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)
34-94883
May 10, 2022
SR-CboeEDGX-2022-004
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Codify Certain Practices and Requirements Related to the Exchange's Port Message Rate Thresholds Comments Due: Federal Register version (87 FR 29776)
34-94866
May 6, 2022
SR-MEMX-2021-10
Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Retail Midpoint Liquidity Program Comments Due: View Received Comments 34-96788.pdf , Letter from Assistant Secretary J. Matthew DeLesDernier to Anders Franzon, General Counsel, MEMX LLC, dated May 10, 2022 Federal Register version (87 FR 29193)
34-94853
May 5, 2022
SR-NASDAQ-2021-066
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund Under Nasdaq Rule 5711(g) Comments Due: Federal Register version (87 FR 28848)
34-94821
April 29, 2022
SR-LCHSA-2022-002
Order Approving Proposed Rule Change Relating to the CDS Clearing Rule Book, Supplement, and Procedures Federal Register version (87 FR 26792)
34-94814
April 28, 2022
SR-NYSE-2022-04
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98 View Received Comments Federal Register version (87 FR 26378)
34-94620
April 6, 2022
SR-NYSEArca-2021-53
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Teucrium Bitcoin Futures Fund Under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts) Comments Due: View Received Comments Federal Register version (87 FR 21676)
34-94607
April 5, 2022
SR-ICEEU-2022-004
Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Clearing Stress-Testing Policy and CDS Clearing Back-Testing Policy Comments Due: Federal Register version (87 FR 21227)
34-94571
March 31, 2022
SR-CboeBZX-2021-051
Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, 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 20014)
34-94495
March 23, 2022
SR-DTC-2021-017
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes Comments Due: View Received Comments Federal Register version (87 FR 18451)
34-94497
March 23, 2022
SR-FICC-2021-009
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes Comments Due: View Received Comments Federal Register version (87 FR 18409)
34-94494
March 23, 2022
SR-NSCC-2021-016
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes Comments Due: View Received Comments Federal Register version (87 FR 18444)
34-94483
March 22, 2022
SR-NYSE-2021-74
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Provisions of NYSE Rule 7.35B View Received Comments Federal Register version (87 FR 17346)
34-94450
March 17, 2022
SR-NASDAQ-2021-099
Order Approving Proposed Rule Change To Amend Nasdaq Rule 5815(d)(4) Regarding the Use of a Hearings Panel Monitor Following a Compliance Determination by a Nasdaq Listings Qualification Hearings Panel Comments Due: Federal Register version (87 FR 16518)
34-94431
March 16, 2022
SR-NASDAQ-2022-006
Order Approving Proposed Rule Change To Enable Exchange Participants To Enter Midpoint Extended Life Orders and M-ELO Plus Continuous Book Orders With an Immediate-or-Cancel Time-in-Force Instruction Comments Due: Federal Register version (87 FR 16279)
34-94396
March 10, 2022
SR-CboeBZX-2021-052
Order Disapproving 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: View Received Comments Federal Register version (87 FR 14912)
34-94395
March 10, 2022
SR-NYSEArca-2021-57
Order Disapproving a Proposed Rule Change To List and Trade Shares of the NYDIG Bitcoin ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) Comments Due: View Received Comments Federal Register version (87 FR 14932)
34-94389
March 9, 2022
SR-NASDAQ-2021-054
Order Disapproving a Proposed Rule Change To Modify Nasdaq IM-5101-2 To Permit an Acquisition Company To Contribute a Portion of Its Deposit Account to Another Entity in a Spin-Off or Similar Corporate Transaction Comments Due: View Received Comments Federal Register version (87 FR 14592)
34-94369
March 7, 2022
SR-CboeEDGX-2021-049
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report Comments Due: View Received Comments Federal Register version (87 FR 14056)
