34-83317
May 24, 2018
SR-BOX-2018-17
Notice of Filing of Proposed Rule Change To Amend Rules 7150 and 7245 Comments Due: Exhibit 5 Federal Register version (83 FR 25074)
34-83318
May 24, 2018
SR-BOX-2018-18
Notice of Filing of Proposed Rule Change To Adopt IM-7130-1 to Rule 7130 Comments Due: Exhibit 5 Federal Register version (83 FR 25079)
34-83305
May 23, 2018
SR-OCC-2017-811
Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Margin Methodology Comments Due: View Received Comments Federal Register version (83 FR 24536)
34-83306
May 23, 2018
SR-ISE-2018-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Related to Complex Orders Comments Due: Exhibit 5 Federal Register version (83 FR 24543)
34-83311
May 23, 2018
SR-ICEEU-2018-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the Clearing Rules To Implement the European Union General Data Protection Regulation Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (83 FR 24834)
34-83309
May 23, 2018
SR-BOX-2018-19
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 Amend Drop Copy Port Fees Comments Due: Exhibit 5 Federal Register version (83 FR 24533)
34-83310
May 23, 2018
SR-BOX-2018-16
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 Amend SAIL Port Fees Comments Due: Exhibit 5 Federal Register version (83 FR 24832)
34-83303
May 22, 2018
SR-CHX-2018-004
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, in Connection With a Proposed Transaction Involving CHX Holdings, Inc. and the Intercontinental Exchange, Inc. Comments Due: View Received Comments Exhibit 5a , Exhibit 5b , Exhibit 5c , Exhibit 5d , Exhibit 5e , Exhibit 5f , Exhibit 5g , Exhibit 5h , Exhibit 5i , Exhibit 5j , Exhibit 5k , Exhibit 5l , Exhibit 5m , Exhibit 5n Federal Register version (83 FR 24517)
34-83302
May 22, 2018
SR-CboeBZX-2018-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of the iShares Gold Strategy ETF, a Series of the iShares U.S. ETF Trust Comments Due: Federal Register version (83 FR 24541)
34-83295
May 21, 2018
SR-Phlx-2018-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Sections I and II of the Pricing Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 24364)
34-83292
May 21, 2018
SR-CBOE-2018-040
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.3, Criteria for Underlying Securities Comments Due: Federal Register version (83 FR 24372)
34-83290
May 18, 2018
SR-FINRA-2018-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Definition of "Agency Debt Security" Comments Due: Exhibit 5 Federal Register version (83 FR 24143)
34-83273
May 17, 2018
SR-NYSEAMER-2018-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.4E To Reflect the Standard Settlement Cycle of Two Business Days After the Trade Date Comments Due: Exhibit 5 Federal Register version (83 FR 23948)
34-83271
May 17, 2018
SR-BatsBZX-2017-72
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 Thereto, To List and Trade Shares of the Innovator S&P 500 Buffer ETF Series, Innovator S&P 500 Power Buffer ETF Series, Innovator S&P 500 Enhance and Buffer ETF Series, and Innovator S&P 500 Ultra ETF Series Under Rule 14.11(i) Comments Due: Federal Register version (83 FR 23978)
34-83289
May 17, 2018
SR-NYSENAT-2018-02
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended by Amendment No. 1, To Support the Re-Launch of NYSE National, Inc. on the Pillar Trading Platform Comments Due: View Received Comments Exhibit 5a , Exhibit 5b , Exhibit 5c Federal Register version (83 FR 23968)
34-83268
May 17, 2018
SR-NYSEArca-2018-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges Comments Due: Exhibit 5 Federal Register version (83 FR 23983)
34-83270
May 17, 2018
SR-GEMX-2018-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .03 to Rule 804 To Enhance Anti-Internalization Functionality Comments Due: Exhibit 5 Federal Register version (83 FR 23964)
34-83279
May 17, 2018
SR-GEMX-2018-09
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce the ATR Protection for Orders That Are Routed to Away Markets Comments Due: View Received Comments Federal Register version (83 FR 23952)
34-83272
May 17, 2018
SR-NASDAQ-2018-038
Notice of Filing 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 Exhibit 5 Federal Register version (83 FR 23978)
34-83274
May 17, 2018
SR-MRX-2018-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .03 to Rule 804 To Enhance Anti-Internalization Functionality Comments Due: Exhibit 5 Federal Register version (83 FR 23956)
