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)
34-84502
Oct. 30, 2018
4-694
Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and NYSE National, Inc. Comments Due: Federal Register version (83 FR 55410)
34-84495
Oct. 29, 2018
SR-Phlx-2018-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Pricing Schedule Rules Comments Due: Exhibit 5 Federal Register version (83 FR 55210)
34-84496
Oct. 29, 2018
SR-MSRB-2018-08
Notice of Filing of a Proposed Rule Change Concerning Certain Data Elements on Form G-45 Under MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities Comments Due: Exhibit 2 , Exhibit 3 Federal Register version (83 FR 55214)
34-84498
Oct. 29, 2018
SR-ICEEU-2018-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the Recovery Plan and Wind-Down Plan Comments Due: Federal Register version (83 FR 55219)
34-84494
Oct. 26, 2018
SR-CHX-2018-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect Name Changes of the Exchange and its Direct Parent Company and To Amend Certain Corporate Governance Provisions Comments Due: Exhibit 5a , Exhibit 5b , Exhibit 5c , Exhibit 5d , Exhibit 5e , Exhibit 5f Federal Register version (83 FR 54953)
34-84486
Oct. 25, 2018
SR-NYSEArca-2018-75
Notice of Filing of Proposed Rule Change Regarding Certain Investments of the PGIM Ultra Short Bond ETF Comments Due: View Received Comments Federal Register version (83 FR 54793)
34-84489
Oct. 25, 2018
SR-NYSEARCA-2018-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 54800)
34-84488
Oct. 25, 2018
SR-NASDAQ-2018-082
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 54801)
34-84487
Oct. 25, 2018
SR-ISE-2018-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchanges Schedule of Fees To Modify the Crossing Fee Cap Comments Due: Exhibit 5 Federal Register version (83 FR 54791)
34-84490
Oct. 25, 2018
SR-CBOE-2018-067
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to List and Trade Options That Overlie the S&P Communication Services Select Sector Index Comments Due: Exhibit 5 Federal Register version (83 FR 54796)
34-84477
Oct. 24, 2018
SR-Phlx-2018-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Current Rules on Arbitration Comments Due: Federal Register version (83 FR 54641)
34-84476
Oct. 24, 2018
SR-BX-2018-048
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Current Rules on Arbitration Comments Due: Federal Register version (83 FR 54630)
34-84479
Oct. 24, 2018
SR-MRX-2018-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Current Rules on Arbitration, Under Chapter 18 Comments Due: Federal Register version (83 FR 54634)
34-84478
Oct. 24, 2018
SR-ISE-2018-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Current Rules on Arbitration, under Chapter 18 Comments Due: Federal Register version (83 FR 54632)
34-84481
Oct. 24, 2018
SR-CboeEDGX-2018-037
Notice of Filing of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options on a Pilot Basis Comments Due: Exhibit 5 Federal Register version (83 FR 54624)
34-84480
Oct. 24, 2018
SR-CboeBZX-2018-066
Notice of Filing of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options on a Pilot Basis Comments Due: Exhibit 5 Federal Register version (83 FR 54635)
34-84472
Oct. 23, 2018
SR-BX-2018-025
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent the Retail Price Improvement Program Pilot, Which Is Set To Expire on December 31, 2018 Comments Due: View Received Comments Federal Register version (83 FR 54401)
34-84470
Oct. 23, 2018
SR-CBOE-2018-066
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Permit the Exchange To List Options on the Cboe Volatility Index ("VIX options") on a Group Basis and Make Conforming Changes Throughout the Rules, Change the Minimum Increment for VIX Options Listed Under the Nonstandard Expirations Pilot Program (if the Exchange Lists VIX on a Group Basis), and Make Nonsubstantive Changes Comments Due: Federal Register version (83 FR 54395)
34-84462
Oct. 22, 2018
SR-NYSEArca-2018-25
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Continued Listing and Trading of Shares of the Natixis Loomis Sayles Short Duration Income ETF Comments Due: View Received Comments Federal Register version (83 FR 54153)
34-84465
Oct. 22, 2018
SR-ISE-2018-86
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 303 (Approval To Operate Multiple Memberships) Comments Due: Exhibit 5 Federal Register version (83 FR 54157)
34-84463
