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)
34-83749
July 31, 2018
SR-NYSE-2018-28
Notice of Designation of a Longer Period on Commission Action of Proposed Rule Change To Make Permanent the Retail Liquidity Program Pilot, NYSE Rule 107C, Which Is Set To Expire on December 31, 2018 Comments Due: View Received Comments Federal Register version (83 FR 38393)
34-83745
July 31, 2018
SR-NSCC-2017-805
Notice of Filing of Amendment No. 1 to an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules Comments Due: View Received Comments Exhibit 4 , Exhibit 5a , Exhibit 5b , Commission's Request for Additional Information , Response to the Commission's Request for Additional Information Federal Register version (83 FR 38329)
34-83748
July 31, 2018
SR-NSCC-2017-806
Notice of Filing of Amendment No. 1 to an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Exhibit 4 , Exhibit 5 , Commission's Request for Additional Information , Response to the Commission's Request for Additional Information Federal Register version (83 FR 38375)
34-83751
July 31, 2018
SR-NASDAQ-2018-058
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Lower Fees and Administrative Costs for Distributors of Nasdaq Basic, Nasdaq Last Sale, NLS Plus and the Nasdaq Depth-of-Book Products Through a Consolidated Enterprise License Comments Due: Exhibit 5 Federal Register version (83 FR 38428)
34-83744
July 31, 2018
SR-FICC-2017-805
Notice of Filing of Amendment No. 1 to an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules Comments Due: View Received Comments Exhibit 4 , Exhibit 5a , Exhibit 5b , Commission's Request for Additional Information , Response to the Commission's Request for Additional Information Federal Register version (83 FR 38413)
34-83747
July 31, 2018
SR-FICC-2017-806
Notice of Filing of Amendment No. 1 to an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Exhibit 4 , Exhibit 5 , Commission's Request for Additional Information , Commission's Request for Additional Information Federal Register version (83 FR 38393)
34-83743
July 31, 2018
SR-DTC-2017-803
Notice of Filing of Amendment No. 1 to an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules Comments Due: View Received Comments Exhibit 4 , Exhibit 5a , Exhibit 5b , Commission's Request for Additional Information , Response to the Commission's Request for Additional Information Federal Register version (83 FR 38344)
34-83746
July 31, 2018
SR-DTC-2017-804
Notice of Filing of Amendment No. 1 to an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Exhibit 4 , Exhibit 5 , Commission's Request for Additional Information , Commission's Request for Additional Information Federal Register version (83 FR 38357)
34-83750
July 31, 2018
SR-CboeBZX-2018-010
Notice of Withdrawal of a Proposed Rule Change To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge Mid Cap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF Comments Due: View Received Comments Federal Register version (83 FR 38327)
34-83740
July 30, 2018
SR-NYSE-2018-33
Notice of Filing of Proposed Rule Change To Amend Rule 2 To Remove Requirement That a Registered Broker-Dealer Be a Member of the Financial Industry Regulatory Authority, Inc. or Another National Securities Exchange Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 38195)
34-83739
July 30, 2018
SR-CboeEDGA-2018-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exchange Rule 11.6, Definitions, To Amend the Operation of the Super Aggressive Order Instruction Comments Due: Exhibit 5 Federal Register version (83 FR 38191)
34-83738
July 30, 2018
SR-CboeBYX-2018-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exchange Rule 11.13, Order Execution and Routing, To Amend the Operation of the Super Aggressive Order Instruction Comments Due: Exhibit 5 Federal Register version (83 FR 38187)
34-83737
July 30, 2018
SR-BOX-2018-20
Notice of Withdrawal of Proposed Rule Change To Amend BOX Rule 7300 (Preferenced Orders) To Provide an Additional Allocation Preference to Preferred Market Makers Comments Due: View Received Comments Federal Register version (83 FR 38198)
34-83724
July 27, 2018
SR-OCC-2018-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Flexibly Structured Options Comments Due: Federal Register version (83 FR 37875)