34-83280
May 17, 2018
SR-MRX-2018-08
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce the ATR Protection for Orders That Are Routed to Away Markets Comments Due: View Received Comments Federal Register version (83 FR 23981)
34-83269
May 17, 2018
SR-ISE-2018-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .03 to Rule 804 To Enhance Anti-Internalization Functionality Comments Due: Exhibit 5 Federal Register version (83 FR 23950)
34-83278
May 17, 2018
SR-ISE-2018-16
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce the ATR Protection for Orders That Are Routed to Away Markets Comments Due: View Received Comments Federal Register version (83 FR 23966)
34-83275
May 17, 2018
SR-IEX-2018-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.410(a) To Update the Market Data Source That the Exchange Will Use To Determine the Top of Book Quotation for NYSE National in Anticipation of Its Planned Re-Launch Comments Due: Exhibit 5 Federal Register version (83 FR 23954)
34-83257
May 16, 2018
SR-ISE-2018-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchanges Schedule of Fees Comments Due: Exhibit 5 Federal Register version (83 FR 23752)
34-83256
May 16, 2018
SR-CboeEDGX-2018-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.12 To Add References to Cboe Options and C2 Comments Due: Federal Register version (83 FR 23755)
34-83255
May 16, 2018
SR-CboeEDGA-2018-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.12 To Add References to Cboe Options and C2 Comments Due: Federal Register version (83 FR 23750)
34-83254
May 16, 2018
SR-CboeBYX-2018-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.12 To Add References to Cboe Options and C2 Comments Due: Federal Register version (83 FR 23757)
34-83248
May 15, 2018
SR-NYSEArca-2018-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proposed Operation of the Perth Mint Physical Gold ETF Trust Comments Due: Federal Register version (83 FR 23494)
34-83237
May 15, 2018
SR-GEMX-2018-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material to Rule 706 To Harmonize Its Sponsored Access Rules With Those of Its Affiliates Comments Due: Exhibit 5 Federal Register version (83 FR 23509)
34-83239
May 15, 2018
SR-MRX-2018-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material to Rule 706 To Harmonize Its Sponsored Access Rules With Those of Its Affiliates Comments Due: Exhibit 5 Federal Register version (83 FR 23498)
34-83238
May 15, 2018
SR-ISE-2018-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material to Rule 706 To Harmonize Its Sponsored Access Rules With Those of Its Affiliates Comments Due: Exhibit 5 Federal Register version (83 FR 23517)
34-83240
May 15, 2018
SR-CboeEDGX-2018-014
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 23515)
34-83247
May 15, 2018
SR-CboeBZX-2018-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.12 To Add References to Cboe Options and C2 Comments Due: Federal Register version (83 FR 23513)
34-83241
May 15, 2018
SR-CBOE-2018-039
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Its Fees Schedule in Connection With the Exchange's Planned Migration of Standard Third-Friday Options on the S&P 500 Index to the Hybrid Trading System From the Hybrid 3.0 System Comments Due: Exhibit 5 Federal Register version (83 FR 23503)
34-83244
May 15, 2018
SR-CBOE-2018-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Its PULSe Workstation Comments Due: Exhibit 5 Federal Register version (83 FR 23497)
34-83242
May 15, 2018
SR-C2-2018-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Its PULSe Workstation Comments Due: Exhibit 5 Federal Register version (83 FR 23521)
34-83230
May 14, 2018
SR-NYSE-2018-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List Comments Due: Exhibit 5 Federal Register version (83 FR 23313)
34-83224
May 14, 2018
SR-BX-2018-018
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7018(a) To Establish a New Fee for Orders With Midpoint Pegging That Execute at a Price Better Than the Midpoint of the NBBO Comments Due: Exhibit 5 Federal Register version (83 FR 23312)
34-83229
May 14, 2018
SR-BX-2018-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Order Spread Protection and Reorganize Rule Chapter VI, Section 18 Entitled, "Order Price Protections" Comments Due: Exhibit 5 Federal Register version (83 FR 23302)