Oct. 22, 2018
SR-ICEEU-2018-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures Comments Due: Exhibit 5 Federal Register version (83 FR 54154)
34-84464
Oct. 22, 2018
SR-ICEEU-2018-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the Clearing Rules and the CDS Procedures Comments Due: Exhibit 5-Part 1 , Exhibit 5-Part 2 Federal Register version (83 FR 54156)
34-84457
Oct. 19, 2018
SR-ICC-2018-008
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to ICC's Risk Management Model Description Document and ICC's Risk Management Framework Comments Due: View Received Comments Federal Register version (83 FR 53917)
34-84458
Oct. 19, 2018
SR-DTC-2018-009
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes To Amend the Clearing Agency Frameworks File Nos.: Comments Due: Federal Register version (83 FR 53925)
34-84456
Oct. 19, 2018
SR-CboeBZX-2018-078
Notice of Filing of a Proposed Rule Change To List and Trade Shares of the WisdomTree Long-Term Treasury PutWrite Strategy Fund, WisdomTree Corporate Bond PutWrite Strategy Fund, WisdomTree International PutWrite Strategy Fund, and WisdomTree Emerging Markets PutWrite Strategy Fund, Each a Series of WisdomTree Trust, Under Rule 14.11(i), Managed Fund Shares Comments Due: View Received Comments Federal Register version (83 FR 53928)
34-84449
Oct. 18, 2018
SR-Phlx-2018-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section (a)(i)(D) of Rule 1012 Comments Due: Exhibit 5 Federal Register version (83 FR 53699)
34-84451
Oct. 18, 2018
SR-NYSEArca-2018-74
Notice of Filing of Proposed Rule Change To Amend Rules 6.62-O and 6.37A-O To Add New Order Types and Quotation Designations Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 53692)
34-84450
Oct. 18, 2018
SR-NYSE-2018-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.02 of the NYSE Listed Company Manual Regarding Information on Listed Securities of a Foreign Private Issuer Obtained From a U.S. or Non-U.S. Securities Depository Comments Due: Exhibit 5 Federal Register version (83 FR 53687)
34-84448
Oct. 18, 2018
SR-GEMX-2018-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Registration, Qualification Examination and Continuing Education Rules Comments Due: Exhibit 5 Federal Register version (83 FR 53669)
34-84444
Oct. 17, 2018
SR-NYSE-2018-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 53524)
34-84442
Oct. 17, 2018
SR-CboeEDGX-2018-047
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe EDGX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (83 FR 53522)
34-84430
Oct. 16, 2018
SR-NYSENAT-2018-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees To Adopt the Same Billing Dispute Practice as the Exchange's Affiliates and Other Exchanges Comments Due: Exhibit 5 Federal Register version (83 FR 53347)
34-84434
Oct. 16, 2018
SR-NYSE-2018-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Non-Substantive Amendments to Rules 1.1, 7.31, and 7.46 Comments Due: Exhibit 5 Federal Register version (83 FR 53324)
34-84439
Oct. 16, 2018
SR-NASDAQ-2018-070
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Corporate Non-Convertible Bonds on Nasdaq Comments Due: View Received Comments Federal Register version (83 FR 53339)
34-84435
Oct. 16, 2018
SR-FICC-2018-011
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow CCIT Members To Elect To Pay Their Funds-Only Settlement Amount Debits Using a Different Process Comments Due: Exhibit 5 Federal Register version (83 FR 53339)
34-84431
Oct. 16, 2018
SR-CboeEDGX-2018-046
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe EDGX Exchange, Inc. Comments Due: Federal Register version (83 FR 53349)
34-84438
Oct. 16, 2018
SR-CboeBZX-2018-076
Notice of Filing of a Proposed Rule Change To List and Trade Shares of the FormulaFolios Sector Rotation ETF, a Series of the Northern Lights Fund Trust IV, Under Rule 14.11(i), Managed Fund Shares Comments Due: View Received Comments Federal Register version (83 FR 53343)
34-84428
Oct. 15, 2018
SR-NSCC-2018-008
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan Comments Due: Federal Register version (83 FR 53128)
34-84423
Oct. 15, 2018
SR-GEMX-2018-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Current Rules on Arbitration, Under Chapter 18 Comments Due: Federal Register version (83 FR 53134)
34-84424
Oct. 15, 2018
