34-90735
Dec. 18, 2020
SR-BOX-2020-14
Order Disapproving Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC Comments Due: View Received Comments Federal Register version (85 FR 84403)
34-90717
Dec. 17, 2020
SR-NASDAQ-2020-057
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change 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 Federal Register version (85 FR 84025)
34-90705
Dec. 17, 2020
SR-FINRA-2020-035
Order Approving a Proposed Rule Change To Amend the FINRA Codes of Arbitration Procedure To Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees Federal Register version (85 FR 84053)
34-90683
Dec. 16, 2020
SR-NYSEArca-2020-94
Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, To List and Trade Shares of the AdvisorShares Q Portfolio Blended Allocation ETF and AdvisorShares Q Dynamic Growth ETF Under NYSE Arca Rule 8.900-E Comments Due: View Received Comments Federal Register version (85 FR 83665)
34-90682
Dec. 16, 2020
SR-NASDAQ-2020-062
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change 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 (85 FR 83113)
34-90659
Dec. 14, 2020
SR-CboeBZX-2020-070
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) ("Trust Issued Receipts") View Received Comments Federal Register version (85 FR 82536)
34-90652
Dec. 11, 2020
SR-NYSEArca-2020-77
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 8.601-E To Adopt Generic Listing Standards for Active Proxy Portfolio Shares Comments Due: Federal Register version (85 FR 82011)
34-90646
Dec. 11, 2020
SR-FINRA-2020-034
Order Approving Proposed Rule Change To Modify TRACE Dissemination Protocols for Agency Pass-Through MBS or SBA-Backed ABS Traded in Specified Pool Transactions Federal Register version (85 FR 82002)
34-90627
Dec. 10, 2020
SR-ICEEU-2020-013
Order Approving Proposed Rule Change Relating to the ICE Clear Europe Investment Management Procedures Comments Due: Federal Register version (85 FR 81548)
34-90635
Dec. 10, 2020
SR-FINRA-2020-011
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Address Brokers With a Significant History of Misconduct Federal Register version (85 FR 81540)
34-90611
Dec. 9, 2020
SR-MSRB-2020-08
Order Granting Approval of a Proposed Rule Change To Amend MSRB Form G-32 Comments Due: Federal Register version (85 FR 81248)
34-90573
Dec. 4, 2020
SR-Phlx-2020-41
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Options on a Nasdaq-100 Volatility Index Comments Due: View Received Comments Federal Register version (85 FR 79552)
34-90541
Dec. 1, 2020
SR-LCHSA-2020-006
Order Approving Proposed Rule Change Relating to the Amendments to LCH SA's Liquidity Risk Modelling Framework Federal Register version (85 FR 78888)
34-90528
Nov. 30, 2020
SR-NYSEArca-2020-80
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of Alger Mid Cap 40 ETF and Alger 25 ETF Under Rule 8.900-E Comments Due: View Received Comments Federal Register version (85 FR 78389)
34-90502
Nov. 24, 2020
SR-NSCC-2020-003
Order Approving a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV Comments Due: View Received Comments Federal Register version (85 FR 77281)
34-90505
Nov. 24, 2020
SR-ICC-2020-011
Order Approving Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Clearing Rules Comments Due: Federal Register version (85 FR 77315)
34-90481
Nov. 23, 2020
SR-DTC-2020-012
Order Approving a Proposed Rule Change To Establish the ClaimConnectTM Comments Due: Federal Register version (85 FR 76640)
34-90464
Nov. 19, 2020
SR-OCC-2020-011
Order Approving Proposed Rule Change To Adopt a New Second Amended and Restated Cross-Margining Agreement Between The Options Clearing Corporation and The Chicago Mercantile Exchange Comments Due: Federal Register version (85 FR 75384)
34-90396
Nov. 12, 2020
SR-FINRA-2020-029
Order Approving Proposed Rule Change Relating to Granularity of Timestamps in Trade Reports Submitted to FINRA's Equity Trade Reporting Facilities Federal Register version (85 FR 73541)
34-90372
Nov. 6, 2020
SR-DTC-2020-011
Order Approving a Proposed Rule Change To Amend Rule 4 Comments Due: Federal Register version (85 FR 72708)
34-90355
Nov. 5, 2020
SR-NASDAQ-2020-017
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Nasdaq Rule 5704 Comments Due: View Received Comments Federal Register version (85 FR 71977)
34-90319
