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)
34-92193
June 16, 2021
SR-NYSE-2020-105
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Revise Rules 46 and 46A To Permit the Appointment of Trading Officials Comments Due: View Received Comments Federal Register version (86 FR 33001)
34-92197
June 16, 2021
SR-ICC-2021-013
Order Approving Proposed Rule Change Relating to the ICC End-of-Day Price Discovery Policies and Procedures Comments Due: Federal Register version (86 FR 32994)
34-92196
June 16, 2021
SR-CboeBZX-2021-019
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: View Received Comments Federal Register version (86 FR 32985)
34-92133
June 9, 2021
SR-FINRA-2020-038
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) That Would Require Members To File Retail Communications Concerning Private Placement Offerings That Are Subject to Those Rules' Filing Requirements Federal Register version (86 FR 31764)
34-92105
June 3, 2021
SR-FINRA-2020-031
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt Proposed Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems) and Rescind the Rules Related to the OTC Bulletin Board Service Federal Register version (86 FR 30663)
34-92071
May 28, 2021
S7-24-89
Order Approving the Fiftieth 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, as Modified by Amendment Nos. 1 and 2 Comments Due: Federal Register version (86 FR 29846)
34-92070
May 28, 2021
SR-CTA/CQ-2021-01
Order Approving the Thirty-Sixth Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-Seventh Substantive Amendment to the Restated CQ Plan Comments Due: View Received Comments Federal Register version (86 FR 29849)
34-92038
May 27, 2021
SR-OCC-2021-003
Order Approving Proposed Rule Change To Establish OCC's Persistent Minimum Skin-In-The-Game Comments Due: View Received Comments Federal Register version (86 FR 29861)
34-92033
May 26, 2021
SR-NYSEAMER-2021-10
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 29601)
34-92033
May 26, 2021
SR-NYSECHX-2021-03
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 29601)
34-92033
May 26, 2021
SR-NYSE-2021-14
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 29601)
34-92033
May 26, 2021
SR-NYSENAT-2021-04
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 29601)
34-92033
May 26, 2021
SR-NYSEArca-2021-13
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 29601)
34-91961
May 20, 2021
SR-NASDAQ-2020-062
Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Listing Rules Applicable to Special Purpose Acquisition Companies Whose Business Plan Is To Complete One or More Business Combinations Comments Due: View Received Comments Federal Register version (86 FR 28407)
34-91951
May 20, 2021
SR-ICC-2021-009
Order Approving Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy Comments Due: Federal Register version (86 FR 28425)
34-91935
May 19, 2021
SR-OCC-2021-004
Order Granting Approval of Proposed Rule Change Relating to Revisions to OCC's Auction Participation Requirements Comments Due: Federal Register version (86 FR 28181)
34-91947
May 19, 2021
SR-NASDAQ-2020-057
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Allow Companies To List in Connection With a Direct Listing With a Primary Offering in Which the Company Will Sell Shares Itself in the Opening Auction on the First Day of Trading on Nasdaq and To Explain How the Opening Transaction for Such a Listing Will Be Effected Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (86 FR 28169)
34-91918
May 18, 2021
SR-ICC-2021-008
Order Approving Proposed Rule Change Relating to the ICC Risk Management Model Description Comments Due: Federal Register version (86 FR 27927)
34-91921
May 18, 2021
SR-CboeBZX-2021-023
Order Approving a Proposed Rule Change To Extend the Cutoff Time for Accepting on Close Orders Entered for Participation in the Exchange's Closing Auction and To Clarify Changes to the Definitions of Late-Limit-On-Close and Late-Limit-On-Open Orders Comments Due: Federal Register version (86 FR 27905)
34-91904
May 17, 2021
SR-NASDAQ-2021-007
Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 27659)
34-91894
May 13, 2021
SR-ICC-2021-007
Order Approving Proposed Rule Change Relating to the ICC's Treasury Operations Policies and Procedures Comments Due: Federal Register version (86 FR 27136)
34-91834
May 11, 2021
SR-ICC-2021-006
Order Approving Proposed Rule Change Relating to the ICC Clearing Rules and ICC Exercise Procedures Comments Due: Federal Register version (86 FR 26745)
34-91845
May 11, 2021
SR-CboeBZX-2021-014
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Allow Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF To Strike and Publish Multiple Intraday Net Asset Values Comments Due: Federal Register version (86 FR 26767)