SR-ICC-2018-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to ICC's Stress Testing Framework and ICC's Liquidity Risk Management Framework Comments Due: Federal Register version (83 FR 53136)
34-84427
Oct. 15, 2018
SR-FICC-2018-009
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan Comments Due: Federal Register version (83 FR 53131)
34-84426
Oct. 15, 2018
SR-DTC-2018-008
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan Comments Due: Federal Register version (83 FR 53138)
34-84420
Oct. 12, 2018
SR-NYSE-2018-46
Notice of Filing of Proposed Rule Change To Amend the Listed Company Manual for Acquisition Companies To Reduce the Continued Listing Standards for Public Holders From 300 to 100 and To Enable the Exchange To Exercise Discretion To Allow Acquisition Companies a Reasonable Time Period Following a Business Combination To Demonstrate Compliance With the Applicable Quantitative Listing Standards Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 52854)
34-84412
Oct. 11, 2018
SR-NYSEAMER-2018-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.14E, Clearance and Settlement Comments Due: Exhibit 5 Federal Register version (83 FR 52586)
34-84411
Oct. 11, 2018
SR-NYSE-2018-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees for Routing Orders in UTP Securities Priced Below $1.00 Comments Due: Exhibit 5 Federal Register version (83 FR 52579)
34-84402
Oct. 11, 2018
SR-ISE-2018-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Maker/Taker Fees in Section I of the Exchanges Schedule of Fees Comments Due: Exhibit 5 Federal Register version (83 FR 52593)
34-84403
Oct. 11, 2018
SR-CboeEDGX-2018-042
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce Equities Purge Ports To (1) Establish Purge Ports for Equities Trading and Amend the Interpretations and Policies to Rule 11.10, Order Execution, To Reflect the Proposed Purge Ports, and (2) Modify the Fee Schedule Applicable To the Exchange's Equities Platform ("EDGX Equities") to Identify and To Set Fees for Purge Ports Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (83 FR 52605)
34-84405
Oct. 11, 2018
SR-CboeEDGA-2018-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce Equities Purge Ports to (1) Establish Purge Ports for Equities Trading and Amend the Interpretations and Policies to Rule 11.10, Order Execution, To Reflect the Proposed Purge Ports, and (2) Modify the Fee Schedule Applicable to the Exchange's Equities Platform ("EDGA Equities") To Identify and To Set Fees for Purge Ports Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (83 FR 52598)
34-84401
Oct. 11, 2018
SR-CboeBZX-2018-075
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees on Cboe BZX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (83 FR 52591)
34-84406
Oct. 11, 2018
SR-CboeBZX-2018-074
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce Equities Purge Ports To (1) Establish Purge Ports for Equities Trading and Amend the Interpretations and Policies to Rule 11.10, Order Execution, To Reflect the Proposed Purge Ports, and (2) Modify the Fee Schedule Applicable to the Exchange's Equities Platform ("BZX Equities") To Identify and To Set Fees for Purge Ports Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (83 FR 52588)
34-84404
Oct. 11, 2018
SR-CboeBYX-2018-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce Equities Purge Ports To (1) Establish Purge Ports for Equities Trading and Amend the Interpretations and Policies to Rule 11.10, Order Execution, To Reflect the Proposed Purge Ports, and (2) Modify the Fee Schedule Applicable to the Exchange's Equities Platform ("BYX Equities") To Identify and To Set Fees for Purge Ports Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (83 FR 52595)
34-84388
Oct. 10, 2018
SR-NYSEAMER-2018-46
Notice of Filing and Immediate Effectiveness of Amendments to Rules Regarding Qualification, Registration and Continuing Education Applicable to Member Organizations, Equity Trading Permit Holders, and American Trading Permit Holders Comments Due: Exhibit 5 Federal Register version (83 FR 52287)
34-84389
Oct. 10, 2018
SR-NYSEARCA-2018-71
Notice of Filing and Immediate Effectiveness of Amendments to Rules Regarding Qualification, Registration and Continuing Education Applicable to Equity Trading Permit Holders, Options Trading Permit Holders or OTP Firms Comments Due: Exhibit 5 Federal Register version (83 FR 52272)
34-84396
Oct. 10, 2018
