34-100235
May 28, 2024
SR-NYSEARCA-2024-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for the NYSE Arca Aggregated Lite Data Feed Comments Due: Exhibit 5
34-100233
May 28, 2024
SR-NYSEARCA-2024-44
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of the Grayscale Ethereum Mini Trust View Received Comments
34-100232
May 28, 2024
SR-NYSE-2024-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Proprietary Market Data Fee Schedule Comments Due: Exhibit 5
34-100234
May 28, 2024
Notice of Withdrawal of a Proposed Rule Change to List and Trade Shares of the Hashdex Nasdaq Ethereum ETF under Nasdaq Rule 5711(i) (Trust Units)
34-100229
May 28, 2024
SR-NYSEAMER-2024-31
Notice of Filing and Immediate Effectiveness of Proposed Change to Establish Fees for the NYSE American Aggregated Lite Data Feed Comments Due: Exhibit 5
34-100225
May 28, 2024
SR-NYSE-2024-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for the NYSE Aggregated Lite Data Feed Comments Due: Exhibit 5
34-100223
May 23, 2024
SR-ISE-2024-21
Notice of Filing of Proposed Rule Change to Permit the Listing of Two Monday Expirations for Options on GLD, SLV, TLT, USO, and UNG Comments Due: View Received Comments Exhibit 5
34-100219
May 22, 2024
SR-CboeBZX-2023-087
Notice of Filing of Amendment No. 1 to a Proposed Rule Change to List and Trade Shares of the Invesco Galaxy Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares View Received Comments
34-100219
May 22, 2024
SR-CboeBZX-2023-087
Notice of Filing of Amendment No. 1 to a Proposed Rule Change to List and Trade Shares of the Invesco Galaxy Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
34-100218
May 22, 2024
SR-CboeBZX-2024-018
Notice of Filing of Amendment No. 1 to a Proposed Rule Change Relating to List and Trade Shares of the Franklin Ethereum ETF, a Series of the Franklin Ethereum Trust, Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares View Received Comments
34-100217
May 22, 2024
SR-NYSEARCA-2023-70
Notice of Filing of Amendment No. 2 to a Proposed Rule Change to List and Trade Shares of the Grayscale Ethereum Trust View Received Comments
34-100212
May 22, 2024
SR-NASDAQ-2023-045
Notice of Filing of Amendment No. 2 to Proposed Rule Change to List and Trade Shares of the iShares Ethereum Trust Under Nasdaq Rule 5711(d) (Commodity-Based Trust Shares) View Received Comments
34-100220
May 22, 2024
SR-NYSE-2024-18
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Section 102.06 of the NYSE Listed Company Manual to Provide that a Special Purpose Acquisition Company Can Remain Listed Until Forty-Two Months from its Origin Comments Due: Rebuttal comments View Received Comments
34-100216
May 22, 2024
SR-CboeBZX-2023-070
Notice of Filing of Amendment No. 2 to a Proposed Rule Change to List and Trade Shares of the ARK 21Shares Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares View Received Comments
34-100213
May 22, 2024
SR-NYSEARCA-2024-31
Notice of Filing of Amendment No. 1 to a Proposed Rule Change to List and Trade Shares of the Bitwise Ethereum ETF View Received Comments
34-100215
May 22, 2024
SR-CboeBZX-2023-095
Notice of Filing of Amendment No. 2 to a Proposed Rule Change to List and Trade Shares of the Fidelity Ethereum Fund Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares View Received Comments
34-100214
May 22, 2024
SR-CboeBZX-2023-069
Notice of Filing of Amendment No. 2 to a Proposed Rule Change to List and Trade Shares of the VanEck Ethereum Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares View Received Comments
34-100211
May 22, 2024
SR-BX-2024-016
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an OTTO Protocol Comments Due: Exhibit 5
34-100210
May 22, 2024
SR-GEMX-2024-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Cabinet Proximity Option Fee to Establish a Reservation Fee for Cabinets with Power Densities Greater Than 10 kW Comments Due: View Received Comments Exhibit 5
34-100209
May 22, 2024
SR-ISE-2024-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Cabinet Proximity Option Fee to Establish a Reservation Fee for Cabinets with Power Densities Greater Than 10 kW Comments Due: View Received Comments Exhibit 5
34-100208
May 22, 2024
SR-NASDAQ-2024-019
Notice of Filing of Proposed Rule Change to Rules 5605, 5615 and 5810 to Clarify and Modify Phase-In Schedules for Certain Corporate Governance Requirements and Clarify Applicability of Certain Cure Periods Comments Due: View Received Comments Exhibit 5
