34-93727
Dec. 7, 2021
SR-MEMX-2021-10
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish a Retail Midpoint Liquidity Program Comments Due: View Received Comments Federal Register version (86 FR 70874)
34-93720
Dec. 6, 2021
SR-NYSEArca-2021-73
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Franklin Responsibly Sourced Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) Comments Due: Federal Register version (86 FR 70555)
34-93714
Dec. 3, 2021
SR-NYSE-2021-42
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Requirements of Section 102.06 of the NYSE Listed Company Manual To Allow an Acquisition Company To Contribute a Portion of Its Trust Account to a New Acquisition Company and Spin-Off the New Acquisition Company to Its Shareholders Comments Due: View Received Comments Federal Register version (86 FR 70150)
34-93700
Dec. 1, 2021
SR-CboeBZX-2021-024
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 (86 FR 69322)
34-93683
Nov. 30, 2021
SR-MEMX-2021-15
Order Granting Accelerated Approval of a Proposed Rule Change To Amend the Corporate Documents of the Exchange's Parent Company Comments Due: Federal Register version (86 FR 69111)
34-93655
Nov. 23, 2021
SR-CBOE-2021-046
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Cboe Rule 5.4 and Make Corresponding Changes to Other Rules Comments Due: View Received Comments Federal Register version (86 FR 68001)
34-93644
Nov. 22, 2021
SR-EMERALD-2021-29
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 a Tiered-Pricing Structure for Certain Connectivity Fees View Received Comments Federal Register version (86 FR 67750)
34-93639
Nov. 22, 2021
SR-PEARL-2021-45
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 (86 FR 67758)
34-93639
Nov. 22, 2021
SR-MIAX-2021-41
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 (86 FR 67758)
34-93640
Nov. 22, 2021
SR-EMERALD-2021-31
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 (86 FR 67745)
34-93640
Nov. 22, 2021
SR-MIAX-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 (86 FR 67745)
34-93628
Nov. 19, 2021
SR-Phlx-2021-56
Order Approving a Proposed Rule Change To Amend Options 4A, Section 12 Regarding the Calculation of the Closing Volume Weighted Average Price for Options on the Nasdaq-100 Volatility Index in Certain Circumstances Comments Due: Federal Register version (86 FR 67555)
34-93629
Nov. 19, 2021
SR-NYSE-2021-53
Order Approving of a Proposed Rule Change To Amend the Shareholder Voting Requirement Set Forth in Section 312.07 of the NYSE Listed Company Manual Comments Due: Federal Register version (86 FR 67507)
34-93610
Nov. 18, 2021
SR-ICC-2021-020
Order Approving Proposed Rule Change Relating to the Stress Testing Framework and the Indirect Participant Risk Monitoring and Review Policy Comments Due: Federal Register version (86 FR 67097)
34-93608
Nov. 18, 2021
SR-CboeBZX-2021-052
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: View Received Comments Federal Register version (86 FR 67094)
34-93603
Nov. 17, 2021
SR-ICEEU-2021-018
Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Collateral and Haircut Procedures Federal Register version (86 FR 66607)
34-93581
Nov. 16, 2021
SR-ICC-2021-019
Order Approving Proposed Rule Change Relating to the ICC CDS Instrument On-Boarding Policies and Procedures Comments Due: Federal Register version (86 FR 66382)
34-93559
Nov. 12, 2021
SR-CboeBZX-2021-019
Order Disapproving 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: View Received Comments 2021 Federal Register version (86 FR 64539)
34-93534
Nov. 8, 2021
SR-NYSEArca-2021-53
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change 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 (86 FR 63082)
34-93532
Nov. 5, 2021
SR-NSCC-2021-010
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish the Securities Financing Transaction Clearing Service and Make Other Changes Comments Due: View Received Comments Federal Register version (86 FR 62851)
34-93533
Nov. 5, 2021
SR-DTC-2021-014
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a 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 Comments Due: Federal Register version (86 FR 62853)
34-93510
Nov. 2, 2021
SR-CboeBZX-2021-051
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 (86 FR 61820)
34-93466
Oct. 29, 2021