34-83228
May 14, 2018
SR-NASDAQ-2018-037
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Order Spread Protection Comments Due: Exhibit 5 Federal Register version (83 FR 23318)
34-83227
May 14, 2018
SR-FINRA-2018-019
Notice of Filing of a Proposed Rule Change Relating To Create a Fee and Honorarium for Late Cancellation of a Prehearing Conference Comments Due: View Received Comments Federal Register version (83 FR 23306)
34-83226
May 14, 2018
SR-CBOE-2018-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Silexx Trading Platform Fees Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 23310)
34-83225
May 14, 2018
SR-C2-2018-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.11., Regarding the Opening Process for Index Options Comments Due: Federal Register version (83 FR 23320)
34-83219
May 11, 2018
SR-NYSEAMER-2018-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Users With Connectivity to Three Additional Third Party Data Feeds and To Change the NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to These Co-Location Services Comments Due: Exhibit 5 Federal Register version (83 FR 23009)
34-83218
May 11, 2018
SR-NYSEARCA-2018-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Users With Connectivity to Three Additional Third Party Data Feeds and Change the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to These Co-location Services Comments Due: Exhibit 5 Federal Register version (83 FR 22999)
34-83221
May 11, 2018
SR-NYSE-2018-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Users With Connectivity to Three Additional Third Party Data Feeds and Change Its Price List Related to These Co-Location Services Comments Due: Exhibit 5 Federal Register version (83 FR 23014)
34-83217
May 11, 2018
SR-IEX-2018-06
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Establish a New Optional Listing Category on the Exchange, "LTSE Listings on IEX" Comments Due: View Received Comments Federal Register version (83 FR 22998)
34-83223
May 11, 2018
SR-FICC-2018-801
Notice of Filing of Amendment No. 1 and Notice of No Objection to Advance Notice Filing, as Modified by Amendment No. 1, to Implement Changes to the Method of Calculating Netting Members' Margin in the Government Securities Division Rulebook Comments Due: View Received Comments Federal Register version (83 FR 23020)
34-83222
May 11, 2018
SR-FICC-2018-004
Notice of Filing of Proposed Rule Change To Introduce a Floor to the Calculation of the Fails Charges and Make Other Changes Comments Due: Exhibit 5 Federal Register version (83 FR 23032)
34-83220
May 11, 2018
SR-CBOE-2018-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Marketing Fee Program With Respect to the Russell 2000 Index Options Comments Due: Exhibit 5 Federal Register version (83 FR 23007)
34-83214
May 11, 2018
SR-C2-2018-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules in Connection With the Migration of Cboe C2 to Cboe EDGX Options Technology Comments Due: Exhibit 3a , Exhibit 3b , Exhibit 3c , Exhibit 5 Federal Register version (83 FR 22796)
34-83207
May 10, 2018
SR-MSRB-2018-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Language of Certain Administrative Rules To Continue To Help Ensure That They Reflect MSRB Practices and Improve Consistency Among the Rules Comments Due: Exhibit 5 Federal Register version (83 FR 22726)
34-83206
May 10, 2018
SR-CboeBZX-2018-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Under BZX Rule 14.11(c)(4) Shares of the iShares Long-Term National Muni Bond ETF of iShares Trust Comments Due: Federal Register version (83 FR 22722)
34-83210
May 10, 2018
SR-CboeBZX-2018-030
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 22728)
34-83211
May 10, 2018
SR-CboeBYX-2018-004
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 22730)
34-83208
May 10, 2018
4-536
Program for Allocation of Regulatory Responsibilities Pursuant To Rule 17d-2; 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., Cboe Exchange, Inc., and Cboe C2 Exchange, Inc. Comments Due: Federal Register version (83 FR 22732)
34-83203
May 9, 2018
SR-NYSEAMER-2018-20
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 22558)
34-83194
May 9, 2018
SR-Phlx-2018-34
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reorganize and Amend the Exchange's Pricing Schedule at Section VII, B, Entitled "Port Fees" Comments Due: Exhibit 5 Federal Register version (83 FR 22555)
