34-84659
Nov. 27, 2018
SR-BX-2018-056
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Options Exercise and Delivery Rules Comments Due: Exhibit 5 Federal Register version (83 FR 62391)
34-84660
Nov. 27, 2018
SR-NASDAQ-2018-094
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Options Exercise and Delivery Rules Comments Due: Exhibit 5 Federal Register version (83 FR 62392)
34-84661
Nov. 27, 2018
SR-CboeEDGX-2018-055
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify Certain Routing Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 62394)
34-84663
Nov. 27, 2018
SR-CboeEDGX-2018-043
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Allow the Post Only Order Instruction on Complex Orders Comments Due: View Received Comments Federal Register version (83 FR 62390)
34-84662
Nov. 27, 2018
SR-C2-2018-021
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Allow the Post Only Order Instruction on Complex Orders Comments Due: View Received Comments Federal Register version (83 FR 62396)
34-84658
Nov. 27, 2018
SR-BOX-2018-14
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Rules Governing the Trading of Complex Qualified Contingent Cross Orders and Complex Customer Cross Orders Comments Due: Federal Register version (83 FR 62395)
34-84649
Nov. 26, 2018
SR-NYSEAMER-2018-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903, Series of Options Open for Trading Comments Due: Exhibit 5 Federal Register version (83 FR 61705)
34-84645
Nov. 26, 2018
SR-Phlx-2018-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Provisions for Excluding Days for Purposes of Pricing Tiers Comments Due: Exhibit 5 Federal Register version (83 FR 61700)
34-84647
Nov. 26, 2018
SR-NYSEArca-2018-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.4-O, Series of Options Open for Trading Comments Due: Exhibit 5 Federal Register version (83 FR 61687)
34-84648
Nov. 26, 2018
SR-NYSEArca-2018-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Certificate of Incorporation, Bylaws and Rule 3.3 Comments Due: Exhibit 5a , Exhibit 5b , Exhibit 5c Federal Register version (83 FR 61692)
34-84651
Nov. 26, 2018
SR-PEARL-2018-19
Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members Comments Due: View Received Comments Federal Register version (83 FR 61687)
34-84650
Nov. 26, 2018
SR-MIAX-2018-25
Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members Comments Due: View Received Comments Federal Register version (83 FR 61705)
34-84646
Nov. 26, 2018
SR-FINRA-2018-039
Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records) Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 61689)
34-84653
Nov. 26, 2018
SR-CboeBZX-2018-083
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To the Modification of Certain Routing Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 61699)
34-84652
Nov. 26, 2018
SR-CboeBYX-2018-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Modification of Certain Routing Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 61686)
34-84641
Nov. 21, 2018
SR-NYSEAMER-2018-52
Notice of Filing and Immediate Effectiveness of Proposed Change To Add to the Rules of the Exchange the Twelfth Amended and Restated Operating Agreement of the New York Stock Exchange LLC Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (83 FR 60935)
34-84644
Nov. 21, 2018
SR-NYSENAT-2018-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Certificate of Incorporation and Bylaws Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (83 FR 61177)
34-84642
Nov. 21, 2018
SR-CboeEDGX-2018-049
Notice of Filing of a Proposed Rule Change Relating To Adopt Complex Reserve Order Functionality Comments Due: Federal Register version (83 FR 60911)
34-84643
Nov. 21, 2018
SR-C2-2018-022
Notice of Filing of a Proposed Rule Change Relating To Adopt Complex Reserve Order Functionality Comments Due: Federal Register version (83 FR 60916)
34-84636
Nov. 20, 2018
SR-NYSEAMER-2018-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article II, Section 2.03(h)(ii) and Article VI of Its Operating Agreement Comments Due: Exhibit 5 Federal Register version (83 FR 60536)
34-84635
Nov. 20, 2018
SR-NYSE-2018-56