34-83725
July 27, 2018
SR-OCC-2017-020
Notice of Filing of Amendments No. 1 and 2 to Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios Comments Due: View Received Comments Federal Register version (83 FR 37839)
34-83732
July 27, 2018
SR-OCC-2017-021
Notice of Filing of Partial Amendments No. 1 and 2 to Proposed Rule Change Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan Comments Due: Federal Register version (83 FR 37864)
34-83733
July 27, 2018
SR-NYSEArca-2018-25
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 Thereto 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 37831)
34-83731
July 27, 2018
SR-GEMX-2018-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Protocol Definitions That Members Use To Enter Quotes and Orders Comments Due: Exhibit 5 Federal Register version (83 FR 37867)
34-83730
July 27, 2018
SR-MRX-2018-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Definitions of the Protocols That Members Can Use To Enter Quotes and Orders Comments Due: Exhibit 5 Federal Register version (83 FR 37873)
34-83726
July 27, 2018
SR-MIAX-2018-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders Comments Due: Exhibit 5 Federal Register version (83 FR 37849)
34-83729
July 27, 2018
SR-ISE-2018-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Definitions of the Protocols That Members Can Use To Enter Quotes and Orders Comments Due: Exhibit 5 Federal Register version (83 FR 37870)
34-83728
July 27, 2018
SR-BOX-2018-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 37853)
34-83718
July 26, 2018
SR-NYSEAMER-2018-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services in Connection With a Proposed Transaction With the Chicago Stock Exchange, Inc. Exchange and Its Parent, CHX Holdings, Inc. Comments Due: Exhibit 5 Federal Register version (83 FR 37556)
34-83714
July 26, 2018
SR-OCC-2018-803
Notice of No Objection to Advance Notice, as Modified by Amendments No. 1 and 2, Concerning Proposed Changes to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology Comments Due: Federal Register version (83 FR 37570)
34-83715
July 26, 2018
SR-NYSENAT-2018-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates Related to Co-Location Services in Connection With a Proposed Transaction With the Chicago Stock Exchange, Inc. Exchange and Its Parent, CHX Holdings, Inc. Comments Due: Exhibit 5 Federal Register version (83 FR 37552)
34-83716
July 26, 2018
SR-NYSEARCA-2018-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-Location Services in Connection With a Proposed Transaction With the Chicago Stock Exchange, Inc. Exchange and Its Parent, CHX Holdings, Inc. Comments Due: Exhibit 5 Federal Register version (83 FR 37545)
34-83720
July 26, 2018
SR-NYSEArca-2018-43
Notice of Filing of Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF View Received Comments Federal Register version (83 FR 37560)
34-83717
July 26, 2018
SR-NYSE-2018-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Related to Co-Location Services in Connection With a Proposed Transaction With the Chicago Stock Exchange, Inc. Exchange and Its Parent, CHX Holdings, Inc. Comments Due: Exhibit 5 Federal Register version (83 FR 37548)
34-83721
July 26, 2018
SR-NASDAQ-2018-038
Notice of Withdrawal of Proposed Rule Change To Amend Rule 4702(b)(14) To Establish a Price Improvement Only Variation on the Midpoint Extended Life Order Comments Due: View Received Comments Federal Register version (83 FR 37569)
34-83713
July 26, 2018
SR-MSRB-2018-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers Comments Due: Exhibit 5 Federal Register version (83 FR 37538)
34-83722
July 26, 2018
SR-FINRA-2018-023
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities Federal Register version (83 FR 37544)
34-83712
July 26, 2018
SR-DTC-2018-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Clarifying Changes and Updates to the DTC Underwriting Service Guide Comments Due: Exhibit 5 Federal Register version (83 FR 37541)
34-83707
July 25, 2018
SR-NYSEAMER-2018-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 36985)
34-83709
July 25, 2018
SR-NYSENAT-2018-15
