34-88775
April 29, 2020
SR-ICC-2020-002
Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 26774)
34-88774
April 29, 2020
SR-CboeEDGX-2020-005
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), To Be Consistent with Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems Comments Due: Federal Register version (85 FR 26766)
34-88772
April 29, 2020
SR-CboeEDGA-2020-003
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), To Be Consistent With Certain Proposed Amendments To and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems Comments Due: Federal Register version (85 FR 26762)
34-88771
April 29, 2020
SR-CboeBZX-2020-011
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems Comments Due: Federal Register version (85 FR 26741)
34-88770
April 29, 2020
SR-CboeBYX-2020-005
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems Comments Due: Federal Register version (85 FR 26764)
34-88769
April 29, 2020
SR-CBOE-2020-004
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Chapter 7, Section B of the Rules, Which Contains the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems Comments Due: Federal Register version (85 FR 26758)
34-88743
April 24, 2020
SR-NASDAQ-2020-011
Order Approving Proposed Rule Change To Amend Rules 4702(b)(14) and (b)(15) To Shorten the Holding Period Requirements for Midpoint Extended Life Orders and Midpoint Extended Life Orders Plus Continuous Book Comments Due: View Received Comments Federal Register version (85 FR 24068)
34-88704
April 21, 2020
4-631
Order Approving the Twentieth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. Comments Due: View Received Comments Federal Register version (85 FR 23383)
34-88716
April 21, 2020
SR-NASDAQ-2020-001
Order Approving a Proposed Rule Change To Modify the Delisting Process for Securities With a Bid Price at or Below $0.10 and for Securities That Have Had One or More Reverse Stock Splits With a Cumulative Ratio of 250 Shares or More to One Over the Prior Two-Year Period Comments Due: Federal Register version (85 FR 23393)
34-88699
April 20, 2020
SR-NYSEAMER-2020-03
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE American Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (85 FR 23086)
34-88697
April 20, 2020
SR-NYSENAT-2020-01
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE National Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (85 FR 23073)
34-88698
April 20, 2020
SR-NYSECHX-2020-01
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the NYSE Chicago Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (85 FR 23117)
34-88696
April 20, 2020
SR-NYSEARCA-2020-01
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE Arca Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (85 FR 23093)
34-88700
April 20, 2020
SR-NYSE-2020-01
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (85 FR 23083)
34-88599
April 8, 2020
SR-CboeBZX-2020-006
Order Approving a Proposed Rule Change To Provide Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.13 Comments Due: Federal Register version (85 FR 20793)
34-88578
April 7, 2020
SR-LCHSA-2020-001
Order Approving Proposed Rule Change Relating to Amendments to the Wind Down Plan Federal Register version (85 FR 20561)
34-88558
April 3, 2020
SR-CboeBZX-2020-007
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Eliminate the Requirement That an Intraday Indicative Value Be Disseminated as Set Forth Under Rule 14.11(c) for Certain Series of Index Fund Shares and Under Rule 14.11(i) for All Series of Managed Fund Shares Comments Due: View Received Comments Federal Register version (85 FR 20012)
34-88538
April 1, 2020
SR-NYSENAT-2020-05
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed Comments Due: View Received Comments Federal Register version (85 FR 19541)
34-88532
April 1, 2020
4-443
Order Approving Amendment No. 5 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Adopt a Penny Interval Program View Received Comments Federal Register version (85 FR 19545)
34-88536
April 1, 2020
SR-BOX-2019-37
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change in Connection With the Proposed Commencement of Operations of the Boston Security Token Exchange LLC as a Facility of the Exchange Comments Due: View Received Comments Federal Register version (85 FR 19537)
34-88494
March 27, 2020
SR-NSCC-2020-002
Order Approving a Proposed Rule Change To Enhance the Calculation of the Family-Issued Securities Charge Comments Due: Federal Register version (85 FR 18615)