34-91806
May 10, 2021
SR-ICC-2021-005
Order Approving Proposed Rule Change Relating to the ICC Recovery Plan and the ICC Wind-Down Plan Comments Due: Federal Register version (86 FR 26561)
34-91790
May 7, 2021
SR-NYSEArca-2021-15
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedules Related to Co-Location File Nos.: View Received Comments Federal Register version (86 FR 26242)
34-91790
May 7, 2021
SR-NYSEAMER-2021-13
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedules Related to Co-Location File Nos.: Federal Register version (86 FR 26242)
34-91787
May 6, 2021
SR-EMERALD-2021-09
Order Approving Proposed Rule Change To Adopt Exchange Rule 531(a), Reports, To Provide for a New "Liquidity Taker Event Report" Federal Register version (86 FR 26111)
34-91785
May 6, 2021
SR-NYSEAMER-2021-04
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchange's Price List Related to Co-Location To Establish Two Additional Partial Cabinet Solution Bundles File Nos.: View Received Comments Federal Register version (86 FR 26082)
34-91785
May 6, 2021
SR-NYSECHX-2021-01
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchange's Price List Related to Co-Location To Establish Two Additional Partial Cabinet Solution Bundles File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 26082)
34-91785
May 6, 2021
SR-NYSE-2021-05
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchange's Price List Related to Co-Location To Establish Two Additional Partial Cabinet Solution Bundles File Nos.: View Received Comments Federal Register version (86 FR 26082)
34-91785
May 6, 2021
SR-NYSENAT-2021-01
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchange's Price List Related to Co-Location To Establish Two Additional Partial Cabinet Solution Bundles File Nos.: View Received Comments Federal Register version (86 FR 26082)
34-91785
May 6, 2021
SR-NYSEArca-2021-07
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchange's Price List Related to Co-Location To Establish Two Additional Partial Cabinet Solution Bundles File Nos.: View Received Comments Federal Register version (86 FR 26082)
34-91779
May 5, 2021
SR-NYSEAMER-2021-05
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 970NY and Rule 970.1NY To Eliminate the Use of Dark Series on the Exchange View Received Comments Federal Register version (86 FR 25905)
34-91780
May 5, 2021
SR-NYSEArca-2021-09
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 6.86-O To Eliminate the Use of Dark Series on the Exchange Comments Due: View Received Comments Federal Register version (86 FR 25913)
34-91769
May 4, 2021
SR-NYSE-2021-08
Order Granting Approval of a Proposed Rule Change of New Rules Providing for the Registration and Obligations of Non-DMM Market Makers Comments Due: Federal Register version (86 FR 24909)
34-91637
April 22, 2021
SR-CBOE-2021-013
Order Approving a Proposed Rule Change To Amend Rule 5.52(d) in Connection With a Market-Maker's Electronic Volume Transacted on the Exchange Comments Due: Federal Register version (86 FR 22498)
34-91614
April 20, 2021
SR-Phlx-2021-10
Order Approving a Proposed Rule Change To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Options Program on the Invesco QQQ TrustSM Comments Due: Federal Register version (86 FR 22082)
34-91586
April 16, 2021
SR-ICEEU-2021-006
Order Approving Proposed Rule Change Relating to the ICE Clear Europe CDS Clearing Stress Testing Policy, CDS End of Day Price Discovery Policy, CDS Risk Model Description and CDS Risk Policy and CDS Parameters Review Procedures Federal Register version (86 FR 21418)
34-91587
April 16, 2021
SR-NSCC-2021-003
Order Approving Proposed Rule Changes To Revise the Clearing Agency Investment Policy File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 21392)
34-91587
April 16, 2021
SR-DTC-2021-002
Order Approving Proposed Rule Changes To Revise the Clearing Agency Investment Policy File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 21392)
34-91587
April 16, 2021
SR-FICC-2021-001
Order Approving Proposed Rule Changes To Revise the Clearing Agency Investment Policy File Nos.: Comments Due: Federal Register version (86 FR 21392)
34-91524
April 9, 2021
SR-Phlx-2021-07
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Permit the Listing and Trading of Options Based on 1/100th the Value of the Nasdaq-100 Index Comments Due: View Received Comments Federal Register version (86 FR 19909)
34-91487
April 6, 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 19054)
34-91461
April 2, 2021
SR-NASDAQ-2021-004
Order Imbalance Information for the Nasdaq Opening Cross, Amend Certain Cutoff Times for On-Open Orders Entered for Participation in the Nasdaq Opening Cross, and Extend the Time Period for Accepting Certain Limit-On-Open Orders Comments Due: View Received Comments Federal Register version (86 FR 18330)