34-83195
May 9, 2018
SR-Phlx-2018-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Zero-Bid Option Series Comments Due: Exhibit 5 Federal Register version (83 FR 22543)
34-83196
May 9, 2018
SR-Phlx-2018-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Memorialize Its Order and Execution Information Into Phlx Rule 1070 Comments Due: Exhibit 5 Federal Register version (83 FR 22572)
34-83202
May 9, 2018
SR-NYSEArca-2018-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (83 FR 22537)
34-83192
May 9, 2018
SR-BX-2018-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reorganize and Amend Chapter XV, Section 3, entitled BX Options Market-Ports and Other Services Comments Due: Exhibit 5 Federal Register version (83 FR 22563)
34-83199
May 9, 2018
SR-BX-2018-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Memorialize Its Order and Execution Information Into Chapter VI, Section 19, Entitled Data Feeds Comments Due: Exhibit 5 Federal Register version (83 FR 22552)
34-83193
May 9, 2018
SR-NASDAQ-2018-036
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reorganize and Amend The Nasdaq Options Market LLC Chapter XV, Section 3, Entitled "Nasdaq Options Market-Ports and Other Services Comments Due: Exhibit 5 Federal Register version (83 FR 22539)
34-83198
May 9, 2018
SR-NASDAQ-2018-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Memorialize Order and Execution Available to Participants Into Chapter VI, Section 19, Entitled Data Feeds Comments Due: Exhibit 5 Federal Register version (83 FR 22570)
34-83200
May 9, 2018
SR-CboeBZX-2018-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Certain Routing Fees Related to its Equity Options Platform Comments Due: Exhibit 5 Federal Register version (83 FR 22565)
34-83201
May 9, 2018
SR-C2-2018-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule, Including Connectivity Fees, in Connection with its Technology Migration Comments Due: Exhibit 5 Federal Register version (83 FR 22546)
34-83197
May 9, 2018
SR-BOX-2018-15
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 Amend Connectivity Fees and Establish Port Fees Comments Due: Exhibit 5 Federal Register version (83 FR 22567)
34-83188
May 8, 2018
SR-PEARL-2018-12
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 22300)
34-83187
May 8, 2018
SR-CboeBZX-2018-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Continue Listing and Trading Shares of the Cambria Sovereign Bond ETF Comments Due: Federal Register version (83 FR 22303)
34-83181
May 7, 2018
SR-FINRA-2018-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Statutory Disqualification Application Fees Comments Due: Exhibit 5 Federal Register version (83 FR 22107)
34-83174
May 4, 2018
SR-NYSEArca-2018-15
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Continue Listing and Trading Shares of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (83 FR 21794)
34-83175
May 4, 2018
SR-CBOE-2018-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options Pilot Program Comments Due: Federal Register version (83 FR 21808)
34-83159
May 3, 2018
SR-NYSEAMER-2018-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc. Comments Due: Exhibit 5a Federal Register version (83 FR 20904)
34-83161
May 3, 2018
SR-NYSENAT-2018-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc. Comments Due: Exhibit 5a Federal Register version (83 FR 20901)
34-83160
May 3, 2018
SR-NYSEArca-2018-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc. Comments Due: Exhibit 5a Federal Register version (83 FR 20899)
34-83158
May 3, 2018
SR-NYSE-2018-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc. Comments Due: Exhibit 5a Federal Register version (83 FR 20873)
34-83165
May 3, 2018
SR-CBOE-2018-038
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew the Nonstandard Expirations Pilot Program Comments Due: Federal Register version (83 FR 21316)
34-83166
May 3, 2018
SR-CBOE-2018-036
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of the SPXPM Pilot Program Comments Due: Federal Register version (83 FR 21324)
34-83163
May 3, 2018
SR-BOX-2018-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Price Protections for Complex Orders Comments Due: Exhibit 5 Federal Register version (83 FR 21320)
34-83156
May 2, 2018