34-88501
March 27, 2020
SR-IEX-2019-15
Order Type Called D-Limit Comments Due: View Received Comments Federal Register version (85 FR 18612)
34-88493
March 27, 2020
SR-BOX-2019-04
Order Affirming Action by Delegated Authority and Disapproving Proposed Rule Changes Related to Connectivity and Port Fee Comments Due: View Received Comments
34-88493
March 27, 2020
SR-BOX-2018-24
Order Affirming Action by Delegated Authority and Disapproving Proposed Rule Changes Related to Connectivity and Port Fee Comments Due: View Received Comments
34-88493
March 27, 2020
SR-BOX-2018-37
Order Affirming Action by Delegated Authority and Disapproving Proposed Rule Changes Related to Connectivity and Port Fee Comments Due: View Received Comments
34-88485
March 26, 2020
SR-NYSE-2019-67
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Related to Direct Listings Comments Due: View Received Comments Federal Register version (85 FR 18292)
34-88482
March 26, 2020
SR-FINRA-2019-030
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Membership Application Program ("MAP") Rules To Address the Issue of Pending Arbitration Claims Federal Register version (85 FR 18299)
34-88378
March 13, 2020
SR-NYSEArca-2019-77
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change 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 15834)
34-88385
March 13, 2020
S7-24-89
Order Approving Forty-Fifth 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 (85 FR 15843)
34-88384
March 13, 2020
SR-CTA-2019-02
Order Approving the Thirty-First Substantive Amendment to the Second Restatement of the CTA Plan Regarding Publication of Trade Reports During Race Conditions Federal Register version (85 FR 15836)
34-88366
March 12, 2020
4-618
Order Approving and Declaring Effective a Proposed Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., BOX Exchange LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq ISE, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, Investors Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., and Long-Term Stock Exchange, Inc. Concerning Covered Regulation NMS and Consolidated Audit Trail Rules Comments Due: View Received Comments Federal Register version (85 FR 15238)
34-88360
March 11, 2020
SR-NASDAQ-2020-003
Order Granting Approval of a Proposed Rule Change To Amend Rule 4121(b) Comments Due: View Received Comments Federal Register version (85 FR 15240)
34-88337
March 5, 2020
SR-ICC-2020-001
Order Approving Proposed Rule Change Relating To Revising the ICC Clearing Rules To Consider the Possibility of ICC Receiving Proceeds From Default Insurance Comments Due: Federal Register version (85 FR 14284)
34-88315
March 4, 2020
SR-NASDAQ-2019-091
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a New Rule Concerning Nasdaq's Ability To Request Information From a Listed Company Regarding the Number of Unrestricted Publicly Held Shares in Certain Circumstances and Halt Trading in the Company's Security Upon the Request, and in Certain Circumstances Request a Plan To Increase the Number of Unrestricted Publicly Held Shares to an Amount That Is Higher Than the Applicable Publicly Held Shares Requirement Comments Due: View Received Comments Federal Register version (85 FR 13954)
34-88310
March 2, 2020
SR-OCC-2020-001
Order Approving Proposed Rule Change To Modify the Fees for Exercise Notices Submitted After the Deadlines and To Change the Deadline for Submitting a Late Exercise Notice on Non-Expiration Dates Comments Due: Federal Register version (85 FR 13198)
34-88284
Feb. 26, 2020
SR-NYSEArca-2019-39
Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and To List and Trade Shares of the United States Bitcoin and Treasury Investment Trust Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (85 FR 12595)
34-88262
Feb. 21, 2020
SR-FICC-2019-007
Order Approving a Proposed Rule Change Regarding the Close-Out and Funds-Only Settlement Processes Associated With the Sponsoring Member/Sponsored Member Service Comments Due: Federal Register version (85 FR 11401)
34-88261
Feb. 21, 2020
SR-CboeEDGA-2019-012
Order Disapproving Proposed Rule Change To Introduce a Liquidity Provider Protection Delay Mechanism on EDGA Comments Due: View Received Comments Federal Register version (85 FR 11426)
34-88253
Feb. 20, 2020
SR-ICC-2019-010