Nov. 3, 2020
SR-CBOE-2020-014
Order Instruction Comments Due: View Received Comments Federal Register version (85 FR 71361)
34-90217
Oct. 16, 2020
SR-NYSENAT-2020-05
Order Approving a Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed Comments Due: View Received Comments Federal Register version (85 FR 67392)
34-90207
Oct. 15, 2020
SR-LCHSA-2020-004
Order Approving Proposed Rule Change Relating to the Clearing of Single Name Credit Default Swaps Referencing Monoline Insurance Companies and the Amendment of LCH SA's Rules in Accordance With Its Risk Policies Federal Register version (85 FR 67055)
34-90204
Oct. 15, 2020
SR-CBOE-2020-034
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Authorize for Trading Flexible Exchange Options on Full-Value Indexes With a Contract Multiplier of One Comments Due: View Received Comments Federal Register version (85 FR 67037)
34-90179
Oct. 14, 2020
SR-CBOE-2020-074
Order Granting Approval of a Proposed Rule Change To Adopt Position Compression Cross ("PCC") Orders for SPX Comments Due: View Received Comments Federal Register version (85 FR 66590)
34-90116
Oct. 7, 2020
SR-FINRA-2020-020
Order Approving a Proposed Rule Change To Adopt FINRA Rule 3241 (Registered Person Being Named a Customer's Beneficiary or Holding a Position of Trust for a Customer) Federal Register version (85 FR 65095)
34-90118
Oct. 7, 2020
SR-CboeBZX-2020-053
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 2x Long VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts) Comments Due: View Received Comments Federal Register version (85 FR 64563)
34-90100
Oct. 6, 2020
SR-OCC-2020-010
Order Approving Proposed Rule Change Concerning the Commingling of Certain Non-Customer Margin Assets With Clearing Fund Contributions in the Options Clearing Corporation's Account at the Federal Reserve Bank of Chicago Comments Due: Federal Register version (85 FR 64603)
34-90101
Oct. 6, 2020
SR-FICC-2020-010
Order Approving a Proposed Rule Change To Describe Key Components of the Mortgage-Backed Securities Division Stress Testing Program Comments Due: Federal Register version (85 FR 64539)
34-90075
Oct. 2, 2020
SR-NYSEArca-2020-56
Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 (85 FR 63597)
34-89948
Sept. 22, 2020
SR-ICC-2020-010
Order Approving Proposed Rule Change Relating to the ICC Risk Management Model Description Comments Due: Federal Register version (85 FR 60845)
34-89915
Sept. 17, 2020
SR-NASDAQ-2020-044
Order Granting Approval of Proposed Rule Change To Adopt Listing Rule IM-5900-8 To Offer a Complimentary Global Targeting Tool to Acquisition Companies Listed Pursuant to Nasdaq IM-5101-2 That Have Publicly Announced Entering Into a Binding Agreement for a Business Combination Comments Due: View Received Comments Federal Register version (85 FR 59845)
34-89898
Sept. 16, 2020
SR-NYSEArca-2020-46
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities Comments Due: Federal Register version (85 FR 59572)
34-89809
Sept. 10, 2020
SR-OCC-2020-008
Order Approving Proposed Rule Change To Enhance OCC's Stock Loan Close-Out Process Comments Due: Federal Register version (85 FR 57897)
34-89799
Sept. 9, 2020
SR-NASDAQ-2020-027
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets Comments Due: View Received Comments Federal Register version (85 FR 57282)
34-89793
Sept. 9, 2020
SR-LCHSA-2020-003
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to LCH SA's Governance Arrangements Federal Register version (85 FR 57266)
34-89768
Sept. 4, 2020
SR-CBOE-2020-060
Order Type Comments Due: View Received Comments Federal Register version (85 FR 55869)
34-89739
Sept. 2, 2020
SR-NASDAQ-2020-028
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend IM-5101-1 (Use of Discretionary Authority) To Deny Listing or Continued Listing or To Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market Comments Due: View Received Comments Federal Register version (85 FR 55708)
34-89731
Sept. 1, 2020
SR-BX-2020-016
Order Approving Proposed Rule Change To Amend BX's Opening Process in Connection With a Technology Migration Comments Due: Federal Register version (85 FR 55524)
34-89722
Sept. 1, 2020
SR-CboeBZX-2020-042
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Accommodate Exchange Listing and Trading of Options-Linked Securities Comments Due: Federal Register version (85 FR 55337)