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article II, Section 2.03(h)(ii) and Article VI of Its Operating Agreement Comments Due: Exhibit 5 Federal Register version (83 FR 60924)
34-84629
Nov. 20, 2018
SR-NASDAQ-2018-095
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Nasdaq Rule 5615(b)(4) To Change the Threshold for Qualifying as a Smaller Reporting Company To Qualify for Certain Exemptions From the Compensation Committee Requirements Comments Due: Exhibit 5 Federal Register version (83 FR 60545)
34-84633
Nov. 20, 2018
SR-NASDAQ-2018-091
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Nasdaq Options Market LLC ("NOM") Fees Comments Due: Exhibit 5 Federal Register version (83 FR 60527)
34-84634
Nov. 20, 2018
SR-NASDAQ-2018-092
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Expired and Obsolete Provisions in Connection With Nasdaq's Transition to an All-Inclusive Annual Fee Program, Rename Certain Existing Annual Fees as All-Inclusive Annual Listing Fees, and Make Other Related Changes Comments Due: Exhibit 5 Federal Register version (83 FR 60522)
34-84638
Nov. 20, 2018
SR-NASDAQ-2018-093
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Registration, Qualification Examination and Continuing Education Rules Comments Due: Exhibit 5 Federal Register version (83 FR 60909)
34-84632
Nov. 20, 2018
SR-CboeEDGX-2018-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Regarding How the System Handles Market Orders in Series With No Bid or No Offer Comments Due: Federal Register version (83 FR 60530)
34-84631
Nov. 20, 2018
SR-CboeBZX-2018-082
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Regarding How the System Handles Market Orders in Series With No Bid or No Offer Comments Due: Federal Register version (83 FR 60921)
34-84637
Nov. 20, 2018
SR-C2-2018-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Regarding How the System Handles Market Orders in Series With No Bid or No Offer Comments Due: Federal Register version (83 FR 60516)
34-84616
Nov. 19, 2018
SR-NYSEAMER-2018-39
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Allow Flexible Exchange Equity Options Where the Underlying Security Is an Exchange-Traded Fund That Is Included in the Option Penny Pilot To Be Settled in Cash Federal Register version (83 FR 60519)
34-84620
Nov. 19, 2018
SR-Phlx-2018-71
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Definitions to Rule 1000 and Amend Risk Protections Comments Due: Exhibit 5 Federal Register version (83 FR 60512)
34-84624
Nov. 19, 2018
SR-Phlx-2018-72
Notice of Filing of Proposed Rule Change To Establish Rules Governing the Give Up of a Clearing Member by a Member Organization on Exchange Transactions Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 60547)
34-84626
Nov. 19, 2018
SR-OCC-2018-804
Notice of Filing of Advance Notice, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility Comments Due: Federal Register version (83 FR 60541)
34-84621
Nov. 19, 2018
SR-NASDAQ-2018-090
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce a New Midpoint Trade Now Functionality Comments Due: Exhibit 5 Federal Register version (83 FR 60514)
34-84622
Nov. 19, 2018
SR-NASDAQ-2018-089
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct a Typographical Error in Rule 4702(b)(7)(A) Comments Due: Exhibit 5 Federal Register version (83 FR 60510)
34-84619
Nov. 19, 2018
SR-CboeEDGX-2018-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Reserve Orders Comments Due: Federal Register version (83 FR 60534)
34-84623
Nov. 19, 2018
SR-CboeEDGA-2018-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 60529)
34-84611
Nov. 16, 2018
SR-NSCC-2018-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance the Mutual Fund Profile Service To Provide for the Transmission of Event Notifications Through a New Feature Called MF Info Xchange Comments Due: Exhibit 5 Federal Register version (83 FR 59427)
34-84613
Nov. 16, 2018
SR-MIAX-2018-36
Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 59435)
34-84612
Nov. 16, 2018
SR-BOX-2018-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Up to Ten Expiration Months for Long-Term Options on the SPDR S&P 500 Exchange-Traded Fund Shares ("SPY") Comments Due: Exhibit 5 Federal Register version (83 FR 59429)
