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)
34-83928
Aug. 23, 2018
SR-OCC-2017-810
Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 3, Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan Comments Due: View Received Comments Federal Register version (83 FR 44109)
34-83929
Aug. 23, 2018
SR-NYSE-2018-37
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Price List Comments Due: Exhibit 5 Federal Register version (83 FR 44115)
34-83919
Aug. 23, 2018
SR-CboeBZX-2018-044
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding BZX Rule 14.11(c) (Index Fund Shares) Comments Due: View Received Comments Federal Register version (83 FR 44083)
34-83926
Aug. 23, 2018
SR-CboeBZX-2018-060
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fee Schedule To Eliminate Fee Code IX on Cboe BZX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (83 FR 44114)
34-83925
Aug. 23, 2018
SR-CboeBYX-2018-017
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 44096)
34-83923
Aug. 23, 2018
SR-CBOE-2018-059
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of Changes to Cboe Options Rule 24A.4, Interpretation and Policy .02, Concerning FLEX Options Comments Due: Federal Register version (83 FR 44098)
34-83898
Aug. 22, 2018
SR-NYSEAMER-2018-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31E Relating to Reserve Orders and Re-Name an Order Type Comments Due: Exhibit 5 Federal Register version (83 FR 43919)
34-83900
Aug. 22, 2018
SR-NYSENAT-2018-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31 Relating to Reserve Orders and Re-Name Two Order Types Comments Due: Exhibit 5 Federal Register version (83 FR 43942)
34-83908
Aug. 22, 2018
SR-CboeBZX-2018-064
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Representations Relating to the Listing and Trading of Shares of the Innovator S&P 500 Buffer ETFs Comments Due: Federal Register version (83 FR 43932)
34-83909
Aug. 22, 2018
SR-CBOE-2018-061
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.5A, Select Provisions of Options Listing Procedures Plan, 5.8, Long-Term Equity Option Series (LEAPS) and Rule 24.9, Terms of Index Option Contracts Comments Due: Federal Register version (83 FR 43946)
34-83892
Aug. 21, 2018
SR-NYSE-2018-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Independence Policy of the Board of Directors of the Exchange Comments Due: Exhibit 5 Federal Register version (83 FR 43720)
34-83895
Aug. 21, 2018
SR-BOX-2018-27
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Number of Non-Substantive Changes to the Rulebook Comments Due: Exhibit 5 Federal Register version (83 FR 43711)
34-83890
Aug. 20, 2018
SR-NYSEAMER-2018-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Independence Policy of the Board of Directors of the Exchange Comments Due: Exhibit 5 Federal Register version (83 FR 42959)
34-83888
Aug. 20, 2018
SR-NASDAQ-2018-069
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Definitions of the Protocols to Enter Quotes and Orders Comments Due: Exhibit 5 Federal Register version (83 FR 42954)
34-83891
Aug. 20, 2018
SR-CBOE-2018-058
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.53, Certain Types of Orders Defined and Rule 6.53C, Complex Orders on the Hybrid System Comments Due: Federal Register version (83 FR 42949)
34-83869
Aug. 17, 2018
SR-BX-2018-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Definitions of the Protocols To Enter Quotes and Orders Comments Due: Exhibit 5 Federal Register version (83 FR 42735)
34-83868
Aug. 17, 2018
SR-FINRA-2018-030
Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) To Remove Computer-to-Computer Interface as a Technological Option for TRACE Reporting Comments Due: Exhibit 5 Federal Register version (83 FR 42741)
34-83882
Aug. 17, 2018
SR-FINRA-2018-032
Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6710 To Modify the Dissemination Protocols for Agency Debt Securities Comments Due: Exhibit 5 Federal Register version (83 FR 42732)
34-83871
Aug. 17, 2018
SR-DTC-2018-007
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Process of the Reduction of Dividend or Interest Payments to a Participant on Treasury Shares or Repurchased Debt Securities Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 42743)
34-83880
Aug. 17, 2018
SR-CboeEDGX-2018-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (83 FR 42719)
34-83881
Aug. 17, 2018
SR-CboeEDGX-2018-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (83 FR 42737)
34-83878
Aug. 17, 2018
SR-CboeBZX-2018-061
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (83 FR 42715)
34-83879
Aug. 17, 2018
SR-CboeBZX-2018-063
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (83 FR 42739)
34-83870
Aug. 17, 2018
SR-CBOE-2018-056
Notice of Filing of a Proposed Rule Change To Adopt Exchange Rule 6.57, Risk-Weighted Assets ("RWA") Transactions Comments Due: Exhibit 5 Federal Register version (83 FR 42725)
34-83872
Aug. 17, 2018
