34-84341
Oct. 2, 2018
SR-MSRB-2018-07
Notice of Filing of a Proposed Rule Change To Amend MSRB Rule G-3, on Professional Qualification Requirements, To Require Municipal Advisor Principals To Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 50708)
34-84339
Oct. 2, 2018
SR-ISE-2018-81
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish New Pricing for Flash Orders Comments Due: Exhibit 5 Federal Register version (83 FR 50715)
34-84343
Oct. 2, 2018
SR-ICEEU-2018-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to F&O Risk Policies Comments Due: Federal Register version (83 FR 50713)
34-84338
Oct. 2, 2018
SR-BOX-2018-32
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules Relating to Registration and Qualification Examinations Required for Participants That Engage in Trading Activities on the Exchange Comments Due: Exhibit 5 Federal Register version (83 FR 50705)
34-84340
Oct. 2, 2018
SR-BOX-2018-30
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7600(a)(4) (Qualified Open Outcry Orders-Floor Crossing) Comments Due: Exhibit 5 Federal Register version (83 FR 50718)
34-84330
Oct. 1, 2018
SR-NYSE-2018-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 67 To Specify That D-Quote Functionality Under Rule 67(f)(5) Will Continue To Be in Effect Until Six Months After the End of the Pilot Period Comments Due: Exhibit 5 Federal Register version (83 FR 50427)
34-84326
Oct. 1, 2018
SR-BX-2018-046
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 50414)
34-84328
Oct. 1, 2018
SR-NASDAQ-2018-077
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Minimum Quantity Order Attribute Comments Due: Exhibit 5 Federal Register version (83 FR 50425)
34-84327
Oct. 1, 2018
SR-CboeEDGX-2018-041
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Order Type Called the MidPoint Discretionary Order ("MDO") Under Paragraph (g) of Exchange Rule 11.8 and To Amend the Definition of the Super Aggressive Instruction Under Paragraph (n)(2) of Exchange Rule 11.6 Comments Due: Exhibit 5 Federal Register version (83 FR 50416)
34-84323
Oct. 1, 2018
SR-BOX-2018-33
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Revise Certain Qualification Thresholds and Fees in Sections I.B.1, Primary Improvement Order, and I.B.2, BOX Volume Rebate Comments Due: Exhibit 5 Federal Register version (83 FR 50422)
34-84317
Sept. 28, 2018
SR-NASDAQ-2018-075
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7039, 7047, 7049, 7055, and 7061 To Update the Definition of the Term FINRA/Nasdaq Trade Reporting Facility Comments Due: Exhibit 5 Federal Register version (83 FR 50127)
34-84320
Sept. 28, 2018
SR-IEX-2018-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2.160 Related to the Qualification and Registration Requirements for Associated Persons of a Member and To Delete Rule 2.150 Which is Obsolete Comments Due: Exhibit 5 Federal Register version (83 FR 50132)
34-84294
Sept. 27, 2018
SR-NYSE-2018-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.04 of the NYSE Listed Company Manual To Apply a $50,000 Fee Cap per Transaction for Issuances of Additional Shares by Closed End Funds Comments Due: Exhibit 5 Federal Register version (83 FR 49957)
34-84297
Sept. 27, 2018
SR-CboeBYX-2018-014
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Make Permanent Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program Comments Due: Federal Register version (83 FR 49959)
34-84290
Sept. 26, 2018
SR-Phlx-2018-59
Notice of Filing of Proposed Rule Change To Amend Rules 1000, 1064, and 1069 To Allow for the Snapshot Functionality of the Floor Based Management System to be Used for All Orders Comments Due: Exhibit 5 Federal Register version (83 FR 49596)
34-84287
Sept. 26, 2018
SR-NASDAQ-2018-008
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 49599)
34-84293
Sept. 26, 2018
SR-CboeBYX-2018-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BYX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (83 FR 49606)
34-84285
Sept. 25, 2018
SR-NYSEAMER-2018-44
Notice of Filing of Proposed Rule Change To Modify Rule 961 Regarding the Give Up of a Clearing Member by ATP Holders and Conforming Changes to Rule 933NY Comments Due: Exhibit 5 Federal Register version (83 FR 49449)
34-84279
Sept. 25, 2018
SR-NYSEARCA-2018-67
Notice of Filing of 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: Exhibit 5 Federal Register version (83 FR 49437)
34-84282
Sept. 25, 2018