SR-NYSEARCA-2021-68
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt New Exchange Rule 6.91P-O Comments Due: Federal Register version (86 FR 60955)
34-93484
Oct. 29, 2021
4-698
Order Disapproving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (86 FR 60933)
34-93434
Oct. 27, 2021
SR-NYSEArca-2021-65
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Sprott ESG Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) Comments Due: View Received Comments Federal Register version (86 FR 60516)
34-93388
Oct. 20, 2021
SR-ICC-2021-018
Order Approving Proposed Rule Change Relating to the ICC Back-Testing Framework Comments Due: Federal Register version (86 FR 59258)
34-93278
Oct. 8, 2021
SR-NSCC-2021-007
Order Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes Comments Due: Federal Register version (86 FR 57229)
34-93277
Oct. 8, 2021
SR-NASDAQ-2021-065
Order Granting Approval of a Proposed Rule Change To Amend Nasdaq Rule 5750 (Proxy Portfolio Shares) To Provide for the Use of Custom Baskets Consistent With the Exemptive Relief Issued Pursuant to the Investment Company Act of 1940 Applicable to a Series of Proxy Portfolio Shares Comments Due: Federal Register version (86 FR 57227)
34-93280
Oct. 8, 2021
SR-FICC-2021-004
Order Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes Comments Due: Federal Register version (86 FR 57208)
34-93279
Oct. 8, 2021
SR-DTC-2021-011
Order Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes Comments Due: View Received Comments Federal Register version (86 FR 57221)
34-93256
Oct. 4, 2021
SR-NASDAQ-2021-007
Order Granting Approval of a Proposed Rule Change To Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB With the Ability To Inspect Public Accounting Firms Comments Due: View Received Comments Federal Register version (86 FR 56338)
34-93234
Oct. 1, 2021
SR-FICC-2021-007
Order Approving Proposed Rule Change To Remove the Early Unwind Intraday Charge, Change the Treatment of Short-Term Treasuries, and Make Other Changes Comments Due: Federal Register version (86 FR 55891)
34-93229
Oct. 1, 2021
SR-CboeBZX-2020-053
Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment Nos. 2 and 4, To List and Trade Shares of the 2x Long VIX Futures ETF Under BZX Rule 14.11(f)(4) (Trust Issued Receipts) Comments Due: View Received Comments Federal Register version (86 FR 55873)
34-93230
Oct. 1, 2021
SR-CboeBZX-2020-070
Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, To List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4) (Trust Issued Receipts) View Received Comments Federal Register version (86 FR 55881)
34-93212
Sept. 30, 2021
SR-NYSE-2021-40
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in Rule 7.12 Comments Due: View Received Comments Federal Register version (86 FR 55066)
34-93214
Sept. 30, 2021
SR-NYSENAT-2021-01
Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees File Nos.: Letter from Assistant Secretary , 2021 Notice of Intention to Petition for Review , 2021 Petition for Review , Order Granting Petition for Review and Scheduling Filing of Statements , Statement of the Exchanges in Opposition to Order by Delegated Authority Disapproving Proposed Rule Changes , Inc. to establish certain co-location fees Federal Register version (86 FR 55672)
34-93214
Sept. 30, 2021
SR-NYSEArca-2021-07
Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees File Nos.: View Received Comments Letter from Assistant Secretary , 2021 Notice of Intention to Petition for Review , 2021 Petition for Review , Order Granting Petition for Review and Scheduling Filing of Statements , Statement of the Exchanges in Opposition to Order by Delegated Authority Disapproving Proposed Rule Changes , Inc. to establish certain co-location fees Federal Register version (86 FR 55672)
34-93214
Sept. 30, 2021
SR-NYSEAMER-2021-04
Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees File Nos.: View Received Comments Letter from Assistant Secretary , 2021 Notice of Intention to Petition for Review , 2021 Petition for Review , Order Granting Petition for Review and Scheduling Filing of Statements , Statement of the Exchanges in Opposition to Order by Delegated Authority Disapproving Proposed Rule Changes , Inc. to establish certain co-location fees Federal Register version (86 FR 55672)