SR-ISE-2018-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rules 412, Position Limits, and 414, Exercise Limits Comments Due: Exhibit 5 Federal Register version (83 FR 20875)
34-83154
May 2, 2018
SR-FINRA-2018-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions Comments Due: Federal Register version (83 FR 20906)
34-83155
May 2, 2018
SR-FINRA-2018-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 Comments Due: View Received Comments Federal Register version (83 FR 20889)
34-83153
May 2, 2018
SR-FICC-2018-003
Notice of Filing of Proposed Rule Change To Amend the Fee Structure of the Government Securities Division Rulebook Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 20882)
34-83152
May 2, 2018
SR-CboeBZX-2018-018
Notice of Filing of 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 20892)
34-83143
May 1, 2018
SR-CHX-2018-001
Notice of Designation of a Longer Period on Commission Action on a Proposed Rule Change To Adopt the Route QCT Cross Routing Option Comments Due: Federal Register version (83 FR 20123)
34-83141
May 1, 2018
SR-Phlx-2018-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Market Order Spread Protection Comments Due: Exhibit 5 Federal Register version (83 FR 20123)
34-83145
May 1, 2018
SR-NYSE-2018-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Non-Substantive, Clarifying Change To Footnote 10 of Its Price List Comments Due: Exhibit 5 Federal Register version (83 FR 20110)
34-83142
May 1, 2018
SR-NASDAQ-2018-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Exchange-Traded Managed Fund Shares of the Gabelli Pet Parent Fund Under Nasdaq Rule 5745 Comments Due: Federal Register version (83 FR 20111)
34-83144
May 1, 2018
SR-ISE-2018-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Pricing for P.M. Settled Options on Broad-Based Indexes With Nonstandard Expiration Dates Comments Due: Exhibit 5 Federal Register version (83 FR 20107)
34-83147
May 1, 2018
SR-IEX-2018-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify its Fee Schedule To Charge a More Deterministic Fee of $0.0003 Per Share for Executions at or Above $1.00 That Result From Removing Liquidity With an Order That is Executable at the Far Side of the NBBO Comments Due: Exhibit 5 Federal Register version (83 FR 20118)
34-83146
May 1, 2018
SR-CboeBZX-2018-029
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow the Horizons Cadence Hedged U.S. Dividend Yield ETF, a Series of the Horizons ETF Trust I, To Hold Listed Options Contracts in a Manner That Does Not Comply With Rule 14.11(i), Managed Fund Shares Comments Due: Federal Register version (83 FR 20103)
34-83134
April 30, 2018
SR-NYSE-2018-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Comments Due: Exhibit 5 Federal Register version (83 FR 19850)
34-83132
April 30, 2018
SR-NASDAQ-2018-031
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4702(b)(5), Rule 4703(d), Rule 4752(d)(2)(B), and Rule 4754(b)(2)(B) Comments Due: Exhibit 5 Federal Register version (83 FR 19847)
34-83129
April 30, 2018
SR-FINRA-2018-015
Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6433 To Adopt the OTC Quotation Tier Pilot as Permanent Comments Due: View Received Comments Exhibit 3a , Exhibit 3b , Exhibit 3c , Exhibit 5 Federal Register version (83 FR 20131)
34-83122
April 27, 2018
SR-NYSEArca-2018-25
Notice of Filing of Proposed Rule Change Regarding the Natixis Loomis Sayles Short Duration Income ETF Comments Due: View Received Comments Federal Register version (83 FR 19578)
34-83125
April 27, 2018
SR-NASDAQ-2017-088
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Nasdaq Rule 4703(a) To Allow Members To Designate an Order with a RTFY or SCAN Routing Order Attribute To Activate at 7:00 a.m. ET Comments Due: View Received Comments Federal Register version (83 FR 19586)
34-83113
April 26, 2018
SR-NYSE-2018-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Transaction Fees In Connection with the Exchange's Trading of UTP Securities on Pillar Comments Due: Exhibit 5 Federal Register version (83 FR 19376)
34-83117
April 26, 2018
SR-NYSE-2018-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.11 of the Exchange's Listed Company Manual Concerning Fees Applicable to Acquisition Companies for Shares Issued Contingent on the Consummation of a Business Combination Comments Due: Exhibit 5 Federal Register version (83 FR 19382)