SR-CBOE-2018-55
Notice of Filing of a Proposed Rule Change Relating To Amend Rule 6.21., Give Up of a Clearing Trading Permit Holder Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 42751)
34-83877
Aug. 17, 2018
SR-CBOE-2018-057
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (83 FR 42749)
34-83876
Aug. 17, 2018
SR-C2-2018-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (83 FR 42723)
34-83867
Aug. 16, 2018
SR-Phlx-2018-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Definitions of the Protocols To Enter Quotes and Orders Comments Due: Exhibit 5 Federal Register version (83 FR 42532)
34-83860
Aug. 16, 2018
SR-NYSE-2018-30
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Provide for the Listing of Exchange Traded Products With No Component NMS Stock Listed on the Exchange, Amend Its Rules Regarding Unlisted Trading Privileges, and Make Corresponding Changes Comments Due: View Received Comments Federal Register version (83 FR 42534)
34-83861
Aug. 16, 2018
SR-NASDAQ-2018-059
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Initial and Continued Listing Standards for Subscription Receipts and Fees for Their Listing Comments Due: Exhibit 5 Federal Register version (83 FR 42541)
34-83865
Aug. 16, 2018
SR-NASDAQ-2018-008
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change 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 Federal Register version (83 FR 42545)
34-83862
Aug. 16, 2018
SR-IEX-2018-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of the Cross Price Constraint Utilized in the Opening Process for Non-IEX-Listed Securities Pursuant to Rule 11.231 Comments Due: Exhibit 5 Federal Register version (83 FR 42538)
34-83864
Aug. 16, 2018
SR-ICC-2018-007
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the Clearance of an Additional Credit Default Swap Contract Comments Due: Federal Register version (83 FR 42540)
34-83863
Aug. 16, 2018
SR-FINRA-2018-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1220(a)(4), Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal Comments Due: Exhibit 5 Federal Register version (83 FR 42535)
34-83866
Aug. 16, 2018
SR-FINRA-2018-029
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities Comments Due: Exhibit 3a , Exhibit 3b , Exhibit 5 Federal Register version (83 FR 42545)
34-83850
Aug. 15, 2018
SR-FICC-2018-008
Notice of Filing of Proposed Rule Change To Apply Government Securities Division Corporation Default Rule to Sponsored Members and Make Other Changes Comments Due: Exhibit 5 Federal Register version (83 FR 42340)
34-83853
Aug. 15, 2018
SR-CboeEDGX-2018-035
Notice of Filing of a Proposed Rule Change To Permit the Listing and Trading of Options That Overlie the Mini-SPX Index, the Russell 2000 Index, and the Dow Jones Industrial Average Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 42344)
34-83855
Aug. 15, 2018
SR-CboeEDGA-2018-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe EDGA Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (83 FR 42329)
34-83852
Aug. 15, 2018
SR-CboeBZX-2018-058
Notice of Filing of a Proposed Rule Change To Permit the Listing and Trading of Options That Overlie the Mini-SPX Index, the Russell 2000 Index, and the Dow Jones Industrial Average Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 42330)
34-83842
Aug. 14, 2018
SR-NYSEAMER-2018-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 903 and 903A Comments Due: Exhibit 5 Federal Register version (83 FR 42185)
34-83843
Aug. 14, 2018
SR-NYSENAT-2018-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates Comments Due: Exhibit 5 Federal Register version (83 FR 42196)
34-83837
Aug. 14, 2018
SR-NYSEArca-2018-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 6.4-O and 6.4A-O Comments Due: Exhibit 5 Federal Register version (83 FR 42183)
34-83844
Aug. 14, 2018
SR-NYSEArca-2018-40
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the REX BKCM ETF Comments Due: Federal Register version (83 FR 42178)
34-83845
Aug. 14, 2018
SR-NYSEArca-2018-57
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Amplify BlackSwan Growth & Treasury Core ETF Under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3) Comments Due: View Received Comments Federal Register version (83 FR 42188)
34-83847
Aug. 14, 2018
SR-MIAX-2018-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 42178)
34-83841
Aug. 14, 2018
SR-ISE-2018-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees at Section II Comments Due: Exhibit 5 Federal Register version (83 FR 42193)
34-83846
Aug. 14, 2018
SR-CboeEDGX-2018-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform Comments Due: Exhibit 5 Federal Register version (83 FR 42175)
34-83833
Aug. 13, 2018
SR-BX-2018-037
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 7018(a) of the Exchange's Rules Comments Due: Exhibit 5 Federal Register version (83 FR 41121)
34-83834
Aug. 13, 2018
SR-NASDAQ-2018-067