SR-NYSEARCA-2018-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Listing and Trading of Shares of the iShares iBond Dec 2026 Term Muni Bond ETF Under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3) Comments Due: Federal Register version (83 FR 52266)
34-84397
Oct. 10, 2018
SR-PEARL-2018-16
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 52272)
34-84398
Oct. 10, 2018
SR-MIAX-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 52264)
34-84393
Oct. 10, 2018
SR-CboeEDGX-2018-043
Notice of Filing of a Proposed Rule Change To Amend the Exchange's Rulebook To Allow the Post Only Order Instruction on Complex Orders That Route to Its Electronic Book for Trading Options Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 52264)
34-84394
Oct. 10, 2018
SR-CboeBZX-2018-072
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the JPMorgan Municipal ETF and JPMorgan Ultra-Short Municipal ETF of the J.P. Morgan Exchange-Traded Fund Trust Under Rule 14.11(i), Managed Fund Shares Comments Due: Federal Register version (83 FR 52255)
34-84395
Oct. 10, 2018
SR-CBOE-2018-065
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 52285)
34-84399
Oct. 10, 2018
SR-C2-2018-021
Notice of Filing of a Proposed Rule Change To Amend C2's Rulebook To Allow the Post Only Order Instruction on Complex Orders That Route to Its Electronic Book Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 52253)
34-84391
Oct. 10, 2018
SR-BOX-2018-34
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility To Adopt a New Rebate for Certain Manual Transactions Initiated From the Trading Floor Comments Due: Exhibit 5 Federal Register version (83 FR 52283)
34-84392
Oct. 10, 2018
4-566
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Chicago Stock Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., and Investors Exchange LLC Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules Comments Due: Federal Register version (83 FR 52243)
34-84383
Oct. 9, 2018
SR-NYSEArca-2018-60
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the First Trust Long Duration Opportunities ETF Under NYSE Arca Rule 8.600-E Comments Due: Federal Register version (83 FR 52039)
34-84386
Oct. 9, 2018
SR-NASDAQ-2018-078
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Its Membership, Registration and Qualification Rules Comments Due: Exhibit 5 Federal Register version (83 FR 51988)
34-84385
Oct. 9, 2018
SR-MRX-2018-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Its Membership, Registration and Qualification Rules and To Make Conforming Changes to Certain Other Rules Comments Due: Exhibit 5 Federal Register version (83 FR 52023)
34-84387
Oct. 9, 2018
SR-PEARL-2018-21
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 52039)
34-84384
Oct. 9, 2018
SR-ISE-2018-82
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Its Membership, Registration and Qualification Rules and To Make Conforming Changes to Certain Other Rules Comments Due: Exhibit 5 Federal Register version (83 FR 52006)
34-84380
Oct. 5, 2018
SR-NYSENAT-2018-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees Comments Due: Exhibit 5 Federal Register version (83 FR 51750)
34-84379
Oct. 5, 2018
SR-NYSEArca-2018-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Listing and Trading of Shares of the First Trust Short Duration Managed Municipal ETF Under NYSE Arca Rule 8.600-E Comments Due: Federal Register version (83 FR 51724)
34-84381
Oct. 5, 2018
SR-NYSEArca-2018-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Listing and Trading of Shares of the First Trust Ultra Short Duration Municipal ETF Under NYSE Arca Rule 8.600-E Comments Due: Federal Register version (83 FR 51752)
34-84373
Oct. 5, 2018
SR-ISE-2018-56
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Rules Relating to Complex Orders Comments Due: View Received Comments Federal Register version (83 FR 51730)
34-84375
Oct. 5, 2018
SR-ICEEU-2018-012
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Intraday Margining Comments Due: Federal Register version (83 FR 51715)
34-84376
Oct. 5, 2018
SR-FINRA-2018-036
Notice of Filing and Immediate Effectiveness of a Proposed Change Relating to Provision of Test Result Information to Candidates Who Pass a FINRA Qualification Examination Comments Due: Federal Register version (83 FR 51720)
34-84377
Oct. 5, 2018
SR-CboeBZX-2018-047