34-94372
March 7, 2022
SR-CboeBZX-2021-078
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report Comments Due: View Received Comments Federal Register version (87 FR 14053)
34-94373
March 7, 2022
SR-CboeBYX-2021-028
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report Comments Due: View Received Comments Federal Register version (87 FR 14060)
34-94367
March 7, 2022
SR-CboeEDGA-2021-025
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report Comments Due: View Received Comments Federal Register version (87 FR 14058)
34-94332
Feb. 28, 2022
SR-MEMX-2021-22
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Connectivity Fees Comments Due: View Received Comments Federal Register version (87 FR 12513)
34-94304
Feb. 24, 2022
SR-OCC-2021-014
Order Granting Approval of Proposed Rule Change Concerning The Options Clearing Corporation's Cash and Investment Management Comments Due: Federal Register version (87 FR 11776)
34-94307
Feb. 24, 2022
S7-24-89
Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 11787)
34-94308
Feb. 24, 2022
S7-24-89
Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 11755)
34-94309
Feb. 24, 2022
SR-CTA/CQ-2021-03
Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 11763)
34-94310
Feb. 24, 2022
SR-CTA/CQ-2021-02
Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Eighth Substantive Amendment to the Restated CQ Plan Comments Due: Federal Register version (87 FR 11748)
34-94311
Feb. 24, 2022
SR-NASDAQ-2021-045
Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing Primary Offering Comments Due: View Received Comments Federal Register version (87 FR 11780)
34-94277
Feb. 17, 2022
SR-NASDAQ-2021-101
Order Handling in the Limit Up-Limit Down Closing Cross Comments Due: Federal Register version (87 FR 10418)
34-94253
Feb. 15, 2022
SR-CBOE-2021-068
Order Granting Approval of a Proposed Rule Change To Adopt a Modified Trading Schedule for Holidays Comments Due: Federal Register version (87 FR 9729)
34-94217
Feb. 10, 2022
SR-NYSE-2021-73
Order Approving a Proposed Rule Change To Amend NYSE Rule 37 To Incorporate Standards of Conduct for the Exchange's Trading Floor Comments Due: Federal Register version (87 FR 8901)
34-94151
Feb. 4, 2022
SR-NYSEArca-2021-90
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of Grayscale Bitcoin Trust (BTC) Under NYSE Arca Rule 8.201-E View Received Comments Federal Register version (87 FR 7889)
34-94126
Feb. 1, 2022
SR-NYSEArca-2021-89
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Bitwise Bitcoin ETP Trust Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (87 FR 6903)
34-94089
Jan. 27, 2022
SR-EMERALD-2021-42
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt a Tiered Pricing Structure for Certain Connectivity Fees View Received Comments Federal Register version (87 FR 5910)
34-94087
Jan. 27, 2022
SR-MIAX-2021-60
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend Fee Schedules To Adopt Tiered-Pricing Structures for Additional Limited Service MIAX and MIAX Emerald Express Interface Ports File Nos.: Comments Due: View Received Comments Federal Register version (87 FR 5918)
34-94087
Jan. 27, 2022
SR-EMERALD-2021-43
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend Fee Schedules To Adopt Tiered-Pricing Structures for Additional Limited Service MIAX and MIAX Emerald Express Interface Ports File Nos.: Comments Due: View Received Comments Federal Register version (87 FR 5918)
34-94088
Jan. 27, 2022
SR-MIAX-2021-59
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedules To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees File Nos.: Comments Due: View Received Comments Federal Register version (87 FR 5901)
34-94088
Jan. 27, 2022
SR-PEARL-2021-57
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedules To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees File Nos.: Comments Due: View Received Comments Federal Register version (87 FR 5901)
34-94080
Jan. 27, 2022
SR-CboeBZX-2021-039