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, Relating to Amendments to the ICC Clearing Rules To Address Non-Default Losses, on an Accelerated Basis Comments Due: View Received Comments Federal Register version (85 FR 11129)
34-88254
Feb. 20, 2020
SR-FINRA-2019-027
Order Approving a Proposed Rule Change To Amend FINRA Rule 12000 Series To Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive Federal Register version (85 FR 11157)
34-88225
Feb. 18, 2020
SR-MSRB-2019-13
Order Granting Approval of a Proposed Rule Change To Amend the Information Facility of the MSRB's Electronic Municipal Market Access (EMMA) System Comments Due: View Received Comments Federal Register version (85 FR 10487)
34-88214
Feb. 14, 2020
SR-FINRA-2019-008
In the Matter of the Financial Industry Regulatory Authority, Inc. for an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service (File No. SR-FINRA-2019-008); Order Granting Petition for Review and Scheduling Filing of Statements Reply of Bloomberg in Support of its Motion for Leave to Adduce Additional Evidence , Motion to Adduce Additional Evidence Federal Register version (85 FR 9887)
34-88191
Feb. 13, 2020
SR-NSCC-2019-004
Order Approving a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds Comments Due: Federal Register version (85 FR 9843)
34-88136
Feb. 6, 2020
SR-ICEEU-2019-019
Order Approving Proposed Rule Change Relating to the ICE Clear Europe Collateral and Haircut Policy and Collateral and Haircut Procedures Comments Due: Federal Register version (85 FR 8075)
34-88109
Jan. 31, 2020
SR-NYSENAT-2019-31
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed Comments Due: View Received Comments Federal Register version (85 FR 6982)
34-88029
Jan. 24, 2020
SR-OCC-2019-007
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility Comments Due: View Received Comments Federal Register version (85 FR 5500)
34-88039
Jan. 24, 2020
SR-LCHSA-2019-007
Order Approving Proposed Rule Change Relating to Amendments to LCH SA's Liquidity Risk Modelling Framework Federal Register version (85 FR 5489)
34-88013
Jan. 22, 2020
SR-ICEEU-2019-027
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to the ICE Clear Europe CDS Procedures Comments Due: Federal Register version (85 FR 5058)
34-88008
Jan. 21, 2020
SR-BatsBZX-2017-34
Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Introduce Cboe Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28 Comments Due: View Received Comments Federal Register version (85 FR 4726)
34-88003
Jan. 17, 2020
SR-NYSE-2019-54
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Permit the Exchange To List and Trade Exchange Traded Products Comments Due: Federal Register version (85 FR 4051)
34-87971
Jan. 15, 2020
SR-ICC-2019-013
Order Approving Proposed Rule Change Relating to the ICC Clearing Rules To Reflect the ISDA NTCE Supplement Comments Due: Exhibit 5 Federal Register version (85 FR 3724)
34-87951
Jan. 13, 2020
SR-CboeBZX-2019-076
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 Clearbridge Small Cap Value ETF Under BZX Rule 14.11(k) Comments Due: Federal Register version (85 FR 3099)
34-87914
Jan. 8, 2020
SR-NYSE-2019-62
Order Approving Proposed Rule Change To Amend Article II, Section 2.03 of the Twelfth Amended and Restated Operating Agreement of the Exchange To Remove the Independence Requirement for the Director Elected by Exchange Membership Organizations Comments Due: Federal Register version (85 FR 2191)
34-87881
Jan. 2, 2020
SR-LCHSA-2019-009
Order Approving Proposed Rule Change Relating to Amendments to CDSClear Reference Guide To Allow Index Basis Packages Margining Federal Register version (85 FR 947)
34-87879
Jan. 2, 2020
SR-DTC-2019-009
Order Approving a Proposed Rule Change To Amend the Redemptions Guide Relating to the Call Lottery Process for Partial Redemptions Comments Due: Federal Register version (85 FR 751)
34-87859
Dec. 26, 2019
SR-ICC-2019-012
Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures Comments Due: Federal Register version (85 FR 157)
34-87837
Dec. 20, 2019
SR-FINRA-2019-028
Order Approving Proposed Rule Change To Allow FINRA To Publish or Distribute Aggregated Transaction Information and Statistics on U.S. Treasury Securities Federal Register version (84 FR 71986)
34-87804
Dec. 19, 2019
SR-ICC-2019-011
Order Approving Proposed Rule Change Relating to the ICC Default Auction Procedures-Initial Default Auctions and the ICC Secondary Auction Procedures Comments Due: Federal Register version (84 FR 71501)