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete and Replace the Current Rules on Arbitration Comments Due: Federal Register version (83 FR 41115)
34-83835
Aug. 13, 2018
SR-PEARL-2018-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Exchange Rule 514 Priority on the Exchange Comments Due: Exhibit 5 Federal Register version (83 FR 41126)
34-83830
Aug. 13, 2018
SR-ISE-2018-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees Relating to Crossing Orders and Responses to Crossing Orders in Index Options on the Nasdaq 100 Reduced Value Index Comments Due: Exhibit 5 Federal Register version (83 FR 41124)
34-83831
Aug. 13, 2018
SR-CboeBYX-2018-014
Notice of Filing of a Proposed Rule Change To Make Permanent Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program Comments Due: Exhibit 5 Federal Register version (83 FR 41128)
34-83822
Aug. 10, 2018
SR-NYSEAMER-2018-37
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Section 140 and Section 142 of the NYSE American Company Guide To Eliminate the Initial Application Fee for SPACs Applying To List and Amend the Additional Shares Fee for Shares Issued in Conjunction With a Business Combination if the SPAC Remains Listed After Such Business Combination Comments Due: Exhibit 5 Federal Register version (83 FR 40795)
34-83829
Aug. 10, 2018
SR-NYSEAMER-2018-22
Notice of Withdrawal of a Proposed Rule Change To Amend Exchange Rule 7.35E Relating to the Auction Reference Price for a Trading Halt Auction Following a Regulatory Halt Federal Register version (83 FR 40800)
34-83826
Aug. 10, 2018
SR-Phlx-2018-55
Notice of Filing of Proposed Rule Change Relating to Anticipatory Hedging Comments Due: Exhibit 5 Federal Register version (83 FR 40797)
34-83828
Aug. 10, 2018
SR-NYSEARCA-2018-58
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 Comments Due: Exhibit 5 Federal Register version (83 FR 40816)
34-83821
Aug. 10, 2018
SR-NYSE-2018-34
Notice of Filing of Proposed Rule Change To Amend NYSE Rule 104 Governing Transactions by Designated Market Makers Comments Due: Exhibit 5 Federal Register version (83 FR 40808)
34-83823
Aug. 10, 2018
SR-NASDAQ-2018-064
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Under Rules 7014(e) and 7018(a) Comments Due: Exhibit 5 Federal Register version (83 FR 40805)
34-83824
Aug. 10, 2018
SR-NASDAQ-2018-063
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing at Chapter XV, Section 2 Entitled "Nasdaq Options Market-Fees and Rebates" Comments Due: Exhibit 5 Federal Register version (83 FR 40803)
34-83818
Aug. 10, 2018
SR-ISE-2018-56
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Its Rules Related to Complex Orders Comments Due: View Received Comments Federal Register version (83 FR 40800)
34-83820
Aug. 10, 2018
SR-IEX-2018-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Spread-Crossing Eligible Remove Fee to $0.0009 Per Share for Executions at or Above $1.00 That Remove Non-Displayed Liquidity Comments Due: Exhibit 5 Federal Register version (83 FR 40800)
34-83819
Aug. 10, 2018
SR-ICC-2018-009
Notice of Filing of Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures Comments Due: Federal Register version (83 FR 40813)
34-83825
Aug. 10, 2018
SR-FINRA-2018-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Security Futures Risk Disclosure Statement Comments Due: Exhibit 3a , Exhibit 3b Federal Register version (83 FR 40819)
34-83811
Aug. 9, 2018
SR-Phlx-2018-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate the "PSX Last Sale and Nasdaq Last Sale Plus Data Feeds" Into the Market Data Enterprise License Proposed by the Nasdaq Stock Market LLC Comments Due: Exhibit 5 Federal Register version (83 FR 40578)
34-83810
Aug. 9, 2018
SR-BX-2018-036
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate BX Rule 7039 Into the Market Data Enterprise License Proposed by the Nasdaq Stock Market LLC Comments Due: Exhibit 5 Federal Register version (83 FR 40591)
34-83814
Aug. 9, 2018
SR-PEARL-2018-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX PEARL Fee Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 40605)
34-83812
Aug. 9, 2018
SR-MIAX-2018-21
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 40583)
34-83813
Aug. 9, 2018
SR-MIAX-2018-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 40595)
34-83808
Aug. 9, 2018
SR-FICC-2018-007
Notice of Filing of Proposed Rule Change To Correct Certain References, Provide Transparency to Existing Processes and Amend Existing Practices in Connection With the Mortgage-Backed Securities Division Electronic Pool Notification Rules Comments Due: Exhibit 5 Federal Register version (83 FR 40611)
34-83809
Aug. 9, 2018
SR-CboeBZX-2018-057
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1.5, Definitions, Exchange Rule 14.6, Obligations for Companies Listed on the Exchange, and Exchange Rule 14.11, Other Securities Comments Due: Exhibit 5 Federal Register version (83 FR 40599)