34-89684
Aug. 26, 2020
SR-NYSE-2019-67
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings Comments Due: View Received Comments 2020 , 2020 , 2020 , 2020 , 2020 , 2020 , 2020 , 2020 , 2020 Federal Register version (85 FR 54454)
34-89678
Aug. 26, 2020
SR-LCHSA-2020-002
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Clearing of Markit iTraxx MSCI ESG Screened Europe Index Contracts Federal Register version (85 FR 54452)
34-89686
Aug. 26, 2020
SR-IEX-2019-15
Order Type Called D-Limit Comments Due: View Received Comments Federal Register version (85 FR 54438)
34-89663
Aug. 25, 2020
SR-NYSEArca-2020-48
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of Gabelli ETFs Under Rule 8.900-E, Managed Portfolio Shares Comments Due: View Received Comments Federal Register version (85 FR 53868)
34-89639
Aug. 21, 2020
SR-ICC-2020-009
Order Approving Proposed Rule Change Relating to the ICC Risk Management Framework, ICC Risk Management Model Description, ICC Risk Parameter Setting and Review Policy, ICC Stress Testing Framework, and ICC Liquidity Risk Management Framework Comments Due: Federal Register version (85 FR 53036)
34-89608
Aug. 19, 2020
SR-NYSEArca-2019-77
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the AdvisorShares Pure US Cannabis ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (85 FR 52394)
34-89593
Aug. 18, 2020
SR-FICC-2020-006
Order Approving Proposed Rule Change To Provide for a Passive Acknowledgement Process and Make Other Changes Comments Due: Federal Register version (85 FR 52164)
34-89563
Aug. 14, 2020
SR-PEARL-2020-03
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Rules Governing the Trading of Equity Securities View Received Comments Federal Register version (85 FR 51510)
34-89499
Aug. 6, 2020
SR-NYSE-2020-55
Order Granting Approval of a Proposed Rule Change To Amend Rules 7.36 and 7.37 Relating to Setter Priority and Allocation Comments Due: Federal Register version (85 FR 48746)
34-89484
Aug. 5, 2020
SR-MSRB-2020-04
Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-6 That Are Designed To Improve Board Governance Comments Due: View Received Comments Federal Register version (85 FR 48579)
34-89472
Aug. 4, 2020
SR-CboeBZX-2020-036
Order Instituting Proceedings To Determine Whether to Approve or Disapprove 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 (85 FR 48318)
34-89438
July 31, 2020
SR-NYSEArca-2020-51
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of Natixis Vaughan Nelson Select ETF and Natixis Vaughan Nelson MidCap ETF Under NYSE Arca Rule 8.601-E Comments Due: View Received Comments Federal Register version (85 FR 47821)
34-89436
July 31, 2020
SR-ICC-2020-008
Order Approving Proposed Rule Change Relating to the ICC Exercise Procedures and ICC Clearing Rules Comments Due: Federal Register version (85 FR 47827)
34-89409
July 28, 2020
SR-ICEEU-2020-005
Order Approving Proposed Rule Change Relating to Amendments to the ICEEU Clearing Rules Comments Due: Federal Register version (85 FR 46763)
34-89397
July 24, 2020
4-698
Order Approving Amendment to the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (85 FR 45941)
34-89305
July 13, 2020
SR-FINRA-2020-011
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Address Broker-Dealers With a Significant History of Misconduct Comments Due: Federal Register version (85 FR 43627)
34-89217
July 2, 2020
SR-CboeBZX-2020-029
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the JPMorgan Large Cap Growth ETF Under Rule 14.11(k), Managed Portfolio Shares Comments Due: View Received Comments Federal Register version (85 FR 41263)
34-89213
July 1, 2020
SR-MIAX-2020-11
Order Approving a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders, To Adopt New Interpretation and Policy .08, Related Futures Cross Orders Comments Due: Federal Register version (85 FR 41077)
34-89186
June 29, 2020
SR-ICEEU-2020-007
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Auction Terms for CDS Default Auctions and CDS Default Management Policy Comments Due: Federal Register version (85 FR 40369)
34-89154
June 25, 2020
SR-MSRB-2020-02
Order Granting Approval of a Proposed Rule Change To Align Certain MSRB Rules to Securities Exchange Act Rule 15 l Comments Due: View Received Comments Federal Register version (85 FR 39613)
