34-82756
Feb. 21, 2018
SR-PEARL-2018-02
Notice of Filing of a Proposed Rule Change To Adopt Rules Relating to Trading in Index Options Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 8538)
34-82749
Feb. 21, 2018
SR-ISE-2018-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Gateway Fees Comments Due: Exhibit 5 Federal Register version (83 FR 8554)
34-82747
Feb. 21, 2018
SR-FINRA-2018-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the General Securities Representative (Series 7) Examination Comments Due: Exhibit 3a , Exhibit 3c Federal Register version (83 FR 8524)
34-82748
Feb. 21, 2018
SR-FINRA-2018-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Direct Participation Programs Representative (Series 22) Examination Comments Due: Exhibit 3a , Exhibit 3c Federal Register version (83 FR 8529)
34-82750
Feb. 21, 2018
SR-FINRA-2018-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Investment Banking Representative (Series 79) Examination Comments Due: Federal Register version (83 FR 8526)
34-82751
Feb. 21, 2018
SR-FINRA-2018-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Research Analyst (Series 86 and 87) Examinations Comments Due: Federal Register version (83 FR 8559)
34-82752
Feb. 21, 2018
SR-FINRA-2018-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Operations Professional (Series 99) Examination Comments Due: Federal Register version (83 FR 8536)
34-82754
Feb. 21, 2018
SR-FINRA-2018-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination Comments Due: Federal Register version (83 FR 8533)
34-82740
Feb. 20, 2018
SR-MIAX-2018-04
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 8304)
34-82741
Feb. 20, 2018
SR-CboeEDGX-2018-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify EDGX Rule 21.1 and Related Functionality Applicable to the Exchange's Options Platform Comments Due: Exhibit 5 Federal Register version (83 FR 8306)
34-82737
Feb. 16, 2018
SR-NYSEAMER-2018-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Listing Standard for Warrants in Section 105 of the NYSE American Company Guide Comments Due: Exhibit 5 Federal Register version (83 FR 8132)
34-82731
Feb. 16, 2018
SR-NYSE-2018-06
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 in Connection With the Consummation of a Business Combination Comments Due: Exhibit 5 Federal Register version (83 FR 8140)
34-82728
Feb. 16, 2018
SR-GEMX-2018-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 100 Comments Due: Exhibit 5 Federal Register version (83 FR 8125)
34-82732
Feb. 16, 2018
SR-MRX-2018-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 100 Comments Due: Exhibit 5 Federal Register version (83 FR 8122)
34-82729
Feb. 16, 2018
SR-ICEEU-2018-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a New F&O Concentration Charge Policy Comments Due: Federal Register version (83 FR 8138)
34-82734
Feb. 16, 2018
SR-CboeEDGX-2018-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Short Term Options Series Program To Allow Monday Expirations for SPDR S&P 500 ETF Trust Options on the Exchange's Equity Options Platform Comments Due: Federal Register version (83 FR 8134)
34-82735
Feb. 16, 2018
SR-CboeBZX-2018-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Short Term Options Series Program To Allow Monday Expirations for SPDR S&P 500 ETF Trust Options on the Exchange's Equity Options Platform Comments Due: Federal Register version (83 FR 8128)
34-82733
Feb. 16, 2018
SR-CBOE-2018-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Expand the Short Term Options Series Program To Allow Monday Expirations for SPDR S&P 500 ETF Trust Options Comments Due: Federal Register version (83 FR 8142)
34-82723
Feb. 15, 2018
SR-NASDAQ-2018-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7039 To Modify Pricing for the Nasdaq Last Sale Data Product and To Make Other Related Changes to Nasdaq Rules Comments Due: Exhibit 5 Federal Register version (83 FR 7812)
34-82720
Feb. 15, 2018
SR-PEARL-2018-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (83 FR 7820)
34-82721
Feb. 15, 2018