SR-NYSEArca-2018-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Representation Relating to the Redemption Procedures Applicable to the Sprott Physical Gold and Silver Trust Comments Due: View Received Comments Federal Register version (83 FR 49442)
34-84284
Sept. 25, 2018
SR-NYSEArca-2018-68
Notice of Filing of Proposed Rule Change To Modify Rule 6.15-O Regarding the Give Up of a Clearing Member by OTP Holders and OTP Firms and Conforming Changes to Rule 6.46-O Comments Due: Exhibit 5 Federal Register version (83 FR 49434)
34-84283
Sept. 25, 2018
SR-GEMX-2018-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Schedule of Fees Comments Due: Exhibit 5 Federal Register version (83 FR 49440)
34-84276
Sept. 24, 2018
SR-NYSE-2018-34
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend NYSE Rule 104 Governing Transactions by Designated Market Makers Comments Due: Federal Register version (83 FR 49143)
34-84274
Sept. 24, 2018
SR-CBOE-2018-063
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Rename the "Extended Trading Hours" to "Global Trading Hours" in Its Rules and Fees Schedule Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (83 FR 49144)
34-84257
Sept. 21, 2018
SR-NYSEArca-2018-55
Notice of Filing of Amendment No. 1 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the GraniteShares Gold MiniBAR Trust Pursuant to NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (83 FR 48877)
34-84256
Sept. 21, 2018
SR-NSCC-2018-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify and Update Certain Sections of the Rules Comments Due: Exhibit 5 Federal Register version (83 FR 48885)
34-84259
Sept. 21, 2018
SR-NSCC-2018-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Rules That Describe the Buy-In Process Comments Due: Exhibit 5 Federal Register version (83 FR 48880)
34-84238
Sept. 20, 2018
SR-GEMX-2018-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Protections Comments Due: Exhibit 5 Federal Register version (83 FR 48678)
34-84227
Sept. 20, 2018
SR-BX-2018-045
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Equity Rule 6950 Series Concerning the Order Audit Trail System To Make Conforming and Technical Changes Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 48483)
34-84239
Sept. 20, 2018
SR-MRX-2018-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Protections Comments Due: Exhibit 5 Federal Register version (83 FR 48670)
34-84237
Sept. 20, 2018
SR-ISE-2018-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Protections Comments Due: Exhibit 5 Federal Register version (83 FR 48660)
34-84229
Sept. 20, 2018
SR-CboeBYX-2018-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members That Engage in Trading Activities on the Exchange Comments Due: Exhibit 5 Federal Register version (83 FR 48673)
34-84195
Sept. 19, 2018
SR-NYSEArca-2018-54
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares Comments Due: Federal Register version (83 FR 48474)
34-84202
Sept. 19, 2018
SR-GEMX-2018-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform By-Law's CRO Provisions to Those of an Affiliate Exchange Comments Due: Exhibit 5 Federal Register version (83 FR 48491)
34-84215
Sept. 19, 2018
SR-BX-2018-044
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform the Exchange's By-Law Provisions Regarding the Chief Regulatory Officer to Those of Its Affiliate, Nasdaq PHLX LLC Comments Due: Exhibit 5 Federal Register version (83 FR 48475)
34-84200
Sept. 19, 2018
SR-NASDAQ-2018-076
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees at Rule 7014 Comments Due: Exhibit 5 Federal Register version (83 FR 48476)
34-84209
Sept. 19, 2018
SR-NASDAQ-2018-073
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7021 Comments Due: Exhibit 5 Federal Register version (83 FR 48492)
34-84214
Sept. 19, 2018
SR-NASDAQ-2018-072
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform the Exchange's By-Law Provisions Regarding the Chief Regulatory Officer to Those of Its Affiliate, Nasdaq PHLX LLC Comments Due: Exhibit 5 Federal Register version (83 FR 48486)
34-84204
Sept. 19, 2018
SR-MRX-2018-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform By-Law's CRO Provisions To Those of an Affiliate Exchange Comments Due: Exhibit 5 Federal Register version (83 FR 48481)
34-84203
Sept. 19, 2018
SR-ISE-2018-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform By-Law's CRO Provisions to Those of an Affiliate Exchange Comments Due: Exhibit 5 Federal Register version (83 FR 48479)