Order Disapproving a Proposed Rule Change To List and Trade Shares of the Wise Origin Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Comments Due: View Received Comments Federal Register version (87 FR 5527)
34-94061
Jan. 25, 2022
SR-FINRA-2021-016
Order Approving a Proposed Rule Change To Amend Rule 2165 (Financial Exploitation of Specified Adults) Federal Register version (87 FR 4974)
34-94038
Jan. 24, 2022
SR-NASDAQ-2021-040
Order Types Comments Due: View Received Comments Federal Register version (87 FR 4683)
34-94024
Jan. 21, 2022
SR-NYSEArca-2021-28
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of ConvexityShares Daily 1.5x SPIKES Futures ETF Under NYSE Arca Rule 8.200-E (Trust Issued Receipts) Comments Due: View Received Comments Federal Register version (87 FR 4308)
34-94025
Jan. 21, 2022
SR-NYSEArca-2021-29
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of ConvexityShares 1x SPIKES Futures ETF Under NYSE Arca Rule 8.200-E (Trust Issued Receipts) Comments Due: View Received Comments Federal Register version (87 FR 4314)
34-94006
Jan. 20, 2022
SR-NYSEArca-2021-37
Order Disapproving a Proposed Rule Change To List and Trade Shares of the First Trust SkyBridge Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E View Received Comments Federal Register version (87 FR 3869)
34-94014
Jan. 20, 2022
SR-ICC-2021-021
Order Approving Proposed Rule Change Relating to the ICC Clearing Rules and ICC Exercise Procedures Comments Due: Federal Register version (87 FR 4069)
34-94014
Jan. 20, 2022
SR-ICC-2021-023
Order Approving Proposed Rule Change Relating to the ICC Clearing Rules and ICC Exercise Procedures Comments Due: Federal Register version (87 FR 4069)
34-94013
Jan. 20, 2022
SR-FINRA-2021-010
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Requirements for Covered Agency Transactions Under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-036 Bond Dealers of America and Brean Capital Statement In Opposition , 2022 FINRA Statement in Support , LLP , Letter from Assistant Secretary , LLP Letter 020322 Federal Register version (87 FR 4076)
34-93966
Jan. 12, 2022
SR-FINRA-2021-029
Order Approving Proposed Rule Change To Amend FINRA Rule 6732 and Expand the Scope of Exemptions That FINRA May Grant ATSs From the TRACE Reporting Requirements Federal Register version (87 FR 2976)
34-93963
Jan. 12, 2022
SR-CboeEDGA-2021-024
Order Granting Approval of Proposed Rule Changes To Amend Each Exchange's Rules in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities File Nos.: Comments Due: Federal Register version (87 FR 2961)
34-93963
Jan. 12, 2022
SR-CboeBYX-2021-027
Order Granting Approval of Proposed Rule Changes To Amend Each Exchange's Rules in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities File Nos.: Comments Due: Federal Register version (87 FR 2961)
34-93963
Jan. 12, 2022
SR-CboeEDGX-2021-048
Order Granting Approval of Proposed Rule Changes To Amend Each Exchange's Rules in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities File Nos.: Comments Due: Federal Register version (87 FR 2961)
34-93963
Jan. 12, 2022
SR-CboeBZX-2021-076
Order Granting Approval of Proposed Rule Changes To Amend Each Exchange's Rules in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities File Nos.: Comments Due: Federal Register version (87 FR 2961)
34-93953
Jan. 11, 2022
SR-NSCC-2021-013
Order Approving Proposed Rule Change To Provide for a Passive Acknowledgment Process, Codify Certain Settlement Processes, and Make Technical and Conforming Changes to the NSCC Rules & Procedures Comments Due: Federal Register version (87 FR 2650)
34-93934
Jan. 7, 2022
SR-NYSE-2020-96
New York Stock Exchange LLC; Order Granting Petition for Review and Scheduling Filing of Statements Regarding an Order Disapproving Proposed Rule Change To Amend Its Rules Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners Comments Due: View Received Comments Federal Register version (87 FR 2189)
34-93914
Jan. 6, 2022
SR-FINRA-2021-008
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Security-Based Swaps Federal Register version (87 FR 1962)
34-93883
Dec. 30, 2021
SR-IEX-2021-14