34-93214
Sept. 30, 2021
SR-NYSECHX-2021-01
Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees File Nos.: Comments Due: View Received Comments Letter from Assistant Secretary , 2021 Notice of Intention to Petition for Review , 2021 Petition for Review , Order Granting Petition for Review and Scheduling Filing of Statements , Statement of the Exchanges in Opposition to Order by Delegated Authority Disapproving Proposed Rule Changes , Inc. to establish certain co-location fees Federal Register version (86 FR 55672)
34-93214
Sept. 30, 2021
SR-NYSE-2021-05
Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees File Nos.: View Received Comments Letter from Assistant Secretary , 2021 Notice of Intention to Petition for Review , 2021 Petition for Review , Order Granting Petition for Review and Scheduling Filing of Statements , Statement of the Exchanges in Opposition to Order by Delegated Authority Disapproving Proposed Rule Changes , Inc. to establish certain co-location fees Federal Register version (86 FR 55672)
34-93219
Sept. 30, 2021
SR-NASDAQ-2021-054
Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 (86 FR 55664)
34-93191
Sept. 29, 2021
SR-NYSEArca-2021-57
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the NYDIG Bitcoin ETF Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (86 FR 55090)
34-93176
Sept. 29, 2021
SR-LCHSA-2021-002
Order Approving Proposed Rule Change Relating to Eligible Collateral and Liquidity Risk Management Federal Register version (86 FR 55061)
34-93178
Sept. 29, 2021
SR-ICEEU-2021-014
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Clearing Membership Policy and Clearing Membership Procedures Federal Register version (86 FR 55045)
34-93157
Sept. 28, 2021
SR-Phlx-2021-43
Order Approving a Proposed Rule Change To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Options Program on the iShares Russell 2000 ETF (IWM) Comments Due: View Received Comments Federal Register version (86 FR 54749)
34-93147
Sept. 28, 2021
SR-CboeBZX-2021-053
Order Granting Approval of a Proposed Rule Change To Amend Rule 14.11(m) (Tracking Fund Shares) To Provide for the Use of Custom Baskets Consistent With the Exemptive Relief Issued Pursuant to the Investment Company Act of 1940 Applicable to a Series of Tracking Fund Shares Comments Due: Federal Register version (86 FR 54772)
34-93120
Sept. 24, 2021
SR-NYSEArca-2021-64
Order Granting Approval of a Proposed Rule Change To Amend Rule 8.601-E (Active Proxy Portfolio Shares) To Provide for the Use of Custom Baskets Comments Due: Federal Register version (86 FR 54257)
34-93119
Sept. 24, 2021
SR-NASDAQ-2021-045
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing Primary Offering Comments Due: View Received Comments Federal Register version (86 FR 54262)
34-93122
Sept. 24, 2021
SR-CBOE-2021-041
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Certain Rules To Accommodate the Listing and Trading of Micro FLEX Index Options and To Make Other Clarifying and Non-Substantive Changes Comments Due: View Received Comments Federal Register version (86 FR 54269)
34-93102
Sept. 22, 2021
SR-OCC-2021-007
Order Granting Approval of Proposed Rule Change Concerning the Options Clearing Corporation's Governance Arrangements Comments Due: Federal Register version (86 FR 53718)
34-93103
Sept. 22, 2021
SR-FINRA-2021-016
Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Amend Rule 2165 (Financial Exploitation of Specified Adults) Comments Due: Federal Register version (86 FR 53696)
34-93097
Sept. 21, 2021
SR-FINRA-2021-015
Order Approving a Proposed Rule Change To Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements) Federal Register version (86 FR 53358)
34-92932
Sept. 10, 2021
SR-FINRA-2021-014
Order Granting Approval of a Proposed Rule Change Relating to Members' Filing Requirements Under FINRA Rule 6432 (Compliance With the Information Requirements of SEA Rule 15c2-11) Federal Register version (86 FR 51700)
34-92918
Sept. 9, 2021
SR-ICC-2021-017
Order Approving Proposed Rule Change Relating to the ICE Clear Credit Operating Agreement and Governance Playbook Comments Due: Federal Register version (86 FR 51391)
34-92895
Sept. 8, 2021
SR-ICC-2021-016
Order Approving Proposed Rule Change Relating to the ICC Exercise Procedures Comments Due: Federal Register version (86 FR 51206)