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 37028)
34-83708
July 25, 2018
SR-NYSEARCA-2018-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Comments Due: Exhibit 5 Federal Register version (83 FR 36980)
34-83706
July 25, 2018
SR-NYSE-2018-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Related to Colocation Comments Due: Exhibit 5 Federal Register version (83 FR 37033)
34-83704
July 25, 2018
SR-GEMX-2018-24
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 Associated Rules of Nasdaq BX, Inc. Comments Due: Exhibit 5 Federal Register version (83 FR 37012)
34-83702
July 25, 2018
SR-NASDAQ-2018-057
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees and Credits Under Rule 7018(a) Comments Due: Exhibit 5 Federal Register version (83 FR 36989)
34-83705
July 25, 2018
SR-MRX-2018-23
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 Associated Rules of Nasdaq BX, Inc. Comments Due: Exhibit 5 Federal Register version (83 FR 37020)
34-83703
July 25, 2018
SR-ISE-2018-59
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 Associated Rules of Nasdaq BX, Inc. Comments Due: Exhibit 5 Federal Register version (83 FR 36992)
34-83692
July 24, 2018
SR-NYSEArca-2018-04
Notice of Withdrawal of a Proposed Rule Change To Adopt a New NYSE Arca Rule 8.900-E and To List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF Under Proposed NYSE Arca Equities Rule 8.900-E Comments Due: View Received Comments Federal Register version (83 FR 36635)
34-83694
July 24, 2018
SR-NYSEArca-2018-38
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Continued Listing Criteria Applicable to the Indexes Underlying 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 36641)
34-83695
July 24, 2018
SR-NYSEArca-2018-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of Shares of the Columbia Multi-Sector Municipal Income ETF Comments Due: Federal Register version (83 FR 36641)
34-83700
July 24, 2018
SR-BX-2018-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Rule Concerning Handling of No Bid Options and To Clarify the Operation of Chapter V, Section 3, Entitled "Trading Halts" Comments Due: Exhibit 5 Federal Register version (83 FR 36638)
34-83699
July 24, 2018
SR-FINRA-2018-026
Notice of Filing of a Proposed Rule Change To Amend the Arbitrator Payment Rule To Pay Each Arbitrator a $200 Honorarium To Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance Comments Due: View Received Comments Federal Register version (83 FR 36647)
34-83696
July 24, 2018
4-678
Program for Allocation of Regulatory Responsibilities Pursuant to Rule17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL, LLC Comments Due: Federal Register version (83 FR 35682)
34-83687
July 23, 2018
SR-NYSENAT-2018-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates To Adopt Two New Adding Tiers and Regulatory Fees in Connection With Use of the Central Registration Depository Comments Due: Exhibit 5 Federal Register version (83 FR 35696)
34-83679
July 20, 2018
SR-BatsBZX-2017-72
Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, To List and Trade Shares of the Innovator S&P 500 Buffer ETF Series, Innovator S&P 500 Power Buffer ETF Series, and Innovator S&P 500 Ultra Buffer ETF Series Under Rule 14.11(i) Comments Due: Federal Register version (83 FR 35505)
34-83676
July 20, 2018
SR-NYSEArca-2018-04
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a New NYSE Arca Rule 8.900-E and To List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF Under Proposed NYSE Arca Equities Rule 8.900-E Comments Due: View Received Comments Federal Register version (83 FR 35301)
34-83680
July 20, 2018
SR-BX-2018-032
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 35502)
34-83681
July 20, 2018
SR-BX-2018-025
Notice of Filing of Proposed Rule Change To Make Permanent the Pilot Program for the Exchange's Retail Price Improvement Program Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 35516)
34-83682
July 20, 2018
SR-FICC-2018-005
Notice of Filing of Proposed Rule Change To Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules Comments Due: Exhibit 5 Federal Register version (83 FR 35513)
34-83670
July 19, 2018
SR-NASDAQ-2018-056