34-84180
Sept. 18, 2018
SR-Phlx-2018-58
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1080(A)(I)(C) Relating to Options Floor Based Management System Comments Due: Exhibit 5 Federal Register version (83 FR 48353)
34-84194
Sept. 18, 2018
SR-CTA/CQ-2018-03
Notice of Filing and Immediate Effectiveness of the Twenty-Fourth Charges Amendment to the Second Restatement of the CTA Plan and the Fifteenth Charges Amendment to the Restated CQ Plan Comments Due: Federal Register version (83 FR 48356)
34-84179
Sept. 18, 2018
SR-Nasdaq-2018-074
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Market Quality Program (Rule 5950) Comments Due: Exhibit 5 Federal Register version (83 FR 48354)
34-84167
Sept. 17, 2018
SR-CboeEDGX-2018-040
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members That Engage in Trading Activities on the Exchange Comments Due: Exhibit 5 Federal Register version (83 FR 47950)
34-84166
Sept. 17, 2018
SR-CboeBZX-2018-071
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members That Engage in Trading Activities on the Exchange Comments Due: Exhibit 5 Federal Register version (83 FR 47945)
34-84123
Sept. 14, 2018
SR-NYSEArca-2018-43
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF View Received Comments Federal Register version (83 FR 47654)
34-84127
Sept. 14, 2018
SR-FINRA-2018-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2360 (Options) To Increase Position Limits on Options on Certain Exchange-Traded Funds Comments Due: Federal Register version (83 FR 47666)
34-84140
Sept. 14, 2018
SR-CboeEDGA-2018-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members That Engage in Trading Activities on the Exchange Comments Due: Exhibit 5 Federal Register version (83 FR 47654)
34-84142
Sept. 14, 2018
SR-CBOE-2018-064
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Trading Permit Holders ("TPHs") and Associated Persons That Engage in Trading Activities on the Exchange Comments Due: Exhibit 5 Federal Register version (83 FR 47663)
34-84141
Sept. 14, 2018
SR-C2-2018-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Trading Permit Holders ("TPHs") and Associated Persons That Engage in Trading Activities on the Exchange Comments Due: Federal Register version (83 FR 47651)
34-84114
Sept. 13, 2018
SR-BX-2018-043
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees at Rule 7018(a) Comments Due: Exhibit 5 Federal Register version (83 FR 47381)
34-84113
Sept. 13, 2018
SR-MRX-2018-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Schedule of Fees Comments Due: Exhibit 5 Federal Register version (83 FR 47386)
34-84107
Sept. 13, 2018
SR-CboeBZX-2018-070
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the iShares iBonds Dec 2025 Term Muni Bond ETF of iShares Trust Under BZX Rule 14.11(c)(4) (Index Fund Shares) Comments Due: Federal Register version (83 FR 47210)
34-84117
Sept. 13, 2018
SR-C2-2018-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Expand the Types of Messages That Users May Submit Into Bulk Order Ports Comments Due: Federal Register version (83 FR 47384)
34-84098
Sept. 12, 2018
SR-NYSEARCA-2018-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Options Rules To Make Certain Non-Substantive Changes and To Harmonize Certain Rules With Those of Its Affiliate, NYSE American LLC Comments Due: Exhibit 5 Federal Register version (83 FR 47221)
34-84099
Sept. 12, 2018
SR-NYSEARCA-2018-64
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 47232)
34-84103
Sept. 12, 2018
SR-NYSEARCA-2018-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges To Introduce a New Pricing Tier, Step Up Tier 3 Comments Due: Exhibit 5 Federal Register version (83 FR 47216)
34-84097
Sept. 12, 2018
SR-NYSE-2018-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Price List Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 46977)
34-84100
Sept. 12, 2018
SR-NYSE-2018-39
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Price List To Amend the Threshold Levels and Rebate Amounts Payable Under the Liquidity Provider Incentive Program, and To Amend the Rebate Amount Payable Under the Agency Order Incentive Program Comments Due: Exhibit 5 Federal Register version (83 FR 47230)
34-84093
Sept. 12, 2018
SR-PEARL-2018-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404A, Select Provisions of Options Listing Procedures Plan, and Rule 406, Long-Term Option Contracts Comments Due: Exhibit 5 Federal Register version (83 FR 46985)