34-91446
March 31, 2021
SR-NASDAQ-2020-017
Order Disapproving a Proposed Rule Change To Amend Nasdaq Rule 5704 Comments Due: View Received Comments Federal Register version (86 FR 17871)
34-91376
March 19, 2021
SR-ICEEU-2021-002
Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Price Submission Disciplinary Framework Federal Register version (86 FR 15983)
34-91368
March 19, 2021
SR-BOX-2020-38
Order Approving a Proposed Rule Change To Amend BOX Rule 7620 (Accommodation Transactions) Comments Due: Federal Register version (86 FR 15992)
34-91359
March 18, 2021
SR-NYSE-2020-96
Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 Federal Register version (86 FR 15734)
34-91361
March 18, 2021
SR-ICC-2021-003
Order Approving Proposed Rule Change Relating to the ICC Governance Playbook Comments Due: Federal Register version (86 FR 15747)
34-91343
March 17, 2021
SR-NYSE-2020-98
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change 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 15536)
34-91287
March 10, 2021
SR-LTSE-2021-01
Order Approving Proposed Rule Change To Amend LTSE Rule 14.501 To Specify the Process for Enforcing Compliance With LTSE Rule 14.425 for Listed Companies Comments Due: Federal Register version (86 FR 14511)
34-91283
March 9, 2021
SR-NYSEArca-2020-105
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating To List and Trade the Shares of the Teucrium Water Fund Under NYSE Arca Rule 8.200-E, Commentary .02 Comments Due: View Received Comments Federal Register version (86 FR 14356)
34-91278
March 8, 2021
SR-ICC-2021-002
Order Approving Proposed Rule Change Relating to the Clearance of an Additional Credit Default Swap Contract Comments Due: Federal Register version (86 FR 14165)
34-91279
March 8, 2021
SR-ICC-2021-003
Order Approving Proposed Rule Change Relating to the ICC Operational Risk Management Framework Comments Due: Federal Register version (86 FR 14163)
34-91266
March 5, 2021
SR-NYSEArca-2020-104
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Stance Equity ESG Large Cap Core ETF Under NYSE Arca Rule 8.601-E Comments Due: View Received Comments Federal Register version (86 FR 13930)
34-91258
March 4, 2021
SR-FINRA-2020-041
Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111) Comments Due: Federal Register version (86 FR 13780)
34-91257
March 4, 2021
SR-CBOE-2020-106
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend its Rules Regarding the Minimum Increments for Electronic Bids and Offers and Exercise Prices of Certain FLEX Options and Clarify in the Rules How the System Ranks FLEX Option Bids and Offers for Allocation Purposes Comments Due: View Received Comments Federal Register version (86 FR 13769)
34-91236
March 2, 2021
SR-NYSEArca-2020-56
Order Disapproving a Proposed Rule Change To Amend NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E, and 8.900-E Comments Due: View Received Comments Federal Register version (86 FR 13414)
34-91227
March 1, 2021
SR-NYSE-2020-95
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Permanent Commentaries to Rule 7.35A and Commentaries to Rule 7.35B and Make Related Changes to Rules 7.32, 7.35C, 46B, and 47 Comments Due: View Received Comments Federal Register version (86 FR 12991)
34-91141
Feb. 17, 2021
SR-ICEEU-2020-018
Order Approving Proposed Rule Change as Modified by Partial Amendment No. 1 Relating to Amendments to the ICE Clear Europe CDS Procedures and CDS Default Management Policy. Comments Due: Federal Register version (86 FR 10610)
34-91120
Feb. 12, 2021
SR-NYSE-2020-90
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Requirement Applicable to Special Purpose Acquisition Companies Upon Consummation of a Business Combination Concerning Compliance With the Round Lot Shareholder Requirement Comments Due: View Received Comments Federal Register version (86 FR 10379)
34-91121
Feb. 12, 2021
SR-NYSE-2020-93
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rules 7.35 and 7.35A Comments Due: View Received Comments Federal Register version (86 FR 10386)
34-91124
Feb. 12, 2021
SR-BX-2020-033
Order Granting Approval of a Proposed Rule Change To Utilize the FIX Protocol To Submit Orders to BX's Price Improvement Auction Mechanism Comments Due: Federal Register version (86 FR 10363)
34-91122
Feb. 12, 2021
SR-CBOE-2020-052
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 5.37, 5.38, and 5.73 Related to Auction Notification Messages and Index Combo Orders in SPX in the Automated Improvement Mechanism, Complex Automated Improvement Mechanism, and FLEX Automated Improvement Mechanism Comments Due: View Received Comments Federal Register version (86 FR 10364)