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7015(b) To Provide for Port Connectivity the FINRA/Nasdaq Trade Reporting Facility Chicago Comments Due: Exhibit 5 Federal Register version (83 FR 35302)
34-83674
July 19, 2018
SR-CboeEDGX-2018-025
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exchange Rule 11.6, Definitions, To Amend the Operation of the Super Aggressive Order Instruction Comments Due: Exhibit 5 Federal Register version (83 FR 35296)
34-83673
July 19, 2018
SR-CboeBZX-2018-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exchange Rule 11.13, Order Execution and Routing, To Amend the Operation of the Super Aggressive Order Instruction Comments Due: Exhibit 5 Federal Register version (83 FR 35291)
34-83672
July 19, 2018
SR-CBOE-2018-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Credit Option Margin Pilot Program Through July 18, 2019 Comments Due: Exhibit 5 Federal Register version (83 FR 35305)
34-83668
July 18, 2018
SR-NYSEAMER-2018-22
Notice of Designation of a Longer Period for Commission Action on 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 35040)
34-83661
July 18, 2018
SR-NYSEArca-2018-02
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E Comments Due: Federal Register version (83 FR 35040)
34-83666
July 18, 2018
SR-NSCC-2018-004
Notice of Filing of a Proposed Rule Change To Terminate the Commission Billing Service and the Commission Billing Limited Membership Comments Due: Exhibit 5 Federal Register version (83 FR 35041)
34-83660
July 18, 2018
SR-ISE-2018-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees To Waive Fees and Rebates for Trades in NQX Options Comments Due: Exhibit 5 Federal Register version (83 FR 35038)
34-83665
July 18, 2018
SR-ICEEU-2018-009
Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS End-of-Day Price Discovery Policy ("Price Discovery Policy") Comments Due: Federal Register version (83 FR 35048)
34-83662
July 18, 2018
SR-ICC-2018-008
Notice of Filing of 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 35033)
34-83667
July 18, 2018
SR-DTC-2018-006
Notice of Filing of Proposed Rule Change To Amend Rule 35 To Provide for Designated Accounts for Use With Designated Collateral Management Service Providers Comments Due: Exhibit 5 Federal Register version (83 FR 35044)
34-83656
July 17, 2018
SR-Phlx-2018-40
Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Extend the Applicability of the Floor Broker Management System and the Snapshot Functionality to Registered Options Traders and Specialists Comments Due: View Received Comments Federal Register version (83 FR 34899)
34-83654
July 17, 2018
SR-NSCC-2018-003
Notice of Filing of and Immediate Effectiveness of a Proposed Rule Change To Clarify and Enhance Rules Related to the CNS Reorganization Processing System and NSCC's Authority To Reveal the Identity of Counterparties in Certain Circumstances Comments Due: Exhibit 5 Federal Register version (83 FR 34901)
34-83653
July 17, 2018
SR-NASDAQ-2018-052
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Nasdaq Options Market LLC ("NOM") Rules Relating to Market Maker Quotations Comments Due: Exhibit 5 Federal Register version (83 FR 34896)
34-83641
July 16, 2018
SR-GEMX-2018-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Improvement Orders Entered Into the Price Improvement Mechanism Comments Due: Exhibit 5 Federal Register version (83 FR 34623)
34-83642
July 16, 2018
SR-BX-2018-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Rules at Chapter VII, Section 6 Related to Market Maker Quotations, Section 14 Related to Lead Market Maker Quotations and Section 15 Related to Directed Market Maker Quotations Comments Due: Exhibit 5 Federal Register version (83 FR 34639)
34-83646
July 16, 2018
SR-MRX-2018-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend MRX Rule 723 Comments Due: Exhibit 5 Federal Register version (83 FR 34632)
34-83639
July 16, 2018
SR-ISE-2018-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees To Add Establish Fees and Rebates for NQX Options and Make Several Clarifying Changes Comments Due: Exhibit 5 Federal Register version (83 FR 34625)
34-83644
July 16, 2018
SR-ISE-2018-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 723 Comments Due: Exhibit 5 Federal Register version (83 FR 34635)