34-89145
June 24, 2020
SR-NSCC-2020-003
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV Comments Due: View Received Comments Federal Register version (85 FR 39244)
34-89142
June 24, 2020
SR-ICC-2020-002
Order Approving Proposed Rule Change Relating to the ICC Risk Management Model Description, ICC Stress Testing Framework, ICC Liquidity Risk Management Framework, ICC Back-Testing Framework, and ICC Risk Parameter Setting and Review Policy Comments Due: Federal Register version (85 FR 39226)
34-89084
June 17, 2020
4-762
Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and MEMX LLC Federal Register version (85 FR 37701)
34-89068
June 15, 2020
SR-NYSEArca-2020-37
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Make Certain Changes Regarding the Investments of the PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund Comments Due: View Received Comments Federal Register version (85 FR 37139)
34-89066
June 12, 2020
4-757
Order Denying Stay; In the Matter of Order Directing the Exchanges and the Financial Industry Regulatory Authority to Submit a New National Market System Plan Regarding Consolidated Equity Market Data Comments Due: View Received Comments
34-89015
June 4, 2020
SR-NYSEAMER-2020-29
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Rule 967NY Regarding the Treatment of Orders Subject to Trade Collar Protection View Received Comments Federal Register version (85 FR 35457)
34-89014
June 4, 2020
SR-OCC-2020-003
Order Approving Proposed Rule Change Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management Comments Due: Federal Register version (85 FR 35446)
34-89008
June 4, 2020
SR-NYSEArca-2020-31
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Rule 6.60-O Regarding the Treatment of Orders Subject to Trade Collar Protection Comments Due: View Received Comments Federal Register version (85 FR 35459)
34-89010
June 4, 2020
SR-BX-2020-007
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA Under the Exchanges Authority and Supervision Comments Due: Federal Register version (85 FR 35453)
34-88989
June 2, 2020
SR-OCC-2020-004
Order Approving Proposed Rule Change To Modify the Sequence for Processing Options Transactions Comments Due: Federal Register version (85 FR 35151)
34-88954
May 27, 2020
SR-ICC-2020-007
Order Approving Proposed Rule Change Relating to the ICC Clearing Rules Comments Due: Federal Register version (85 FR 33762)
34-88944
May 26, 2020
SR-ICC-2020-005
Order Approving Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures Comments Due: Federal Register version (85 FR 33221)
34-88945
May 26, 2020
SR-FINRA-2020-005
Order Approving a Proposed Rule Change To Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes To Apply Minimum Fees To Requests for Expungement of Customer Dispute Information Federal Register version (85 FR 33212)
34-88934
May 22, 2020
SR-BOX-2020-04
Order Granting Approval of a Proposed Rule Change To Amend the Provisions of the Limited Liability Company Agreement and Bylaws Comments Due: Federal Register version (85 FR 32085)
34-88925
May 21, 2020
SR-ICC-2020-004
Order Approving Proposed Rule Change Relating to the ICC CDS Instrument On-Boarding Policies and Procedures Comments Due: Federal Register version (85 FR 32073)
34-88927
May 21, 2020
SR-ICC-2020-006
Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures Comments Due: Federal Register version (85 FR 32067)
34-88929
May 21, 2020
SR-ICC-2020-003
Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts Comments Due: Federal Register version (85 FR 32066)
34-88910
May 20, 2020
SR-FICC-2020-002
Order Approving a Proposed Rule Change To Amend the Government Securities Division Rulebook Relating to the Legal Entity Identifier Requirement Comments Due: Federal Register version (85 FR 31837)
34-88911
May 20, 2020
SR-NSCC-2020-008
Order Approving a Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework File Nos.: Comments Due: Federal Register version (85 FR 31828)
34-88911
May 20, 2020
SR-DTC-2020-008
Order Approving a Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework File Nos.: Comments Due: Federal Register version (85 FR 31828)
34-88911
May 20, 2020
SR-FICC-2020-004
Order Approving a Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework File Nos.: Comments Due: Federal Register version (85 FR 31828)