34-100205
May 21, 2024
SR-LTSE-2024-03
Notice of Filing of a Proposed Rule Change to Amend its Trading Rules in Connection with its Transition to a New Trading Platform Exhibit 5
34-100204
May 21, 2024
SR-FINRA-2024-008
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of the Document Production Lists View Received Comments Exhibit 5
34-100203
May 21, 2024
SR-CboeBZX-2024-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13 to Describe the Manner in Which the Exchange Processes Executions in Securities Priced Below $1.00 Received from Away Trading Centers Priced in Fractional Pennies Comments Due: Exhibit 5
34-100200
May 21, 2024
SR-MRX-2024-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Cabinet Proximity Option Fee to Establish a Reservation Fee for Cabinets with Power Densities Greater Than 10 kW Comments Due: View Received Comments Exhibit 5
34-100199
May 21, 2024
SR-CboeEDGA-2024-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.11 to Describe the Manner in Which the Exchange Processes Executions in Securities Priced Below $1.00 Received from Away Trading Centers Priced in Fractional Pennies Comments Due: Exhibit 5
34-100198
May 21, 2024
SR-CboeEDGX-2024-025
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.11 to Describe the Manner in Which the Exchange Processes Executions in Securities Priced Below $1.00 Received from Away Trading Centers Priced in Fractional Pennies Comments Due: Exhibit 5
34-100197
May 21, 2024
SR-Phlx-2024-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Cabinet Proximity Option Fee to Establish a Reservation Fee for Cabinets with Power Densities Greater Than 10 kW Comments Due: View Received Comments Exhibit 5
34-100196
May 21, 2024
SR-NASDAQ-2024-022
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Cabinet Proximity Option Fee to Establish a Reservation Fee for Cabinets with Power Densities Greater Than 10 kW Comments Due: View Received Comments Exhibit 5
34-100202
May 21, 2024
SR-CboeBYX-2024-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13 to Describe the Manner in Which the Exchange Processes Executions in Securities Priced Below $1.00 Received from Away Trading Centers Priced in Fractional Pennies Comments Due: Exhibit 5
34-100195
May 21, 2024
SR-BX-2024-017
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Cabinet Proximity Option Fee to Establish a Reservation Fee for Cabinets with Power Densities Greater Than 10 kW Comments Due: View Received Comments Exhibit 5
34-100194
May 21, 2024
SR-OCC-2024-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning Modifications to its Board Charter and Risk Committee Charter to Align With Recently Adopted CFTC Governance Requirements for Derivatives C Comments Due: Exhibit 3 , Exhibit 5A , Exhibit 5B
34-100193
May 21, 2024
SR-CboeBZX-2024-039
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-100187
May 21, 2024
SR-NYSECHX-2024-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Rules Concerning Supervision to Adopt Rules Based on NYSE American Rules 3110 - Equities and 3120 - Equities Comments Due:
34-100182
May 20, 2024
SR-CboeEDGX-2024-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a New Connectivity Offering Through Dedicated Cores Comments Due:
34-100169
May 17, 2024
SR-LCH SA-2024-003
Notice of Filing of Proposed Rule Change Relating to the Terms of Reference of the Board and Sub Committees Comments Due: Exhibit 5.1 , Exhibit 5.2 , Exhibit 5.3 , Exhibit 5.4 , Exhibit 5.5
34-100168
May 17, 2024
SR-NYSE-2024-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize NYSE Rule 4530 Comments Due: Exhibit 5
34-100156
May 15, 2024
SR-BOX-2023-20
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to Adopt Rules to Govern FLEX Equity Options and a New Order Type to Trade FLEX Equity Options on the BOX Trading Floor View Received Comments Exhibit 5 Amendment 3
34-100147
May 15, 2024
SR-OCC-2024-006
Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to Its Rules and Comprehensive Stress Testing & Clearing Fund Methodology, and Liquidity Risk Management Description Comments Due: Exhibit 3a and Exhibit 3b , Exhibit 5a , Exhibit 5b
34-100143
May 14, 2024
SR-NYSEAMER-2024-28
Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-100145
May 14, 2024
SR-NYSECHX-2024-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-100146
May 14, 2024
SR-NYSENAT-2024-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-100141
