communications Technology Federal Register version (87 FR 42239)
34-95237
July 8, 2022
SR-NSCC-2022-004
Order Approving a Proposed Rule Change To Require Applicants and Members To Maintain or Upgrade Their Network or Communications Technology Federal Register version (87 FR 42233)
34-95214
July 7, 2022
SR-ICC-2022-006
Order Approving Proposed Rule Change Relating to the ICC Model Validation Framework Federal Register version (87 FR 41776)
34-95220
July 7, 2022
SR-NASDAQ-2022-027
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise View Received Comments Federal Register version (87 FR 41780)
34-95179
June 29, 2022
SR-NYSEArca-2021-89
Order Disapproving a Proposed Rule Change To List and Trade Shares of the Bitwise Bitcoin ETP Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) Comments Due: View Received Comments Federal Register version (87 FR 40282)
34-95180
June 29, 2022
SR-NYSEArca-2021-90
Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of Grayscale Bitcoin Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) View Received Comments Federal Register version (87 FR 40299)
34-95145
June 23, 2022
SR-MSRB-2022-02
Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-19 Regarding Regulation Best Interest for Certain Municipal Securities Activities of Bank Dealers and MSRB Rule G-48 Regarding Quantitative Suitability for Institutional Sophisticated Municipal Market Professionals
34-95147
June 23, 2022
SR-FINRA-2022-009
Order Approving a Proposed Rule Change To Amend Certain FINRA Rules To Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals Federal Register version (87 FR 38803)
34-95093
June 13, 2022
SR-NYSE-2022-11
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the NYSE Listed Company Manual To Provide a Limited Exemption From the Shareholder Approval Requirements for Closed-End Management Investment Companies With Equity Securities Listed Under Section 102.04 of the Listed Company Manual View Received Comments Federal Register version (87 FR 36548)
34-95085
June 10, 2022
SR-ISE-2022-10
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend ISE Options 4, Section 5, Series of Options Contracts Open for Trading View Received Comments Federal Register version (87 FR 36353)
34-95086
June 10, 2022
SR-NYSE-2021-74
Order Granting Approval of a Proposed Rule Change to Amend the Provisions of NYSE Rule 7.35B View Received Comments
34-95070
June 8, 2022
SR-FICC-2022-002
Order Granting Approval of Proposed Rule Change To Revise the MBSD Clearing Rules To Move Certain DRC Items (Mark-to-Market Items, Cash Obligation Items and Accrued Principal and Interest) From the Required Fund Deposit Calculation to Cash Settlement, Revise Certain Thresholds and Parameters in the Intraday Mark-to-Market Charge, Establish a New Intraday VaR Charge and Make Certain Other Clarifications Comments Due: View Received Comments Federal Register version (87 FR 36014)
34-95069
June 8, 2022
SR-NASDAQ-2022-017
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Modify Equity 4, Rule 4120 To Add Categories of Regulatory and Operational Halts, To Reorganize the Remaining Text of the Rule, and To Make Conforming Changes to Related Rules View Received Comments Federal Register version (87 FR 36018)
34-95040
June 3, 2022
4-533
Order Approving Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by The Nasdaq Stock Market LLC, BOX Exchange LLC, Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., CBOE EDGX Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., MEMX LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc. Comments Due: View Received Comments Federal Register version (87 FR 35270)
34-95018
June 1, 2022
SR-FINRA-2021-024
Order Approving a Proposed Rule Change To Amend FINRA Rule 2231 (Customer Account Statements), as Modified by Amendment No. 1 Comments Due: Federal Register version (87 FR 36157)
34-95012
May 31, 2022
SR-DTC-2022-002
Order Approving the Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation Federal Register version (87 FR 34325)
34-95011
May 31, 2022
SR-NSCC-2022-003
Order Approving Proposed Rule Change To Introduce Central Clearing for Securities Financing Transaction Clearing Service Federal Register version (87 FR 34339)
34-95004
May 27, 2022
SR-ICEEU-2022-008
Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Operational Risk Management Policy and Risk Identification Framework Federal Register version (87 FR 33858)
34-94999
May 27, 2022
SR-NYSEArca-2021-67
Order Disapproving a Proposed Rule Change To List and Trade Shares of the One River Carbon Neutral Bitcoin Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) Comments Due: View Received Comments Federal Register version (87 FR 33548)
34-94988
May 26, 2022
SR-OCC-2022-002
Order Granting Approval of Proposed Rule Change Concerning the Options Clearing Corporation's Governance Arrangements Comments Due: View Received Comments Federal Register version (87 FR 33535)
34-94980
May 25, 2022
SR-ICC-2022-003
Order Approving Proposed Rule Change Relating to the ICC Governance Playbook Federal Register version (87 FR 33220)
34-94983
May 25, 2022
SR-ICC-2022-004
Order Approving Proposed Rule Change Relating to the ICC Recovery Plan and the ICC Wind-Down Plan Federal Register version (87 FR 33223)
34-94938
May 18, 2022
SR-OCC-2022-005
Order Granting Approval of Proposed Rule Change by the Options Clearing Corporation Concerning Revisions to OCC's Partial Tear-Up Rules Federal Register version (87 FR 31596)
34-94941
May 18, 2022
SR-NASDAQ-2022-015
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Exempt Non-Convertible Bonds Listed Under Rule 5702 From Certain Corporate Governance Requirements View Received Comments Federal Register version (87 FR 31594)
34-94928
May 17, 2022
SR-CBOE-2022-009
Order Approving a Proposed Rule Change To Amend Rule 4.3.06 To Allow the Exchange To List and Trade Options on the Goldman Sachs Physical Gold ETF Federal Register version (87 FR 31287)
34-94921
May 16, 2022
SR-ICC-2022-002
Order Approving Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy Federal Register version (87 FR 31020)
34-94910
May 13, 2022
SR-OCC-2022-003
Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning Cash-Settled FLEX ETF Options Federal Register version (87 FR 30531)
34-94907
May 13, 2022
SR-CboeBZX-2022-006
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Comments Due: View Received Comments Federal Register version (87 FR 30546)
34-94900
May 12, 2022
SR-OCC-2022-001
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Concerning the Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility Comments Due: View Received Comments Federal Register version (87 FR 30284)
34-94898
May 12, 2022
SR-LCHSA-2022-003
Order Approving Proposed Rule Change Relating to the Restructuring Notification Process for Swaptions Federal Register version (87 FR 30318)