34-84603
Nov. 15, 2018
SR-NYSEAMER-2018-48
Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 58794)
34-84601
Nov. 15, 2018
SR-CFE-2018-001
Notice of Filing of a Proposed Rule Change Regarding Minor Rule Violations Comments Due: Exhibit 4 Federal Register version (83 FR 58800)
34-84602
Nov. 15, 2018
SR-LCHSA-2018-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to a New Fee Incentive Scheme Comments Due: Exhibit 5 Federal Register version (83 FR 58798)
34-84599
Nov. 15, 2018
SR-CboeEDGA-2018-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Fee Schedule Applicable to its Equities Trading Platform Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 58795)
34-84604
Nov. 15, 2018
SR-CboeBZX-2018-077
Notice of Filing of a Proposed Rule Change To List and Trade Shares of the JPMorgan Inflation Managed Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust Under Rule 14.11(i), Managed Fund Shares Comments Due: View Received Comments Federal Register version (83 FR 58789)
34-84586
Nov. 14, 2018
SR-NYSEArca-2018-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Exchange Rules That Reference Pillar Phase I Protocols Comments Due: Exhibit 5 Federal Register version (83 FR 58628)
34-84583
Nov. 14, 2018
SR-NYSE-2018-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List as to Certain Credits Applicable to Supplemental Liquidity Providers Comments Due: Exhibit 5 Federal Register version (83 FR 58637)
34-84581
Nov. 14, 2018
SR-GEMX-2018-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules Related to Market Maker Quoting Obligations Comments Due: Exhibit 5 Federal Register version (83 FR 58657)
34-84590
Nov. 14, 2018
SR-BX-2018-055
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Long-Term Options Contracts Comments Due: Exhibit 5 Federal Register version (83 FR 58664)
34-84588
Nov. 14, 2018
SR-NASDAQ-2018-088
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter IV, Securities Traded on NOM, Section 8, Long-Term Options Contracts Comments Due: Exhibit 5 Federal Register version (83 FR 58640)
34-84582
Nov. 14, 2018
SR-MRX-2018-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Quoting Obligations Comments Due: Exhibit 5 Federal Register version (83 FR 58665)
34-84585
Nov. 14, 2018
SR-PEARL-2018-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 406, Long-Term Option Contracts Comments Due: Exhibit 5 Federal Register version (83 FR 58671)
34-84591
Nov. 14, 2018
SR-PEARL-2018-22
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 58630)
34-84592
Nov. 14, 2018
SR-PEARL-2018-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 58646)
34-84584
Nov. 14, 2018
SR-MIAX-2018-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 406, Long-Term Option Contracts Comments Due: Exhibit 5 Federal Register version (83 FR 58655)
34-84589
Nov. 14, 2018
SR-MIAX-2018-35
Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 100, Definitions; Rule 515, Execution of Orders and Quotes; and Rule 503, Openings on the Exchange Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 58633)
34-84594
Nov. 14, 2018
SR-MIAX-2018-34
Notice of Filing of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 519, MIAX Order Monitor; Exchange Rule 519A, Risk Protection Monitor; and Rule 517, Quote Types Defined Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 58642)
34-84580
Nov. 14, 2018
SR-ISE-2018-90
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules Related to Market Maker Quoting Obligations Comments Due: Exhibit 5 Federal Register version (83 FR 58649)
34-84587
Nov. 14, 2018
SR-ISE-2018-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 506, Long-Term Options Contracts Comments Due: Exhibit 5 Federal Register version (83 FR 58626)
34-84576
Nov. 13, 2018
SR-NYSEARCA-2018-67
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Equity Index-Linked Securities Listing Standards Set Forth in NYSE Arca Rule 5.2-E(j)(6)(B)(I) Comments Due: Federal Register version (83 FR 58315)
34-84575
Nov. 13, 2018
SR-NASDAQ-2018-070
Notice of Filing of Amendment Nos. 1, 2, and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to List and Trade Corporate Non-Convertible Bonds on Nasdaq Comments Due: View Received Comments Federal Register version (83 FR 58309)