34-83645
July 16, 2018
SR-CboeEDGX-2018-023
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 34619)
34-83643
July 16, 2018
SR-CboeEDGA-2018-012
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 34630)
34-83640
July 16, 2018
SR-CboeBZX-2018-050
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 34621)
34-83638
July 16, 2018
SR-CboeBYX-2018-011
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 34638)
34-83647
July 16, 2018
SR-BOX-2018-14
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt Rules Governing the Trading of Complex Qualified Contingent Cross and Complex Customer Cross Orders Comments Due: Federal Register version (83 FR 34635)
34-83635
July 13, 2018
SR-CHX-2018-004
Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1, 2, and 3 Thereto, in Connection With a Proposed Transaction Involving CHX Holdings, Inc. and the Intercontinental Exchange, Inc. Comments Due: View Received Comments Federal Register version (83 FR 34182)
34-83632
July 13, 2018
SR-NSCC-2017-017
Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Adopt a Recovery and Wind-Down Plan and Related Rules Comments Due: View Received Comments Exhibit 4 , Exhibit 5a , Exhibit 5b Federal Register version (83 FR 34166)
34-83633
July 13, 2018
SR-NSCC-2017-018
Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (83 FR 34227)
34-83634
July 13, 2018
SR-IEX-2018-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Discontinue the Router Basic Routing Option Comments Due: Exhibit 5 Federal Register version (83 FR 34277)
34-83630
July 13, 2018
SR-FICC-2017-021
Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Adopt a Recovery & Wind-down Plan and Related Rules Comments Due: View Received Comments Exhibit 5a , Exhibit 5b Federal Register version (83 FR 34213)
34-83631
July 13, 2018
SR-FICC-2017-022
Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (83 FR 34193)
34-83629
July 13, 2018
SR-DTC-2017-022
Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (83 FR 34246)
34-83628
July 13, 2018
SR-DTC-2017-021
Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules Comments Due: View Received Comments Exhibit 4 , Exhibit 5a , Exhibit 5b Federal Register version (83 FR 34263)
34-83623
July 12, 2018
SR-NASDAQ-2018-051
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Nasdaq Options Market LLC ("NOM") Rules and Adopt a Zero Bid Options Rule Comments Due: Exhibit 5 Federal Register version (83 FR 33966)
34-83618
July 11, 2018
SR-NASDAQ-2018-050
Notice of Filing of 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 33277)
34-83619
July 11, 2018
SR-MIAX-2018-14
Notice of Filing of a Proposed Rule Change by Miami International Securities Exchange, LLC to List and Trade on the Exchange Options on the SPIKESTM Comments Due: Exhibit 3-1 , Exhibit 3-2 , Exhibit 5 Federal Register version (83 FR 32932)
34-83617
July 10, 2018
SR-NYSEAMER-2018-36
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 32930)
34-83616
July 10, 2018
SR-NYSEARCA-2018-51
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 32929)
34-83609
July 9, 2018
SR-IEX-2018-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 16.160 To Remove Form 19b-4(e) Filing Requirement Comments Due: Exhibit 5 Federal Register version (83 FR 32704)
34-83601
July 6, 2018
SR-NYSE-2018-31
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Require Certain Member Organizations To Participate in Scheduled Market-Wide Circuit Breaker Testing Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 32172)
34-83599
July 6, 2018
SR-CboeEDGX-2018-022
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 32168)
34-83600
July 6, 2018
SR-CboeEDGX-2018-024
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 32170)
34-83595
July 5, 2018
SR-NASDAQ-2018-038
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 4702(b)(14) To Establish a Price Improvement Only Variation on the Midpoint Extended Life Order Comments Due: View Received Comments Federal Register version (83 FR 32158)
34-83594
July 5, 2018
SR-CboeBZX-2018-044
Notice of Filing of a Proposed Rule Change To Amend BZX Rule 14.11(c), Index Fund Shares Comments Due: View Received Comments Federal Register version (83 FR 32158)