Notice of Filing of Amendment Nos. 2 and 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 4, To Amend BZX Rule 14.8, General Listings Requirements-Tier I, To Adopt Listing Standards for Closed-End Funds Comments Due: View Received Comments Federal Register version (83 FR 51747)
34-84378
Oct. 5, 2018
SR-CboeBZX-2018-044
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend BZX Rule 14.11(c) (Index Fund Shares) Comments Due: View Received Comments Federal Register version (83 FR 51745)
34-84364
Oct. 4, 2018
SR-NYSEAMER-2018-39
Notice of Filing of 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 Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 51535)
34-84362
Oct. 4, 2018
SR-PEARL-2018-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 203, Qualification and Registration of Members and Associated Persons, Relating to Registration and Qualification Examinations Required for Members and Associated Persons of Members That Engage in Trading Activities on the Exchange Comments Due: Exhibit 5 Federal Register version (83 FR 51518)
34-84361
Oct. 4, 2018
SR-MIAX-2018-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 203, Qualification and Registration of Members and Associated Persons, 1301, Registration of Options Principals, and 1302, Registration of Representatives, Relating to Registration and Qualification Examinations Required for Members and Associated Persons of Members That Engage in Trading Activities on the Exchange Comments Due: Exhibit 5 Federal Register version (83 FR 51529)
34-84360
Oct. 4, 2018
SR-IEX-2018-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule To Specify the Circumstances Under Which the Exchange Will Aggregate the Activity of Affiliated Members for Purposes of Applying the Provisions of Rule 11.170(a) Related to the IEMM Program Comments Due: Exhibit 5 Federal Register version (83 FR 51515)
34-84365
Oct. 4, 2018
SR-IEX-2018-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Several Typographical Errors in IEX Rule 2.160 Added by a Previous Filing Comments Due: Exhibit 5 Federal Register version (83 FR 51512)
34-84363
Oct. 4, 2018
SR-FINRA-2018-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CAB Rule 331 (Anti-Money Laundering Compliance Program) To Conform to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions Comments Due: Federal Register version (83 FR 51532)
34-84352
Oct. 3, 2018
SR-Phlx-2018-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Membership, Registration and Qualification Rules and To Make Conforming Changes to Certain Other Rules Comments Due: Exhibit 5 Federal Register version (83 FR 50981)
34-84350
Oct. 3, 2018
SR-NYSENAT-2018-21
Notice of Filing and Immediate Effectiveness of Amendments to Rules Regarding Qualification, Registration and Continuing Education Applicable to Equity Trading Permit Holders Comments Due: Exhibit 5 Federal Register version (83 FR 51030)
34-84349
Oct. 3, 2018
SR-NYSE-2018-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.14, Clearance and Settlement Comments Due: Federal Register version (83 FR 51020)
34-84353
Oct. 3, 2018
SR-BX-2018-047
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Membership, Registration and Qualification Rules, and To Make Conforming Changes to Certain Other Rules Comments Due: Exhibit 5 Federal Register version (83 FR 50999)
34-84354
Oct. 3, 2018
SR-BX-2018-042
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Align Existing Investigatory and Disciplinary Processes and Related Rules With the Investigatory and Disciplinary Processes and Related Rules of Nasdaq PHLX LLC Comments Due: Exhibit 5 Federal Register version (83 FR 50723)
34-84355
Oct. 3, 2018
SR-NASDAQ-2018-066
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Align Existing Investigatory and Disciplinary Processes and Related Rules With the Investigatory and Disciplinary Processes and Related Rules of Nasdaq PHLX LLC Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 51015)
34-84358
Oct. 3, 2018
SR-PEARL-2018-19
Notice of Filing of a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 51022)
34-84357
Oct. 3, 2018
SR-MIAX-2018-25
Notice of Filing of a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 50976)
34-84336
Oct. 2, 2018
SR-NYSE-2018-44
Notice of Filing and Immediate Effectiveness of Amendments To Rules Regarding Qualification, Registration and Continuing Education Applicable to Members and Member Organizations Comments Due: Exhibit 5 Federal Register version (83 FR 50727)