34-88901
May 18, 2020
SR-NYSE-2020-05
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections and Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 31273)
34-88901
May 18, 2020
SR-NYSEArca-2020-08
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections and Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 31273)
34-88901
May 18, 2020
SR-NYSE-2020-11
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections and Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 31273)
34-88837
May 7, 2020
SR-NYSE-2019-46
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Exchanges' Co-Location Services To Offer Co-Location Users Access to the NMS Network File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 28671)
34-88837
May 7, 2020
SR-NYSEAMER-2019-34
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Exchanges' Co-Location Services To Offer Co-Location Users Access to the NMS Network File Nos.: Comments Due: Federal Register version (85 FR 28671)
34-88837
May 7, 2020
SR-NYSEArca-2019-61
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Exchanges' Co-Location Services To Offer Co-Location Users Access to the NMS Network File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 28671)
34-88837
May 7, 2020
SR-NYSENAT-2019-19
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Exchanges' Co-Location Services To Offer Co-Location Users Access to the NMS Network File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 28671)
34-88827
May 6, 2020
4-757
Order Directing the Exchanges and the Financial Industry Regulatory Authority To Submit a New National Market System Plan Regarding Consolidated Equity Market Data Comments Due: View Received Comments Motion for Stay of NMS Governance Order by the NASDAQ Stock Market LLC, NASDAQ BX, Inc., and NASDAQ PHLX LLC , Petition for Review Federal Register version (85 FR 28702)
34-88824
May 6, 2020
S7-24-89
Order Approving the Forty-Fourth 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 the Commission, Concerning Conflicts of Interest Comments Due: Federal Register version (85 FR 28119)
34-88826
May 6, 2020
S7-24-89
Order Approving the Forty-Seventh 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, as Modified by the Commission, Concerning a Confidentiality Policy Comments Due: Federal Register version (85 FR 28069)
34-88823
May 6, 2020
SR-CTA/CQ-2019-01
Order Approving the Thirtieth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Second Substantive Amendment to the Restated CQ Plan, as Modified by the Commission, Concerning Conflicts of Interest Comments Due: View Received Comments Federal Register version (85 FR 28046)
34-88825
May 6, 2020
SR-CTA/CQ-2019-04
Order Approving the Thirty-Third Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Fourth Substantive Amendment to the Restated CQ Plan, as Modified by the Commission, Concerning a Confidentiality Po Comments Due: View Received Comments Federal Register version (85 FR 28090)
34-88793
May 1, 2020
SR-NYSEAMER-2020-12
Order Granting Approval of Proposed Rule Changes Relating to Repricing of Depth-of-Book Orders in Response to a Locked or Crossed Market File Nos.: Federal Register version (85 FR 27259)
34-88793
May 1, 2020
SR-NYSECHX-2020-06
Order Granting Approval of Proposed Rule Changes Relating to Repricing of Depth-of-Book Orders in Response to a Locked or Crossed Market File Nos.: Comments Due: Federal Register version (85 FR 27259)
34-88793
May 1, 2020
SR-NYSE-2020-67
Order Granting Approval of Proposed Rule Changes Relating to Repricing of Depth-of-Book Orders in Response to a Locked or Crossed Market File Nos.: Comments Due: Federal Register version (85 FR 27259)
34-88793
May 1, 2020
SR-NYSENAT-2020-09
Order Granting Approval of Proposed Rule Changes Relating to Repricing of Depth-of-Book Orders in Response to a Locked or Crossed Market File Nos.: Comments Due: Federal Register version (85 FR 27259)
34-88793
May 1, 2020
SR-NYSEArca-2020-17
Order Granting Approval of Proposed Rule Changes Relating to Repricing of Depth-of-Book Orders in Response to a Locked or Crossed Market File Nos.: Federal Register version (85 FR 27259)
34-88776
April 29, 2020
SR-NYSE-2020-17
Order Approving a Proposed Rule Change To Amend Its Rules To Add New Rule 7.19 Comments Due: Federal Register version (85 FR 26768)