SR-PEARL-2018-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 517A, Aggregate Risk Manager for EEMs ("ARM-E"), and Rule 517B, Aggregate Risk Manager for Market Makers ("ARM-M") Comments Due: Exhibit 5 Federal Register version (83 FR 7824)
34-82719
Feb. 15, 2018
SR-MIAX-2018-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Expand the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (83 FR 7790)
34-82716
Feb. 14, 2018
SR-NYSEARCA-2018-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Amend Rule 7.35-E(a)(8) Relating to the Auction Reference Price for the Trading Halt Auction for ProShares Short VIX Short-Term Futures ETF Comments Due: Federal Register version (83 FR 7517)
34-82708
Feb. 14, 2018
SR-GEMX-2018-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees Comments Due: Exhibit 5 Federal Register version (83 FR 7522)
34-82713
Feb. 14, 2018
SR-GEMX-2018-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Port Fees Comments Due: Exhibit 5 Federal Register version (83 FR 7519)
34-82709
Feb. 14, 2018
SR-NASDAQ-2018-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (83 FR 7513)
34-82714
Feb. 14, 2018
SR-MRX-2018-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend INET Port Fees at Section II, C To Indicate Those Fees Are Not Prorated Comments Due: Exhibit 5 Federal Register version (83 FR 7521)
34-82712
Feb. 14, 2018
SR-ISE-2018-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's INET Port Fees To Indicate That Those Fees Are Prorated Comments Due: Exhibit 5 Federal Register version (83 FR 7512)
34-82715
Feb. 14, 2018
SR-CboeBZX-2018-011
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Amend Rule 11.23(d)(2)(E) Relating to the Halt Auction Collar for a Halt Auction for REX VolMAXX Short Weekly Futures Strategy ETF Comments Due: Federal Register version (83 FR 7524)
34-82706
Feb. 13, 2018
SR-NYSE-2018-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List for Equity Transactions in Stocks With a Per Share Stock Price of $1.00 or More To Introduce a New Market at-the-Close and Limit at-the-Close Tier 3 Comments Due: Exhibit 5 Federal Register version (83 FR 7282)
34-82698
Feb. 13, 2018
SR-GEMX-2018-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Memorialize Functionality Which Is Designed To Assist Members in the Event That They Lose Communication Comments Due: Exhibit 5 Federal Register version (83 FR 7241)
34-82704
Feb. 13, 2018
SR-BX-2018-008
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (83 FR 7245)
34-82702
Feb. 13, 2018
SR-NASDAQ-2018-008
Notice of Filing of 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 Rules 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 7269)
34-82701
Feb. 13, 2018
SR-MRX-2018-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Memorialize Functionality Designed To Assist Members in the Event That They Lose Communication Comments Due: Exhibit 5 Federal Register version (83 FR 7274)
34-82699
Feb. 13, 2018
SR-ISE-2018-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Memorialize Functionality Designed To Assist Members in the Event that They Lose Communication Comments Due: Exhibit 5 Federal Register version (83 FR 7252)
34-82700
Feb. 13, 2018
SR-ISE-2018-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (83 FR 7248)
34-82705
Feb. 13, 2018
SR-CboeBZX-2018-010
Notice of Filing 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 MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 7256)
34-82697
Feb. 13, 2018
SR-BOX-2018-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (83 FR 10944)
34-82687
Feb. 12, 2018
SR-ICEEU-2018-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the ICE Clear Europe Rules for the Transition of Trading in Certain F&O Contracts Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (83 FR 7090)
34-82692
Feb. 12, 2018
SR-ICEEU-2018-001
Notice Relating to Amendments to the ICE Clear Europe CDS Clearing Stress Testing Policy (the "Stress Testing Policy") Comments Due: Federal Register version (83 FR 7096)
34-82693
Feb. 12, 2018
SR-FINRA-2018-003
Notice of Filing of a Proposed Rule Change Relating to Simplified Arbitration Comments Due: View Received Comments Federal Register version (83 FR 7086)
34-82689
Feb. 12, 2018