May 14, 2024
SR-FICC-2024-003
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning the Adoption of a Minimum Margin Amount at GSD Exhibit 3 , Exhibit 5
34-100138
May 14, 2024
SR-MRX-2024-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 6 Comments Due: Exhibit 5
34-100139
May 14, 2024
SR-GEMX-2024-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 6 Comments Due: Exhibit 5
34-100144
May 14, 2024
SR-NYSEARCA-2024-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-100137
May 14, 2024
SR-FICC-2024-008
Notice of Filing of Proposed Rule Change to Modify the GSD Rules and MBSD Rules to Update Certain Member Requirements Under CCLF Comments Due: Exhibit 5
34-100133
May 14, 2024
SR-ISE-2024-17
Notice of Filing of Proposed Rule Change to Amend the Strike Interval for Options on SPDR® Gold Shares Comments Due: Exhibit 5
34-100136
May 14, 2024
SR-BX-2024-015
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Options 7, Section 2 Comments Due: Exhibit 5
34-100132
May 14, 2024
SR-Phlx-2024-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Sections 4 and 9 Comments Due: Exhibit 5
34-100135
May 14, 2024
SR-Phlx-2024-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Options 7, Section 3 to Increase SPY Rebates Comments Due: Exhibit 5
34-100131
May 14, 2024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MSRB Rule G-27, on Dealer Supervision, to Adopt a New Residential Supervisory Location Classification Comments Due: View Received Comments Exhibit 5
34-100134
May 14, 2024
SR-CboeEDGX-2024-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-100130
May 14, 2024
SR-NASDAQ-2024-021
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 3 Comments Due: Exhibit 5
34-100129
May 14, 2024
SR-CboeBZX-2024-032
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 11.28(a) to Add Four Additional Market-on-Close Cut-off Times to Cboe Market Close Comments Due: View Received Comments Exhibit 5
34-100125
May 14, 2024
SR-NYSE-2024-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List Comments Due: Exhibit 5
34-100126
May 14, 2024
SR-NYSEAMER-2024-29
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE American Options Fee Schedule Comments Due: Exhibit 5
34-100127
May 14, 2024
4-631
Notice of Designation of a Longer Period for Commission Action on the Twenty-Third Amendment to the National Market System Plan to Address Extraordinary Market Volatility Comments Due: View Received Comments
34-100140
May 14, 2024
Notice of Filing of Partial Amendment No. 1 to an Advance Notice to Adopt a Minimum Margin Amount at GSD View Received Comments Exhibit 3 , Exhibit 5
34-100140
May 14, 2024
SR-FICC-2024-801
Notice of Filing of Partial Amendment No. 1 to an Advance Notice to Adopt a Minimum Margin Amount at GSD View Received Comments Exhibit 3 , Exhibit 5
34-100142
May 14, 2024
SR-NYSE-2024-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-100123
May 13, 2024
SR-ISE-2024-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE Options 7 Comments Due: Exhibit 5
34-100122
May 13, 2024
SR-CboeBYX-2024-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule to Adopt Fees for Dedicated Cores Comments Due: Exhibit 5
34-100121
May 13, 2024
SR-MRX-2024-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fees for Connectivity and Co-location Services Comments Due: Exhibit 5
34-100124
May 13, 2024
SR-CboeEDGX-2024-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-100117
May 13, 2024
SR-NASDAQ-2024-020
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fees for Connectivity and Co-location Services Comments Due: Exhibit 5
34-100120
May 13, 2024
SR-ISE-2024-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fees for Connectivity and Co-location Services Comments Due: Exhibit 5
34-100116
May 13, 2024
SR-BX-2024-014
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fees for Connectivity and Co-location Services Comments Due: Exhibit 5
34-100119
May 13, 2024
SR-PHLX-2024-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fees for Connectivity and Co-location Services Comments Due: View Received Comments Exhibit 5
34-100118
May 13, 2024
SR-GEMX-2024-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fees for Connectivity and Co-location Services Comments Due: Exhibit 5
34-100109
May 13, 2024
SR-PEARL-2024-22
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Equities Exchange Fee Schedule to Establish Market Data Fees Comments Due: Exhibit 5
34-100112