34-84089
Sept. 12, 2018
SR-MIAX-2018-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404A, Select Provisions of Options Listing Procedures Plan, Rule 406, Long-Term Option Contracts, and Rule 1809, Terms of Index Options Contracts Comments Due: Exhibit 5 Federal Register version (83 FR 47207)
34-84076
Sept. 11, 2018
SR-NFA-2018-04
Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to National Futures Association Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts Comments Due: Exhibit 4 Federal Register version (83 FR 46976)
34-84079
Sept. 11, 2018
SR-NYSEArca-2018-63
Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 1.1 Official Closing Price To Exclude From the TWAP Calculation a Midpoint That Is Based on an NBBO That Is Not Reflective of the Security's True and Current Value Comments Due: Exhibit 5 Federal Register version (83 FR 46981)
34-84078
Sept. 11, 2018
SR-C2-2018-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 46983)
34-84069
Sept. 10, 2018
SR-NYSEAMER-2018-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.23E, Obligations of Market Makers Comments Due: Exhibit 5 Federal Register version (83 FR 46766)
34-84049
Sept. 6, 2018
SR-NYSEArca-2018-38
Notice of Filing of Amendment No. 1 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Continued Listing Criteria Applicable to the Shares of the iShares California AMT Free Muni Bond ETF and iShares New York AMT-Free Muni Bond ETF Comments Due: View Received Comments Federal Register version (83 FR 46228)
34-84047
Sept. 6, 2018
SR-NASDAQ-2017-128
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the Western Asset Total Return ETF Comments Due: Federal Register version (83 FR 46200)
34-84045
Sept. 6, 2018
SR-CBOE-2018-062
Notice of Filing of a Proposed Rule Change To Amend Rule 6.2, Interpretation and Policy .01 Concerning Strategy Orders Comments Due: Federal Register version (83 FR 46230)
34-84034
Sept. 5, 2018
SR-Phlx-2018-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Move the P.M.-Settled Nasdaq-100 Index Options Expiring on the Third Friday of the Month to the NDX Index Options Class Comments Due: Exhibit 5 Federal Register version (83 FR 46001)
34-84035
Sept. 5, 2018
SR-ISE-2018-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees To Permit Certain Affiliated Market Participants To Aggregate Volume and Qualify for Various Pricing Incentives Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (83 FR 45997)
34-84032
Sept. 5, 2018
SR-ICC-2018-008
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change 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 46000)
34-84021
Sept. 4, 2018
SR-OCC-2018-012
Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Board of Directors and Board Committee Charters Comments Due: Exhibit 5a , Exhibit 5b , Exhibit 5c , Exhibit 5d , Exhibit 5e , Exhibit 5f , Exhibit 5a , Exhibit 5b , Exhibit 5c , Exhibit 5d , Exhibit 5e , Exhibit 5f Federal Register version (83 FR 45706)
34-84020
Sept. 4, 2018
SR-FINRA-2018-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Section 4(c) of Schedule A to the FINRA By-Laws Relating to Qualification Examination Fees Comments Due: Exhibit 5 Federal Register version (83 FR 45701)
34-84012
Aug. 31, 2018
SR-BX-2018-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide New Optional Functionality to Minimum Quantity Orders Comments Due: Exhibit 5 Federal Register version (83 FR 45476)
34-84013
Aug. 31, 2018
SR-BX-2018-025
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Make Permanent the Exchange's Retail Price Improvement Program, Which is Set To Expire on December 31, 2018 Comments Due: View Received Comments Federal Register version (83 FR 45479)
34-84011
Aug. 31, 2018
SR-CboeEDGX-2018-038
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Types of Messages That Users May Submit Into Bulk Order Ports Comments Due: Exhibit 5 Federal Register version (83 FR 45472)
34-84001
Aug. 30, 2018
SR-NASDAQ-2018-070
Notice of Filing of Proposed Rule Change To List and Trade Corporate Non-Convertible Bonds on Nasdaq Comments Due: View Received Comments Exhibit 3 , Exhibit 5 Federal Register version (83 FR 45289)
34-84003
Aug. 30, 2018
SR-NASDAQ-2018-050
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the First Trust Senior Loan Fund of First Trust Exchange Traded Fund IV Comments Due: View Received Comments Federal Register version (83 FR 45289)