SR-CBOE-2018-016
Notice of Filing of a Proposed Rule Change To Amend Rules Related to the Complex Order Book Comments Due: Federal Register version (83 FR 7092)
34-82690
Feb. 12, 2018
SR-BOX-2018-06
Notice of Filing of Proposed Rule Change To Adopt IM-8040-3 to Rule 8040 Comments Due: Exhibit 5 Federal Register version (83 FR 7084)
34-82684
Feb. 9, 2018
SR-NYSEArca-2017-69
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of ProShares QuadPro Funds Under NYSE Arca Rule 8.200-E Comments Due: View Received Comments Federal Register version (83 FR 6914)
34-82676
Feb. 9, 2018
SR-NSCC-2017-807
Notice of No Objection to an Advance Notice to Increase the Authorized Amount Under the Prefunded Liquidity Program Comments Due: Federal Register version (83 FR 6912)
34-82675
Feb. 9, 2018
SR-LCHSA-2018-001
Notice Relating to Self-Referencing Transactions Comments Due: Exhibit 5 Federal Register version (83 FR 6915)
34-82678
Feb. 9, 2018
SR-ICEEU-2018-002
Notice Relating to Amendments to the ICE Clear Europe Limited CDS Procedures, CDS Risk Policy, and CDS Risk Model Description Comments Due: Exhibit 5 Federal Register version (83 FR 6909)
34-82657
Feb. 8, 2018
SR-OCC-2018-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Options Clearing Corporation's Schedule of Fees Comments Due: Federal Register version (83 FR 6651)
34-82661
Feb. 8, 2018
SR-NYSEArca-2018-10
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 6627)
34-82674
Feb. 8, 2018
SR-NSCC-2018-001
Notice of Filing of Proposed Rule Change To Amend the By-Laws and Make Other Changes Comments Due: Exhibit 5a Federal Register version (83 FR 6633)
34-82673
Feb. 8, 2018
SR-MIAX-2018-02
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 6630)
34-82666
Feb. 8, 2018
SR-ISE-2017-106
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Permit the Listing and Trading of NQX Index Options on a Pilot Basis Comments Due: View Received Comments Federal Register version (83 FR 6626)
34-82672
Feb. 8, 2018
SR-FICC-2018-002
Notice of Filing of Proposed Rule Change To Amend the By-Laws and Make Other Changes Comments Due: Exhibit 5a Federal Register version (83 FR 6654)
34-82670
Feb. 8, 2018
SR-NSCC-2017-018
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes To Amend the Loss Allocation Rules and Make Other Changes File Nos.: Comments Due: View Received Comments Federal Register version (83 FR 6626)
34-82670
Feb. 8, 2018
SR-FICC-2017-022
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes To Amend the Loss Allocation Rules and Make Other Changes File Nos.: Comments Due: View Received Comments Federal Register version (83 FR 6626)
34-82669
Feb. 8, 2018
SR-NSCC-2017-017
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes To Adopt a Recovery & Wind-Down Plan and Related Rules File Nos.: Comments Due: View Received Comments Federal Register version (83 FR 6653)
34-82669
Feb. 8, 2018
SR-DTC-2017-021
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes To Adopt a Recovery & Wind-Down Plan and Related Rules File Nos.: Comments Due: View Received Comments Federal Register version (83 FR 6653)
34-82669
Feb. 8, 2018
SR-FICC-2017-021
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes To Adopt a Recovery & Wind-Down Plan and Related Rules File Nos.: Comments Due: View Received Comments Federal Register version (83 FR 6653)
34-82671
Feb. 8, 2018
SR-DTC-2018-001
Notice of Filing of Proposed Rule Change To Amend the By-Laws Comments Due: Exhibit 5 Federal Register version (83 FR 6639)
34-82660
Feb. 8, 2018
SR-CboeBZX-2018-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (83 FR 6664)
34-82664
Feb. 8, 2018
SR-CBOE-2018-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (83 FR 6662)
34-82665
Feb. 8, 2018
SR-C2-2018-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (83 FR 6650)
34-82649
Feb. 7, 2018
SR-Phlx-2018-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Cross-Reference to Rule 124(d) From Rule 1092 Comments Due: Exhibit 5 Federal Register version (83 FR 6283)
34-82653
Feb. 7, 2018