34-83799
Aug. 8, 2018
SR-OCC-2018-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Clarifying and Conforming Changes to The Options Clearing Corporation's Margins Methodology and Margin Policy Comments Due: View Received Comments Federal Register version (83 FR 40379)
34-83797
Aug. 8, 2018
SR-MIAX-2018-22
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 40373)
34-83800
Aug. 8, 2018
SR-IEX-2018-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Threshold for Imposition of the Crumbling Quote Remove Fee Comments Due: Exhibit 5 Federal Register version (83 FR 40365)
34-83798
Aug. 8, 2018
SR-CboeBYX-2018-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1.5 Definitions and Exchange Rule 14.1 Unlisted Trading Privileges Comments Due: Exhibit 5 Federal Register version (83 FR 40371)
34-83789
Aug. 7, 2018
SR-GEMX-2018-27
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (83 FR 40108)
34-83794
Aug. 7, 2018
SR-NASDAQ-2018-062
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (83 FR 40099)
34-83785
Aug. 7, 2018
SR-PEARL-2018-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 40101)
34-83786
Aug. 7, 2018
SR-MIAX-2018-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 40106)
34-83788
Aug. 7, 2018
SR-MIAX-2018-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 40110)
34-83790
Aug. 7, 2018
SR-ISE-2018-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Regular Order Take Fee and the QCC and Solicitation Order Rebate Comments Due: Exhibit 5 Federal Register version (83 FR 40096)
34-83793
Aug. 7, 2018
SR-ISE-2018-70
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (83 FR 40103)
34-83784
Aug. 7, 2018
SR-CboeBZX-2017-006
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of Twelve Monthly Series of the Cboe Vest S&P 500 Enhanced Growth Strategy ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3), Index Fund Shares Comments Due: Federal Register version (83 FR 40106)
34-83792
Aug. 7, 2018
SR-CboeBZX-2018-040
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust Comments Due: View Received Comments Federal Register version (83 FR 40112)
34-83780
Aug. 6, 2018
SR-NYSEARCA-2018-56
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 39800)
34-83781
Aug. 6, 2018
SR-FINRA-2018-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 9000 Series (Code of Procedure) To Reflect an Internal Reorganization of FINRA's Enforcement Operations Comments Due: Exhibit 5 Federal Register version (83 FR 39802)
34-83782
Aug. 6, 2018
SR-CBOE-2018-053
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Silexx Trading Platform Fees Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 39804)
34-83774
Aug. 3, 2018
SR-NSCC-2018-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide for the Delivery of Certain Transaction Data Relating to Variable Annuity and Variable Life Insurance Subaccounts and Implement Fees Associated With This Proposed Feature Comments Due: Exhibit 5 Federal Register version (83 FR 39481)
34-83770
Aug. 3, 2018
SR-BX-2018-035
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Options Rules at Chapter I, Section 1 To Define Certain Terms Comments Due: Exhibit 5 Federal Register version (83 FR 39484)
34-83771
Aug. 3, 2018
SR-NASDAQ-2018-060
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Terms Under Chapter I, Section 1 of the Options Rules Comments Due: Exhibit 5 Federal Register version (83 FR 39490)
34-83763
Aug. 2, 2018
SR-CHX-2018-001
Notice of Withdrawal of a Proposed Rule Change To Adopt the Route QCT Cross Routing Option Comments Due: Federal Register version (83 FR 39143)
34-83765
Aug. 2, 2018
SR-NYSEArca-2018-55
Notice of Filing of Proposed Rule Change To List and Trade Shares of the GraniteShares Gold MiniBAR Trust Comments Due: View Received Comments Federal Register version (83 FR 39138)
34-83767
Aug. 2, 2018
SR-FICC-2018-006
Notice of Filing of Proposed Rule Change To Codify the Processing of Conditional Prepayment Rate Claims in the MBSD Rules and Make Other Changes Comments Due: Exhibit 5 Federal Register version (83 FR 39143)
34-83761
Aug. 1, 2018
SR-OCC-2017-809
Notice of Filing of Amendments No. 1 and 2 to Advance Notice Concerning Enhanced and New Tools for Recovery Scenarios Comments Due: View Received Comments Exhibit 5a , Exhibit 5b Federal Register version (83 FR 38738)
34-83762
Aug. 1, 2018
SR-OCC-2017-810
Notice of Filing of Partial Amendments No. 1, 2, and 3 to Advance Notice Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan Comments Due: View Received Comments Federal Register version (83 FR 38750)
34-83759
Aug. 1, 2018
SR-NYSEArca-2018-54
Notice of Filing of 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: Exhibit 5 Federal Register version (83 FR 38753)
34-83758
Aug. 1, 2018
SR-CboeBYX-2018-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Price Improvement Program Comments Due: Exhibit 5 Federal Register version (83 FR 38757)