34-87761
Dec. 16, 2019
SR-NYSEAMER-2019-41
Order Types on the Exchange Federal Register version (84 FR 70221)
34-87758
Dec. 16, 2019
SR-NYSEArca-2019-71
Order Types on the Exchange Comments Due: Federal Register version (84 FR 70234)
34-87717
Dec. 11, 2019
SR-OCC-2019-009
Order Approving Proposed Rule Change Related to Proposed Changes to the Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology Comments Due: Federal Register version (84 FR 68985)
34-87718
Dec. 11, 2019
SR-OCC-2019-010
Order Approving Proposed Rule Change Related to Proposed Changes to the Options Clearing Corporation's Rules, Margin Policy, Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology To Address Specific Wrong-Way Risk Comments Due: Federal Register version (84 FR 68992)
34-87720
Dec. 11, 2019
SR-LCHSA-2019-008
Order Approving Rule Change Relating to the Updated 2018 Version of the Recovery Plan Federal Register version (84 FR 68989)
34-87699
Dec. 9, 2019
SR-NYSEAMER-2019-34
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchanges' Co-Location Price Lists To Offer Co-Location Users Access to the NMS Network and Establish Associated Fees File Nos.: Comments Due: Federal Register version (84 FR 68239)
34-87699
Dec. 9, 2019
SR-NYSEArca-2019-61
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchanges' Co-Location Price Lists To Offer Co-Location Users Access to the NMS Network and Establish Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (84 FR 68239)
34-87699
Dec. 9, 2019
SR-NYSENAT-2019-19
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchanges' Co-Location Price Lists To Offer Co-Location Users Access to the NMS Network and Establish Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (84 FR 68239)
34-87699
Dec. 9, 2019
SR-NYSE-2019-46
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchanges' Co-Location Price Lists To Offer Co-Location Users Access to the NMS Network and Establish Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (84 FR 68239)
34-87696
Dec. 9, 2019
SR-NSCC-2019-003
Order Approving a Proposed Rule Change To Require Confirmation of Cybersecurity Program Comments Due: Federal Register version (84 FR 68243)
34-87697
Dec. 9, 2019
SR-FICC-2019-005
Order Approving a Proposed Rule Change To Require Confirmation of Cybersecurity Program Comments Due: Federal Register version (84 FR 68266)
34-87698
Dec. 9, 2019
SR-DTC-2019-008
Order Approving a Proposed Rule Change To Require Confirmation of Cybersecurity Program Comments Due: Federal Register version (84 FR 68269)
34-87692
Dec. 9, 2019
SR-CboeEDGX-2019-064
Order Approving a Proposed Rule Change To Adopt Rule 21.23 (Complex Solicitation Auction Mechanism) Comments Due: Federal Register version (84 FR 68231)
34-87656
Dec. 4, 2019
SR-FINRA-2019-008
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service 2019 , 2019 Federal Register version (84 FR 67491)
34-87636
Nov. 27, 2019
SR-CboeBZX-2019-023
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 14.11(c) (Index Fund Shares) To Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities Comments Due: View Received Comments Federal Register version (84 FR 66248)
34-87635
Nov. 26, 2019
SR-CboeEDGX-2019-059
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: Federal Register version (84 FR 66242)
34-87634
Nov. 26, 2019
SR-CboeEDGA-2019-015
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: Federal Register version (84 FR 66257)
34-87629
Nov. 26, 2019
SR-CboeBZX-2019-086
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: Federal Register version (84 FR 66245)
34-87631
Nov. 26, 2019
SR-CboeBYX-2019-015
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: Federal Register version (84 FR 66259)
34-87603
Nov. 22, 2019
SR-OCC-2019-007
Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility Comments Due: Rebuttal comments due : December 20, 2019
View Received Comments Federal Register version (84 FR 65858)
34-87577
Nov. 20, 2019
SR-OCC-2019-008
Order Approving Proposed Rule Change To Establish a Regulatory Committee of the Options Clearing Corporation's Board of Directors Comments Due: Federal Register version (84 FR 65202)
34-87576
Nov. 20, 2019
SR-NYSEArca-2019-14
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Permitted Investments of the PGIM Ultra Short Bond ETF Comments Due: View Received Comments Federal Register version (84 FR 65206)
34-87485