SR-Phlx-2018-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule To Exclude NDX and NDXP Options From the Strategy Caps and From Special Pricing for FLEX Transactions Comments Due: Exhibit 5 Federal Register version (83 FR 6299)
34-82645
Feb. 7, 2018
SR-CboeEDGX-2018-004
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 6302)
34-82652
Feb. 7, 2018
SR-CboeBZX-2018-009
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 6288)
34-82646
Feb. 7, 2018
SR-CBOE-2018-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Obsolete Rules Comments Due: Exhibit 5 Federal Register version (83 FR 6294)
34-82648
Feb. 7, 2018
SR-CBOE-2018-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Concerning the Floor Broker SPX Surcharge Comments Due: Exhibit 5 Federal Register version (83 FR 6280)
34-82650
Feb. 7, 2018
SR-CBOE-2018-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees Comments Due: Exhibit 5 Federal Register version (83 FR 6290)
34-82647
Feb. 7, 2018
SR-C2-2018-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees Comments Due: Exhibit 5 Federal Register version (83 FR 6275)
34-82654
Feb. 7, 2018
SR-BOX-2018-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Section VI. (Technology Fees) of the BOX Fee Schedule Comments Due: Exhibit 5 , s Proposal to Amend the Fee Schedule on Box Market LLC Federal Register version (83 FR 6284)
34-82655
Feb. 7, 2018
SR-BOX-2018-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Amend the BOX Volume Rebate Comments Due: Exhibit 5 Federal Register version (83 FR 6281)
34-82637
Feb. 6, 2018
SR-NYSEAMER-2018-03
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Certain of the Governing Documents of Its Intermediate Parent Companies Comments Due: Exhibit 5a Federal Register version (83 FR 6055)
34-82635
Feb. 6, 2018
SR-NYSENAT-2018-03
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Certain of the Governing Documents of Its Intermediate Parent Companies Comments Due: Exhibit 5a Federal Register version (83 FR 6057)
34-82638
Feb. 6, 2018
SR-NYSEArca-2018-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain of the Governing/Documents of Its Intermediate Parent Companies Comments Due: Exhibit 5a Federal Register version (83 FR 6072)
34-82640
Feb. 6, 2018
SR-NYSE-2018-07
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Certain of the Governing Documents of Its Intermediate Parent Companies Comments Due: Exhibit 5 Federal Register version (83 FR 6076)
34-82644
Feb. 6, 2018
SR-ISE-2018-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees To Modify Complex Order Fees and Rebates Comments Due: Exhibit 5 Federal Register version (83 FR 6069)
34-82636
Feb. 6, 2018
SR-IEX-2018-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt an IEX Enhanced Market Maker ("IEMM") Program Comments Due: Exhibit 5 Federal Register version (83 FR 6059)
34-82641
Feb. 6, 2018
SR-ICC-2018-002
Notice Relating to ICC's End-of-Day Price Discovery Policies and Procedures Comments Due: Federal Register version (83 FR 6078)
34-82642
Feb. 6, 2018
SR-CboeBZX-2018-007
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 6074)
34-82643
Feb. 6, 2018
SR-CboeBZX-2017-012
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the LHA Market State Tactical U.S. Equity ETF, a Series of the ETF Series Solutions, Under Rule 14.11(i), Managed Fund Shares Comments Due: View Received Comments Federal Register version (83 FR 6071)
34-82631
Feb. 5, 2018
SR-NSCC-2017-808
Notice of Filing of Advance Notice, as Modified by Amendment No. 1, to Enhance the Calculation of the Volatility Component of the Clearing Fund Formula that Utilizes a Parametric Value-at-Risk Model and Eliminate the Market Maker Domination Charge Comments Due: Exhibit 5 Federal Register version (83 FR 5658)
34-82628
Feb. 5, 2018
SR-BX-2018-006
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules 7030, 7034, and 7051 Comments Due: Exhibit 5 Federal Register version (83 FR 5818)
34-82629
Feb. 5, 2018
SR-NASDAQ-2017-074
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt the Midpoint Extended Life Order Comments Due: View Received Comments Federal Register version (83 FR 5822)
34-82625
Feb. 2, 2018