34-91109
Feb. 11, 2021
SR-NASDAQ-2020-090
Order Approving a Proposed Rule Change To Amend the Exchange's Rules at Equity 4, Section 4703(h) Relating to Reserve Orders Comments Due: Federal Register version (86 FR 10141)
34-91112
Feb. 11, 2021
SR-PEARL-2020-30
Order Granting Approval of a Proposed Rule Change To Amend the Exchange's By-Laws in Connection With an Equity Rights Program Comments Due: Federal Register version (86 FR 10149)
34-91116
Feb. 11, 2021
SR-CBOE-2020-050
Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Rules 5.37 and 5.73 Related to the Solicitation of Market Makers for SPX Initiating Orders in the Automated Improvement Mechanism and FLEX Automated Improvement Mechanism Comments Due: View Received Comments Federal Register version (86 FR 10154)
34-91092
Feb. 9, 2021
SR-FICC-2020-017
Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 9560)
34-91079
Feb. 8, 2021
SR-OCC-2020-016
Order Approving Proposed Rule Change to Concerning the Options Clearing Corporation's System for Theoretical Analysis and Numerical Simulation ("STANS") Methodology Documentation Comments Due: Federal Register version (86 FR 9410)
34-91075
Feb. 8, 2021
SR-ICC-2020-014
Order Approving Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures Comments Due: Federal Register version (86 FR 9404)
34-91070
Feb. 5, 2021
SR-FINRA-2020-037
Order Approving Proposed Rule Change To Amend the By-Laws of FINRA Regulation, Inc. To Align the Grounds for Member Removal From the NAC With an Existing Provision in the FINRA By-Laws Federal Register version (86 FR 9110)
34-91067
Feb. 5, 2021
SR-CBOE-2020-116
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Add Options on the Mini-Russell 2000 Index to Its P.M. Pilot Program Comments Due: View Received Comments Federal Register version (86 FR 9108)
34-91063
Feb. 4, 2021
SR-DTC-2020-019
Order Approving a Proposed Rule Change To Update the Distributions Service Guide Comments Due: Federal Register version (86 FR 8953)
34-91031
Feb. 1, 2021
SR-NYSEArca-2020-98
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Availability of Information for the iShares Gold Trust, the iShares Silver Trust, and the iShares S&P GSCI Commodity-Indexed Trust Comments Due: View Received Comments Federal Register version (86 FR 8464)
34-91029
Feb. 1, 2021
SR-NYSE-2020-86
Order Approving a Proposed Rule Change To Adopt NYSE Rule 5.2(j)(8) Governing the Listing and Trading of Exchange-Traded Fund Shares Comments Due: Federal Register version (86 FR 8420)
34-91016
Jan. 29, 2021
SR-IEX-2020-18
Order Granting Approval of Proposed Rule Change To Amend IEX Rule 11.510 To Reduce the Outbound Latency That Presently Applies to All Messages Sent From IEX Back to Users of the Exchange Comments Due: Federal Register version (86 FR 8238)
34-90995
Jan. 26, 2021
SR-NASDAQ-2020-069
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Exclude Special Purpose Acquisition Companies From the Requirement That at Least 50% of a Company's Round Lot Holders Each Hold Unrestricted Securities With a Market Value of at Least $2,500 Comments Due: Federal Register version (86 FR 7757)
34-90987
Jan. 25, 2021
SR-BOX-2020-16
Order Disapproving Proposed Rule Change, as Modified by Amendment No. 1, in Connection With the Proposed Establishment of the Boston Security Token Exchange LLC as a Facility of the Exchange Comments Due: View Received Comments Federal Register version (86 FR 7597)
34-90948
Jan. 19, 2021
SR-FICC-2020-015
Order Approving Proposed Rule Change To Include Same-Day Settling Trades in the Risk Management, Novation, Guarantee, and Settlement Services of the Government Securities Division's Delivery-Versus-Payment Service, and Make Other Changes Comments Due: Federal Register version (86 FR 7159)
34-90939
Jan. 15, 2021
SR-FINRA-2019-008
Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service Federal Register version (86 FR 6922)
34-90893
Jan. 11, 2021
SR-NYSE-2020-94
Order Granting Approval of Proposed Rule Change To Amend Section 907.00 of the Manual To Extend the Period of Time for the Entitlement of Certain Eligible Issuers To Receive Complimentary Products and Services Under That Rule Comments Due: Federal Register version (86 FR 4166)
34-90885
Jan. 11, 2021
4-757
Order Instituting Proceedings to Determine Whether To Approve or Disapprove a National Market System Plan Regarding Consolidated Equity Market Data Comments Due: View Received Comments Federal Register version (86 FR 4142)
34-90895
Jan. 11, 2021
SR-DTC-2020-017
Order Approving a Proposed Rule Change To Allow for the Deposit of Electronic Certificates of Deposit and Technical Changes Comments Due: Federal Register version (86 FR 4151)