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Its Fee Schedule for Market Data Fees Comments Due: View Received Comments Federal Register version (87 FR 523)
34-93880
Dec. 30, 2021
SR-ICEEU-2021-015
Order Approving Proposed Rule Change Relating to Adoption of the Counterparty Credit Risk Policy and Counterparty Credit Risk Procedures Federal Register version (87 FR 513)
34-93859
Dec. 22, 2021
SR-NYSEArca-2021-31
Order Disapproving a Proposed Rule Change To List and Trade Shares of the Valkyrie Bitcoin Fund Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) Comments Due: View Received Comments Federal Register version (86 FR 74156)
34-93860
Dec. 22, 2021
SR-CboeBZX-2021-029
Order Disapproving a Proposed Rule Change To List and Trade Shares of the Kryptoin Bitcoin ETF Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Comments Due: View Received Comments Federal Register version (86 FR 74166)
34-93840
Dec. 21, 2021
SR-NYSEArca-2021-67
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the One River Carbon Neutral Bitcoin Trust Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (86 FR 73826)
34-93848
Dec. 21, 2021
SR-BX-2021-051
Order Approving Proposed Rule Changes Regarding the Transfer of Ownership of Nasdaq BX Equities LLC and the Merger of Nasdaq BX Equities LLC With and Into the Exchange File Nos.: Comments Due: Federal Register version (86 FR 73831)
34-93845
Dec. 21, 2021
SR-ICEEU-2021-020
Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Liquidity Management Procedures and Investment Management Procedures Federal Register version (86 FR 73833)
34-93818
Dec. 17, 2021
SR-NYSEArca-2021-91
Order Approving a Proposed Rule Change To Amend Rule 6.87-O Comments Due: View Received Comments Federal Register version (86 FR 73009)
34-93809
Dec. 17, 2021
SR-NYSE-2021-44
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Rules 7.31, 7.35, 7.35B, 7.35C, 98, and 104 Relating to the Closing Auction Comments Due: View Received Comments Federal Register version (86 FR 73060)
34-93810
Dec. 17, 2021
SR-NYSENAT-2021-23
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Offer Wireless Connectivity to CME Group Data and Establish Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 73026)
34-93810
Dec. 17, 2021
SR-NYSEArca-2021-97
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Offer Wireless Connectivity to CME Group Data and Establish Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 73026)
34-93810
Dec. 17, 2021
SR-NYSEAMER-2021-43
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Offer Wireless Connectivity to CME Group Data and Establish Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 73026)
34-93810
Dec. 17, 2021
SR-NYSECHX-2021-17
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Offer Wireless Connectivity to CME Group Data and Establish Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 73026)
34-93810
Dec. 17, 2021
SR-NYSE-2021-67
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Offer Wireless Connectivity to CME Group Data and Establish Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 73026)
34-93795
Dec. 15, 2021
SR-ICC-2021-022
Order Approving Proposed Rule Change Relating to the ICC End-of-Day Price Discovery Policies and Procedures Comments Due: Federal Register version (86 FR 72291)
34-93778
Dec. 14, 2021
SR-BOX-2021-19
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Related to BOX Exchange LLC and BOX Holdings Group LLC Ownership Transfer Transactions Comments Due: View Received Comments Federal Register version (86 FR 72021)
34-93741
Dec. 8, 2021
SR-NYSE-2021-45
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Listing Standards for Subscription Warrants Issued by a Company Organized Solely for the Purpose of Identifying an Acquisition Target Comments Due: View Received Comments Federal Register version (86 FR 71111)
34-93731
Dec. 7, 2021
SR-NASDAQ-2021-066
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 Valkyrie XBTO Bitcoin Futures Fund Under Nasdaq Rule 5711(g) Comments Due: Federal Register version (86 FR 70882)