34-84578
Nov. 13, 2018
SR-MIAX-2018-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 503 To Adopt Interpretations and Policies .02 and .03 Comments Due: Exhibit 5 Federal Register version (83 FR 58306)
34-84577
Nov. 13, 2018
SR-CBOE-2018-068
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Volume Incentive Program Comments Due: Exhibit 5 Federal Register version (83 FR 58307)
34-84560
Nov. 9, 2018
SR-CFE-2018-002
Notice of Filing of a Proposed Rule Change Regarding Correction of Reporting Errors Comments Due: Exhibit 4 Federal Register version (83 FR 57757)
34-84561
Nov. 9, 2018
SR-CFE-2018-003
Notice of a Filing of a Proposed Rule Change Regarding Block Trade and Exchange of Contract for Related Position Reporting Provisions Comments Due: Exhibit 4 Federal Register version (83 FR 57780)
34-84573
Nov. 9, 2018
SR-Phlx-2018-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules Comments Due: Exhibit 5 Federal Register version (83 FR 57767)
34-84566
Nov. 9, 2018
SR-NYSE-2018-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Listed Company Manual To Clarify the Application of the Initial Listing Requirements to Common Equity Securities Issued in Exchange for a Listed Equity Investment Tracking Stock Comments Due: Exhibit 5 Federal Register version (83 FR 57783)
34-84570
Nov. 9, 2018
SR-GEMX-2018-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules Comments Due: Exhibit 5 Federal Register version (83 FR 57771)
34-84572
Nov. 9, 2018
SR-BX-2018-052
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules Comments Due: Exhibit 5 Federal Register version (83 FR 57762)
34-84559
Nov. 9, 2018
SR-NASDAQ-2018-085
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Rules To Reflect Changes to The Nasdaq Options Market LLC ("NOM") Protocols Comments Due: Exhibit 5 Federal Register version (83 FR 57774)
34-84571
Nov. 9, 2018
SR-NASDAQ-2018-086
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules Comments Due: Exhibit 5 Federal Register version (83 FR 57758)
34-84569
Nov. 9, 2018
SR-MRX-2018-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules Comments Due: Exhibit 5 Federal Register version (83 FR 57765)
34-84568
Nov. 9, 2018
SR-ISE-2018-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules Comments Due: Exhibit 5 Federal Register version (83 FR 57786)
34-84567
Nov. 9, 2018
SR-CboeEDGX-2018-054
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify its Fee Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 57755)
34-84558
Nov. 9, 2018
SR-CBOE-2018-072
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 57782)
34-84557
Nov. 8, 2018
SR-NYSEArca-2018-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges To Remove Certain Obsolete Text That References Pillar Phase I Protocols Comments Due: Exhibit 5 Federal Register version (83 FR 57511)
34-84556
Nov. 8, 2018
SR-ICEEU-2018-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the F&O Guaranty Fund Policy (the "Policy"), Clearing Rules (the "Rules") and Finance Procedures ("Finance Procedures") Comments Due: Exhibit 5 Federal Register version (83 FR 57513)
34-84547
Nov. 7, 2018
SR-NYSEARCA-2018-77
Notice of Filing of Proposed Rule Change To Amend Rule 7.44-E Comments Due: Exhibit 5 Federal Register version (83 FR 56890)
34-84546
Nov. 7, 2018
SR-BX-2018-051
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Derivative Securities Traded Under Unlisted Trading Privileges Comments Due: Exhibit 5 Federal Register version (83 FR 56888)
34-84542
Nov. 6, 2018
SR-Phlx-2018-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New Derivative Securities Products Comments Due: Exhibit 5 Federal Register version (83 FR 56385)
34-84545
Nov. 6, 2018
SR-Phlx-2018-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 3400 Series Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 56387)
34-84544
Nov. 6, 2018
SR-NYSE-2018-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 303A.00 of the Manual To Change the Threshold for Qualifying as a Smaller Reporting Company To Qualify for Certain Exemptions From the Compensation Committee Requirement Comments Due: Exhibit 5 Federal Register version (83 FR 56384)
34-84536
Nov. 5, 2018