34-92798
Aug. 27, 2021
SR-PEARL-2021-33
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the MIAX Pearl Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Ports Comments Due: View Received Comments Federal Register version (86 FR 49360)
34-92797
Aug. 27, 2021
SR-PEARL-2021-32
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the MIAX Pearl Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees Comments Due: View Received Comments Federal Register version (86 FR 49399)
34-92789
Aug. 27, 2021
SR-MIAX-2021-28
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for the Exchanges' cToM Market Data Products File Nos.: Comments Due: Federal Register version (86 FR 49364)
34-92789
Aug. 27, 2021
SR-EMERALD-2021-21
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for the Exchanges' cToM Market Data Products File Nos.: Comments Due: Federal Register version (86 FR 49364)
34-92792
Aug. 27, 2021
SR-MIAX-2021-29
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend Fees for Purge Ports File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 49384)
34-92792
Aug. 27, 2021
SR-PEARL-2021-30
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend Fees for Purge Ports File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 49384)
34-92792
Aug. 27, 2021
SR-EMERALD-2021-22
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend Fees for Purge Ports File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 49384)
34-92786
Aug. 27, 2021
SR-ICEEU-2021-010
Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the Clearing Rules, Clearing Procedures, Finance Procedures, Delivery Procedures, CDS Procedures, Membership Procedures, Complaint Resolution Procedures, and General Contract Terms Federal Register version (86 FR 49367)
34-92753
Aug. 25, 2021
SR-ICC-2021-015
Order Approving Proposed Rule Change Relating to the ICC Governance Playbook, ICC Risk Management Framework, and ICC Treasury Operations Policies and Procedures Comments Due: Federal Register version (86 FR 48778)
34-92721
Aug. 23, 2021
SR-CboeBZX-2021-039
Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 (86 FR 48272)
34-92714
Aug. 20, 2021
SR-NYSEArca-2021-37
Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 (86 FR 47662)
34-92710
Aug. 19, 2021
SR-FINRA-2021-011
Order Approving a Proposed Rule Change To Amend FINRA Rule 1011(p) ("Specified Risk Event") Federal Register version (86 FR 47527)
34-92700
Aug. 18, 2021
SR-NYSE-2020-96
Order Disapproving a 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 2021 , 2021 , 2021 , 2022 , 2022 , 2022 Federal Register version (86 FR 47351)
34-92682
Aug. 17, 2021
SR-NSCC-2021-009
Order Approving a Proposed Rule Change To Modify the Rules & Procedures of National Securities Clearing Corporation in Connection With the Implementation of Section 1446(f) of the Internal Revenue Code of 1986 Comments Due: Federal Register version (86 FR 47172)
34-92667
Aug. 13, 2021
SR-NYSE-2020-98
Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Amend Its Rules To Prohibit Member Organizations From Seeking Reimbursement, in Certain Circumstances, From Issuers for Forwarding Proxy and Other Materials to Beneficial Owners Comments Due: View Received Comments Federal Register version (86 FR 46733)
34-92610
Aug. 9, 2021
SR-NYSEArca-2021-31
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 NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (86 FR 44763)
34-92586
Aug. 6, 2021
4-757
Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data Comments Due: View Received Comments Motion for Stay Federal Register version (86 FR 44142)
34-92590
Aug. 6, 2021
SR-NASDAQ-2020-081
Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt Listing Rules Related to Board Diversity and To Offer Certain Listed Companies Access to a Complimentary Board Recruiting Service File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 44424)
34-92583
Aug. 5, 2021
SR-NYSEArca-2021-52
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges Comments Due: Federal Register version (86 FR 44116)
34-92561
Aug. 4, 2021
SR-FINRA-2021-009
Order Approving a Proposed Rule Change To Adopt a Supplemental Liquidity Schedule, and Instructions Thereto, Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) Federal Register version (86 FR 43698)