Nov. 7, 2019
SR-LCHSA-2019-005
Order Approving Proposed Rule Change Relating to (i) Introduction of Clearing of the New Markit iTraxx Subordinated Financials Index CDS and the Related Single Name CDS Constituents; (ii) Enhancements to Wrong Way Risk Margin; and (iii) Modification to Default Fund Additional Margin Federal Register version (84 FR 61947)
34-87421
Oct. 30, 2019
SR-CboeBZX-2019-068
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 iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i), Managed Fund Shares Comments Due: View Received Comments Federal Register version (84 FR 59669)
34-87385
Oct. 23, 2019
SR-NYSEArca-2019-51
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF Currently Listed and Traded on the Exchange Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (84 FR 57921)
34-87391
Oct. 23, 2019
SR-NASDAQ-2019-057
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 4121 Comments Due: Federal Register version (84 FR 57929)
34-87374
Oct. 21, 2019
SR-CBOE-2019-035
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Regarding Off-Floor Position Transfers Comments Due: View Received Comments Federal Register version (84 FR 57542)
34-87350
Oct. 18, 2019
SR-NYSEArca-2019-63
Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 57106)
34-87360
Oct. 18, 2019
SR-ICEEU-2019-017
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to the ICE Clear Europe CDS Clearing Back-Testing Policy Comments Due: Federal Register version (84 FR 57100)
34-87340
Oct. 17, 2019
SR-CBOE-2019-048
Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Adopt Rule 6.9 (In-Kind Exchange of Options Positions and ETF Shares) Comments Due: View Received Comments Federal Register version (84 FR 56877)
34-87315
Oct. 16, 2019
SR-NYSEAMER-2019-30
Order Approving a Proposed Rule Change To Modify Rules 967NY and 953.1NY Regarding the Treatment of Orders Subject To Trade Collar Protection Federal Register version (84 FR 56498)
34-87316
Oct. 16, 2019
SR-NYSEArca-2019-58
Order Approving a Proposed Rule Change To Modify Rules 6.60-O and 6.65A-O Regarding the Treatment of Orders Subject to Trade Collar Protection Comments Due: Federal Register version (84 FR 56494)
34-87296
Oct. 11, 2019
SR-LCHSA-2019-006
Order Approving Proposed Rule Change Relating to Extension of Weekly Backloading Cycle to Index Swaptions Federal Register version (84 FR 55992)
34-87267
Oct. 9, 2019
SR-NYSEArca-2019-01
Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments 2019 Federal Register version (84 FR 55382)
34-87258
Oct. 9, 2019
SR-FICC-2019-004
Order Approving a Proposed Rule Change To Amend the GSD Rulebook To Establish a Process To Address Liquidity Needs in Certain Situations in the GCF Repo and CCIT Services and Make Other Changes Comments Due: Federal Register version (84 FR 55362)
34-87223
Oct. 4, 2019
SR-NYSEArca-2019-55
Order Approving a Proposed Rule Change To Amend NYSE Arca Rule 8.700-E and To List and Trade Shares of the Dynamic Short Short-Term Volatility Futures ETF Comments Due: Federal Register version (84 FR 54707)
34-87212
Oct. 3, 2019
SR-NYSE-2019-44
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add Certain Rules to the List of Minor Rule Violations in Rule 9217, Delete Obsolete Rules, and Increase the Maximum Fine for Minor Rule Violations Comments Due: View Received Comments Federal Register version (84 FR 54193)
34-87199
Oct. 2, 2019
SR-MIAX-2019-37
Order Approving a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders, To Adopt New Interpretation and Policy .07, SPIKES Combo Orders Comments Due: Federal Register version (84 FR 53786)
34-87200
Oct. 2, 2019
SR-CboeEDGX-2019-012
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce Retail Priority Comments Due: View Received Comments Federal Register version (84 FR 53788)
34-87190
Oct. 1, 2019
SR-NYSEArca-2019-57
Order Granting Approval of Proposed Rule Change To List and Trade Shares of the Franklin Liberty Systematic Style Premia ETF, a Series of the Franklin Templeton ETF Trust Under NYSE Arca Rule 8.600-E Comments Due: Federal Register version (84 FR 53522)
34-87168
Sept. 30, 2019
SR-EMERALD-2019-29
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee Comments Due: Federal Register version (84 FR 53210)
34-87167
Sept. 30, 2019
SR-PEARL-2019-23
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee Comments Due: View Received Comments Federal Register version (84 FR 53189)