34-84000
Aug. 30, 2018
SR-CboeEDGX-2018-036
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 45152)
34-84002
Aug. 30, 2018
SR-CboeBZX-2018-065
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (83 FR 45149)
34-83982
Aug. 29, 2018
SR-NYSEArca-2018-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing and Trading of Shares of the American Century Diversified Municipal Bond ETF Under NYSE Arca Rule 8.600-E Comments Due: Federal Register version (83 FR 45168)
34-83988
Aug. 29, 2018
SR-NASDAQ-2018-068
Notice of Filing of Proposed Rule Change To Extend the Cutoff Times for Accepting On Close Orders Entered for Participation in the Nasdaq Closing Cross Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 45165)
34-83983
Aug. 29, 2018
SR-LCHSA-2018-004
Notice of Filing of Proposed Rule Change Relating to Implementation of Electronic Exercise Platform Comments Due: Exhibit 5 Federal Register version (83 FR 45155)
34-83967
Aug. 28, 2018
SR-NYSEARCA-2018-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E Relating To Reserve Orders, To Re-Name Two Order Types, and To Delete Inoperative Rule Text Comments Due: Exhibit 5 Federal Register version (83 FR 44984)
34-83975
Aug. 28, 2018
SR-MIAX-2018-14
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To List and Trade Options on the SPIKESTM Comments Due: Federal Register version (83 FR 44929)
34-83968
Aug. 28, 2018
SR-CBOE-2018-060
Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 6.49A, Transfer of Positions Comments Due: Exhibit 5 Federal Register version (83 FR 44938)
34-83952
Aug. 27, 2018
SR-NSCC-2017-806
Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, to Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Federal Register version (83 FR 44354)
34-83955
Aug. 27, 2018
SR-NSCC-2017-805
Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, to Adopt a Recovery & Wind-down Plan and Related Rules Comments Due: View Received Comments Federal Register version (83 FR 44340)
34-83951
Aug. 27, 2018
SR-FICC-2017-806
Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, to Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Federal Register version (83 FR 44331)
34-83954
Aug. 27, 2018
SR-FICC-2017-805
Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, to Adopt a Recovery & Wind-down Plan and Related Rules Comments Due: View Received Comments Federal Register version (83 FR 44361)
34-83950
Aug. 27, 2018
SR-DTC-2017-804
Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, to Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Federal Register version (83 FR 44393)
34-83953
Aug. 27, 2018
SR-DTC-2017-803
Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, to Adopt a Recovery & Wind-down Plan and Related Rules Comments Due: View Received Comments Federal Register version (83 FR 44381)
34-83958
Aug. 27, 2018
SR-CboeEDGX-2018-039
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Obsolete Language Regarding the Timing of Listing Long-Term Options Series Comments Due: Exhibit 5 Federal Register version (83 FR 44684)
34-83959
Aug. 27, 2018
SR-CboeBZX-2018-069
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Obsolete Language Regarding the Timing of Listing Long-Term Options Series Comments Due: Exhibit 5 Federal Register version (83 FR 44686)
34-83949
Aug. 27, 2018
SR-BOX-2018-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect a Non-Substantive Name Change in the Market's Governing Documents Comments Due: Exhibit 5 Federal Register version (83 FR 44375)
34-83960
Aug. 27, 2018
SR-BOX-2018-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rules 5050 and 5070 Comments Due: Exhibit 5 Federal Register version (83 FR 44682)
34-83936
Aug. 24, 2018
SR-NYSEArca-2018-60
Notice of Filing of 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 47952)
34-83938
Aug. 24, 2018
SR-CboeBZX-2018-047
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change 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 44403)
34-83941
Aug. 24, 2018
SR-BOX-2018-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents and the Exchange's Rulebook, Changes to the Exchange's Name Comments Due: Exhibit 5 Federal Register version (83 FR 44320)
34-83927
Aug. 23, 2018
SR-OCC-2017-809
Notice of No Objection to Advance Notice, as Modified by Amendment No. 2, Concerning Enhanced and New Tools for Recovery Scenarios Comments Due: View Received Comments Federal Register version (83 FR 44083)