34-92525
July 30, 2021
SR-FINRA-2020-041
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111) Federal Register version (86 FR 49589)
34-92501
July 26, 2021
SR-LCHSA-2021-001
Order Approving Proposed Rule Change Relating to the Clearing of Single-Name Credit Default Swaps by U.S. Customers Federal Register version (86 FR 41115)
34-92492
July 26, 2021
SR-ICEEU-2021-013
Order Approving Proposed Rule Change Relating to the ICE Clear Europe Articles of Association Federal Register version (86 FR 41125)
34-92476
July 23, 2021
SR-CboeBZX-2021-029
Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 40883)
34-92451
July 20, 2021
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 (86 FR 40114)
34-92392
July 13, 2021
SR-CboeBZX-2021-024
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 (86 FR 38154)
34-92368
July 9, 2021
SR-NYSENAT-2021-09
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedule To Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 37356)
34-92368
July 9, 2021
SR-NYSEArca-2021-24
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedule To Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 37356)
34-92368
July 9, 2021
SR-NYSEAMER-2021-21
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedule To Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 37356)
34-92368
July 9, 2021
SR-NYSECHX-2021-07
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedule To Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 37356)
34-92368
July 9, 2021
SR-NYSE-2021-25
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedule To Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 37356)
34-92303
June 30, 2021
SR-FICC-2020-017
Order Approving a Proposed Rule Change To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount Comments Due: View Received Comments Federal Register version (86 FR 35854)
34-92257
June 24, 2021
SR-CboeEDGA-2021-011
Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, Relating to the Exchanges' Process for Re-Opening Securities Listed on Other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause Outside of Regular Trading Hours File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 34806)
34-92257
June 24, 2021
SR-CboeBYX-2021-012
Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, Relating to the Exchanges' Process for Re-Opening Securities Listed on Other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause Outside of Regular Trading Hours File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 34806)
34-92257
June 24, 2021
SR-CboeEDGX-2021-025
Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, Relating to the Exchanges' Process for Re-Opening Securities Listed on Other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause Outside of Regular Trading Hours File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 34806)
34-92257
June 24, 2021
SR-CboeBZX-2021-035
Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, Relating to the Exchanges' Process for Re-Opening Securities Listed on Other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause Outside of Regular Trading Hours File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 34806)
34-92203
June 17, 2021
SR-CBOE-2021-025
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Cboe Rules 5.37 and 5.38 in Connection With Allocations at the Conclusion of the Exchange's Automated Improvement Mechanism ("AIM") and Complex AIM ("C-AIM") Auctions Comments Due: View Received Comments Federal Register version (86 FR 33425)
34-92207
June 17, 2021
SR-GEMX-2021-03
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-NASDAQ-2021-029
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-ISE-2021-08
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-CboeEDGA-2021-010
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-CboeBYX-2021-011
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-PHLX-2021-25
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: View Received Comments Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-BX-2021-018
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: Federal Register version (86 FR 33448)
34-92207
June 17, 2021
SR-MRX-2021-05
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: Comments Due: Federal Register version (86 FR 33448)