SR-Phlx-2018-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1101A, Terms of Option Contracts Comments Due: Exhibit 5 Federal Register version (83 FR 56109)
34-84540
Nov. 5, 2018
SR-BX-2018-049
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XIV, Index Rules, Section 10(g), Pricing When Primary Market Does Not Open Comments Due: Exhibit 5 Federal Register version (83 FR 56116)
34-84538
Nov. 5, 2018
SR-NASDAQ-2018-081
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XIV, Index Rules, Section 10(g), Pricing When Primary Market Does Not Open Comments Due: Exhibit 5 Federal Register version (83 FR 56127)
34-84539
Nov. 5, 2018
SR-ISE-2018-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2008(g), Pricing When Primary Market Does Not Open Comments Due: Exhibit 5 Federal Register version (83 FR 56124)
34-84533
Nov. 5, 2018
SR-ICEEU-2018-015
Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Limited Liquidity Plan Comments Due: Federal Register version (83 FR 56107)
34-84534
Nov. 5, 2018
SR-CBOE-2018-070
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew the Nonstandard Expirations Pilot Program Comments Due: Federal Register version (83 FR 56119)
34-84535
Nov. 5, 2018
SR-CBOE-2018-069
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of its SPXPM Pilot Program Comments Due: Federal Register version (83 FR 56129)
34-84537
Nov. 5, 2018
SR-CBOE-2018-071
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options Pilot Program Regarding Permissible Exercise Settlement Values for Flexible Exchange Index Options Comments Due: Federal Register version (83 FR 56113)
34-84527
Nov. 2, 2018
SR-NYSEAMER-2018-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 805(c)(5) of the Guide to Change the Threshold for Qualifying as a Smaller Reporting Company To Qualify for Certain Exemptions From the Compensation Committee Requirements Comments Due: Exhibit 5 Federal Register version (83 FR 55922)
34-84524
Nov. 2, 2018
SR-OCC-2018-014
Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility Comments Due: Federal Register version (83 FR 55918)
34-84521
Nov. 1, 2018
SR-OCC-2018-013
Notice of Filing of Proposed Rule Change To Extend Term Limits for Member Directors Serving on The Options Clearing Corporation's Board of Directors Comments Due: Federal Register version (83 FR 55768)
34-84520
Nov. 1, 2018
SR-BX-2018-050
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Definitions to Chapter I, Section 1, Titled General Provisions and Also Amend Chapter VI, Section 18, Titled Risk Protections Comments Due: Exhibit 5 Federal Register version (83 FR 55765)
34-84519
Nov. 1, 2018
SR-MIAX-2018-27
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A, MIAX Price Improvement Mechanism ("PRIME") and PRIME Solicitation Mechanism, and Rule 518, Complex Orders Comments Due: Exhibit 5 Federal Register version (83 FR 55776)
34-84516
Nov. 1, 2018
SR-ISE-2018-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete ISE Section 22 of the Rulebook Entitled "Rate-Modified Foreign Currency Options Rules" Comments Due: Exhibit 5 Federal Register version (83 FR 55771)
34-84522
Nov. 1, 2018
SR-ISE-2018-89
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Pricing Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 55761)
34-84518
Nov. 1, 2018
SR-FINRA-2018-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 9910 Post-Employment Conflict of Interest Restrictions; Nonpublic Information Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 55781)
34-84523
Nov. 1, 2018
SR-CboeBZX-2018-018
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4) Comments Due: Federal Register version (83 FR 55780)
34-84505
Oct. 30, 2018
SR-NASDAQ-2018-080
Notice of Filing of a Proposed Rule Change To List and Trade Shares of the BrandywineGLOBAL-Global Total Return ETF, a Series of Legg Mason ETF Investment Trust Under Nasdaq Rule 5735 Comments Due: View Received Comments Federal Register version (83 FR 55416)
34-84507
Oct. 30, 2018
SR-CboeBZX-2018-079
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Establish How the BZX Official Closing Price Would Be Determined for BZX-Listed Securities Comments Due: Exhibit 5 Federal Register version (83 FR 55435)