SR-NYSEArca-2018-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Certain Changes Regarding the U.S. Equity Cumulative Dividends Fund-Series 2027 and the U.S. Equity Ex-Dividend Fund-Series 2027 Comments Due: Federal Register version (83 FR 5671)
34-82627
Feb. 2, 2018
SR-NYSE-2017-30
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, To Amend Section 102.01B of the NYSE Listed Company Manual To Provide for the Listing of Companies That List Without a Prior Exchange Act Registration and That Are Not Listing in Connection With an Underwritten Initial Public Offering and Related Changes to Rules 15, 104, and 123D Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 5650)
34-82623
Feb. 2, 2018
SR-IEX-2018-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Default Handling of Market Orders Entered With a Time-in-Force of DAY Comments Due: Exhibit 5 Federal Register version (83 FR 5655)
34-82622
Feb. 2, 2018
SR-CBOE-2018-008
Notice of Filing of a Proposed Rule Change Relating to Flexibly Structured Options Comments Due: Exhibit 5 Federal Register version (83 FR 5668)
34-82618
Feb. 1, 2018
SR-NYSEAMER-2018-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Users With Access to Two Additional Third Party Systems and Connectivity to One Additional Third Party Data Feed Comments Due: Exhibit 5 Federal Register version (83 FR 5494)
34-82617
Feb. 1, 2018
SR-NYSEARCA-2018-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Users With Access to Two Additional Third Party Systems and Connectivity to One Additional Third Party Data Feed Comments Due: Exhibit 5 Federal Register version (83 FR 5500)
34-82613
Feb. 1, 2018
SR-NYSE-2017-36
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 New Equity Trading Rules for Trading UTP Securities on Pillar, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing Comments Due: View Received Comments Federal Register version (83 FR 5499)
34-82620
Feb. 1, 2018
SR-NYSE-2018-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Users With Access to Two Additional Third Party Systems and Connectivity to One Additional Third Party Data Feed Comments Due: Exhibit 5 Federal Register version (83 FR 5488)
34-82616
Feb. 1, 2018
SR-MSRB-2018-01
Notice of Filing of a Proposed Rule Change Consisting of Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors Comments Due: View Received Comments Exhibit 2 , Exhibit 5 Federal Register version (83 FR 5474)
34-82615
Feb. 1, 2018
SR-CboeEDGX-2018-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1, Definitions, To Modify a Time in Force Applicable to the Exchange's Equity Options Platform Comments Due: Exhibit 5 Federal Register version (83 FR 5493)
34-82614
Feb. 1, 2018
SR-CboeBZX-2018-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1, Definitions, To Adopt a New Time in Force and To Modify an Existing Time in Force Applicable to the Exchange's Equity Options Platform Comments Due: Exhibit 5 Federal Register version (83 FR 5469)
34-82609
Jan. 31, 2018
SR-Phlx-2018-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Execution Protections Rule Comments Due: Exhibit 5 Federal Register version (83 FR 5287)
34-82608
Jan. 31, 2018
SR-NYSEArca-2018-08
Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 1.1(ll) To Establish How the Official Closing Price Would Be Determined for an Exchange-Listed Security That Is a Derivative Securities Product if the Exchange Does Not Conduct a Closing Auction or if a Closing Auction Trade Is Less Than a Round Lot Comments Due: Exhibit 5 Federal Register version (83 FR 5284)
34-82607
Jan. 31, 2018
SR-BOX-2017-36
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 7600(i) To Allow Split-Price Transactions on the Trading Floor Comments Due: View Received Comments Federal Register version (83 FR 5286)
34-82601
Jan. 30, 2018
SR-Phlx-2018-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Consolidated Audit Trail Compliance Rules Comments Due: Exhibit 5 Federal Register version (83 FR 4949)
34-82596
Jan. 30, 2018
SR-OCC-2018-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise The Options Clearing Corporation's Schedule of Fees Comments Due: View Received Comments Exhibit 5 , Exhibit 5 Federal Register version (83 FR 4944)