34-90835
Dec. 31, 2020
SR-NYSEArca-2020-84
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 8.900-E To Adopt Generic Listing Standards for Managed Portfolio Shares Comments Due: View Received Comments Federal Register version (86 FR 630)
34-90827
Dec. 30, 2020
SR-OCC-2020-015
Order Granting Accelerated Approval of Proposed Rule Change Concerning the Implementation of New Sufficiency Scenarios in the Options Clearing Corporation's Stress Testing Inventory Comments Due: Federal Register version (86 FR 659)
34-90819
Dec. 29, 2020
SR-CboeBZX-2020-036
Order Disapproving a Proposed Rule Change Relating to Rule 14.11, Other Securities, To Modify a Continued Listing Criterion for Certain Exchange-Traded Products Comments Due: View Received Comments Federal Register version (86 FR 332)
34-90804
Dec. 28, 2020
SR-CboeEDGA-2020-029
Order Granting Approval of Proposed Rule Changes To Revise Each Exchange's Process for Re-Opening Trading of NYSE-Listed Securities Outside of Regular Trading Hours File Nos.: Comments Due: Federal Register version (86 FR 158)
34-90804
Dec. 28, 2020
SR-CboeBYX-2020-032
Order Granting Approval of Proposed Rule Changes To Revise Each Exchange's Process for Re-Opening Trading of NYSE-Listed Securities Outside of Regular Trading Hours File Nos.: Comments Due: Federal Register version (86 FR 158)
34-90804
Dec. 28, 2020
SR-CboeEDGX-2020-055
Order Granting Approval of Proposed Rule Changes To Revise Each Exchange's Process for Re-Opening Trading of NYSE-Listed Securities Outside of Regular Trading Hours File Nos.: Comments Due: Federal Register version (86 FR 158)
34-90804
Dec. 28, 2020
SR-CboeBZX-2020-083
Order Granting Approval of Proposed Rule Changes To Revise Each Exchange's Process for Re-Opening Trading of NYSE-Listed Securities Outside of Regular Trading Hours File Nos.: Comments Due: Federal Register version (86 FR 158)
34-90797
Dec. 23, 2020
SR-OCC-2020-014
Order Approving Proposed Rule Change To Adopt the OCC Third-Party Risk Management Framework and Retire the OCC Counterparty Credit Risk Management Framework Comments Due: Federal Register version (85 FR 86592)
34-90732
Dec. 18, 2020
SR-NYSEAMER-2020-66
Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE Chicago, Inc.; Notice of Filings of Amendment No. 1 and Order Granting Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1, Amending the Exchanges’ Co-Location Services to Establish Procedures for the Allocation of Cabinets to Co-Located Users if Cabinet Inventory Falls Below Certain Thresholds File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 84443)
34-90732
Dec. 18, 2020
SR-NYSECHX-2020-26
Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE Chicago, Inc.; Notice of Filings of Amendment No. 1 and Order Granting Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1, Amending the Exchanges’ Co-Location Services to Establish Procedures for the Allocation of Cabinets to Co-Located Users if Cabinet Inventory Falls Below Certain Thresholds File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 84443)
34-90732
Dec. 18, 2020
SR-NYSE-2020-73
Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE Chicago, Inc.; Notice of Filings of Amendment No. 1 and Order Granting Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1, Amending the Exchanges’ Co-Location Services to Establish Procedures for the Allocation of Cabinets to Co-Located Users if Cabinet Inventory Falls Below Certain Thresholds File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 84443)
34-90732
Dec. 18, 2020
SR-NYSENAT-2020-28
Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE Chicago, Inc.; Notice of Filings of Amendment No. 1 and Order Granting Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1, Amending the Exchanges’ Co-Location Services to Establish Procedures for the Allocation of Cabinets to Co-Located Users if Cabinet Inventory Falls Below Certain Thresholds File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 84443)
34-90732
Dec. 18, 2020
SR-NYSEArca-2020-82
Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE Chicago, Inc.; Notice of Filings of Amendment No. 1 and Order Granting Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1, Amending the Exchanges’ Co-Location Services to Establish Procedures for the Allocation of Cabinets to Co-Located Users if Cabinet Inventory Falls Below Certain Thresholds File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 84443)
34-90729
Dec. 18, 2020
SR-NASDAQ-2020-060
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Treat as an Eligible Switch, for Purposes of IM-5900-7, an Acquisition Company That Switches From NYSE to Nasdaq After Announcing a Business Combination Comments Due: Federal Register version (85 FR 84434)