May 13, 2024
SR-MEMX-2024-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Fee Schedule Concerning Transaction Pricing Comments Due: Exhibit 5
34-100102
May 10, 2024
SR-NYSE-2024-23
Notice of Filing of Proposed Rule Change to amend Section 703.12(II) of the NYSE Listed Company Manual to Expand the Circumstances under which Rights may be Listed on the NYSE Exhibit 5
34-100099
May 9, 2024
SR-NYSENAT-2024-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-100098
May 9, 2024
SR-NYSECHX-2024-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-100097
May 9, 2024
SR-NYSEARCA-2024-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-100095
May 9, 2024
SR-NYSE-2024-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-100096
May 9, 2024
SR-NYSEAMER-2024-27
Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-100094
May 9, 2024
SR-LCH SA-2024-002
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the CDSClear Select Membership Model
34-100092
May 9, 2024
SR-PEARL-2024-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Equities Fee Schedule Comments Due: Exhibit 5
34-100093
May 9, 2024
SR-NASDAQ-2024-018
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relating to Connectivity, Surveillance and Risk Management Services Comments Due:
34-100091
May 9, 2024
SR-CBOE-2024-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Comments Due: Exhibit 5
34-100090
May 9, 2024
SR-CboeBZX-2024-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Comments Due: Exhibit 5
34-100089
May 9, 2024
SR-C2-2024-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule Comments Due: Exhibit 5
34-100085
May 9, 2024
SR-IEX-2024-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110 to Amend IEX’s Fee Schedule to Adopt a Physical Connectivity Fee and Increase Certain Port Fees Comments Due: Exhibit 5
34-100086
May 9, 2024
SR-ISE-2024-12
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Adopt Rules to List and Trade FLEX Options Comments Due: View Received Comments
34-100083
May 9, 2024
SR-NYSEARCA-2024-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges Comments Due: Exhibit 5
34-100081
May 8, 2024
SR-CBOE-2024-015
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rule 5.33, Complex Orders Comments Due:
34-100080
May 8, 2024
SR-NYSE-2023-36
Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Regarding Enhancements to its DMM Program View Received Comments
34-100077
May 8, 2024
SR-NSCC-2024-003
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the Clearing Agency Risk Management Framework.
34-100075
May 8, 2024
SR-FICC-2024-006
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the Clearing Agency Risk Management Framework.
34-100076
May 8, 2024
SR-DTC-2024-003
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the Clearing Agency Risk Management Framework View Received Comments
34-100072
May 7, 2024
SR-NYSEARCA-2023-63
Notice of Withdrawal of a Proposed Rule Change to List and Trade Shares of the Grayscale Ethereum Futures Trust (ETH) ETF under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts) View Received Comments
34-100067
May 6, 2024
SR-FINRA-2024-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 1240.01 to Reopen the Period by Which Certain Participants in the Maintaining Qualifications Program May Complete Their Prescribed Continuing Education Content Comments Due:
34-100062
May 6, 2024
SR-CboeBYX-2024-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a New Connectivity Offering Through Dedicated Cores Comments Due:
34-100059
May 3, 2024
SR-BX-2024-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Trade Now Order Attribute at Equity 4, Rule 4702 and Make Conforming Changes to Rule 4703 Comments Due: Exhibit 5
34-100061
May 3, 2024
SR-Phlx-2024-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Trade Now Order Attribute, at Equity 4, Rule 3301B and Rule 3301A Comments Due: Exhibit 5
34-100060
May 3, 2024
SR-Phlx-2024-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee Schedule at Equity 7, Section 3 to Implement a Market Data Revenue Rebate Program Comments Due: Exhibit 5
34-100050
May 2, 2024
SR-NYSEARCA-2024-27
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the 7RCC Spot Bitcoin and Carbon Credit Futures ETF Under NYSE Arca Rule 8.500-E (Trust Units) arca Comments Due: View Received Comments
34-100047
May 2, 2024
SR-NYSEARCA-2024-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Rule 10.16 Comments Due: Exhibit 5
