34-99847
March 22, 2024
SR-LCH SA-2024-002
Notice of Filing of Proposed Rule Change Relating to the CDSClear Select Membership Model Exhibit 3.1 , Exhibit 3.2 , Exhibit 5.1 , Exhibit 5.2 , Exhibit 5.3
34-99846
March 22, 2024
SR-NASDAQ-2023-022
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, to Create a New, Non-Trading Limited Underwriter Membership Class and Impose Related Requirements for Principal U Comments Due: View Received Comments Exhibit 5
34-99844
March 22, 2024
SR-FICC-2024-007
Notice of Filing of Proposed Rule Change to Modify the GSD Rules (i) Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Participant Transactions, and (ii) to Address the Conditions of No Comments Due: View Received Comments Exhibit 5
34-99843
March 22, 2024
SR-DTC-2024-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Corporate Actions Distributions Service Guide and the DTC Settlement Service Guide Comments Due: Exhibit 5
34-99838
March 22, 2024
SR-CBOE-2024-015
Notice of Filing of a Proposed Rule Change to Amend Exchange Rule 5.33, Complex Orders Comments Due: View Received Comments
34-99841
March 22, 2024
SR-Phlx-2024-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees for Top of PHLX Options (TOPO), PHLX Orders, and TOPO Plus Orders View Received Comments Exhibit 5
34-99839
March 22, 2024
SR-CBOE-2024-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update its Fees Schedule in Connection with the Exchange's Plans to List and Trade Options that Overlie a Reduced Value of the MSCI World Index, the Full Value of the MSCI ACWI Inde Comments Due: Exhibit 5
34-99840
March 22, 2024
SR-BX-2024-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an OTTO Protocol Comments Due: Exhibit 5
34-99834
March 22, 2024
SR-MSRB-2024-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Calculation of the Annual Fee on Municipal Advisors under MSRB Rule A-11 Comments Due: Exhibit 5
34-99824
March 21, 2024
SR-EMERALD-2024-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule to Modify Certain Connectivity and Port Fees Comments Due: Exhibit 5
34-99827
March 21, 2024
SR-NYSEAMER-2024-21
Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Rule 7.31E Comments Due: Exhibit 5
34-99825
March 21, 2024
SR-ISE-2024-12
Notice of Filing of Proposed Rule Change to Adopt Rules to List and Trade FLEX Options Comments Due: View Received Comments Exhibit 5
34-99831
March 21, 2024
SR-PEARL-2024-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Options Fee Schedule Comments Due: Exhibit 5
34-99823
March 21, 2024
SR-PEARL-2024-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Options Exchange Fee Schedule to Modify Certain Connectivity and Port Fees Comments Due: View Received Comments Exhibit 5
34-99830
March 21, 2024
SR-MIAX-2024-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Options Exchange Fee Schedule Comments Due: Exhibit 5
34-99822
March 21, 2024
SR-MIAX-2024-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule to Modify Certain Connectivity and Port Fees Comments Due: View Received Comments Exhibit 5
34-99828
March 21, 2024
SR-NYSEAMER-2024-19
Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Rule 41 of the General Rules Comments Due: Exhibit 5
34-99818
March 21, 2024
SR-CboeEDGA-2024-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a New Connectivity Offering Through Dedicated Cores Comments Due:
34-99819
March 21, 2024
SR-CboeBYX-2024-004
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Definition of Retail Order, and Codify Interpretations and Policies Regarding Permissible Uses of Algorithms by RMOs
34-99826
March 21, 2024
SR-MEMX-2024-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Fee Schedule to Adopt a New Cross Asset Tier Rebate Comments Due: Exhibit 5
34-99829
March 21, 2024
SR-EMERALD-2024-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Emerald Fee Schedule Comments Due: Exhibit 5
34-99817
March 21, 2024
SR-FICC-2024-005
Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement Services of All Eligible Secondary Market Transactions in U.S. Treasury Securities Comments Due: View Received Comments Exhibit 5
34-99815
March 21, 2024
SR-CboeBZX-2024-007
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Definition of Retail Order, and Codify Interpretations and Policies Regarding Permissible Uses of Algorithms by RMOs
34-99813
March 20, 2024
SR-MIAX-2024-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule for Purge Ports Comments Due: View Received Comments Exhibit 5
34-99811
March 20, 2024
SR-CboeEDGX-2024-009
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Definition of Retail Order, and Codify Interpretations and Policies Regarding Permissible Uses of Algorithms by RMOs
34-99806
March 20, 2024
SR-NYSE-2024-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-99805
March 20, 2024
SR-FICC-2024-006
Notice of Filing of Proposed Rule Change to Amend the Clearing Agency Risk Management Framework Comments Due: View Received Comments Exhibit 5
34-99803
March 20, 2024
SR-NSCC-2024-003
Notice of Filing of Proposed Rule Change to Amend the Clearing Agency Risk Management Framework Exhibit 5
34-99812
March 20, 2024
SR-EMERALD-2024-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule for Purge Ports Comments Due: View Received Comments Exhibit 5
34-99800
March 20, 2024
SR-GEMX-2024-08
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 10kW Comments Due: View Received Comments Exhibit 5
34-99807
March 20, 2024
SR-NYSEAMER-2024-18
Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-99808
March 20, 2024
SR-NYSEARCA-2024-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-99798
March 20, 2024
SR-MRX-2024-09
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 10kW Comments Due: View Received Comments Exhibit 5
34-99809
March 20, 2024
SR-NYSECHX-2024-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-99804
March 20, 2024
SR-NYSECHX-2024-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule of NYSE Chicago, Inc. Comments Due: Exhibit 5
34-99814
March 20, 2024
SR-PEARL-2024-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Options Fee Schedule for Purge Ports Comments Due: View Received Comments Exhibit 5
34-99810
March 20, 2024
SR-NYSENAT-2024-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-99796
March 20, 2024
SR-NASDAQ-2024-013
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 10kW Comments Due: View Received Comments Exhibit 5
34-99802
March 20, 2024
SR-DTC-2024-003
Notice of Filing of Proposed Rule Change to Amend the Clearing Agency Risk Management Framework Comments Due: View Received Comments Exhibit 5
34-99801
March 20, 2024
SR-NYSEARCA-2024-27
Notice of Filing of Proposed Rule Change to List and Trade Shares of the 7RCC Spot Bitcoin and Carbon Credit Futures ETF Comments Due: View Received Comments
34-99794
March 20, 2024
SR-BX-2024-010
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 10kW Comments Due: View Received Comments Exhibit 5
34-99792
March 20, 2024
SR-NASDAQ-2024-014
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Trade Now Order Attribute, at Equity 4, Rules 4702 and 4703 Comments Due: Exhibit 5
34-99799
March 20, 2024
SR-ISE-2024-13
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 10kW Comments Due: View Received Comments Exhibit 5
34-99797
March 20, 2024
SR-Phlx-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 10kW Comments Due: View Received Comments Exhibit 5
34-99789
March 20, 2024
SR-NYSE-2024-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31 Comments Due: Exhibit 5
34-99784
March 20, 2024
SR-MRX-2024-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Regular Taker Fees in the Exchange’s Pricing Schedule at Options 7, Section 3 Comments Due: Exhibit 5
34-99783
March 20, 2024
SR-NASDAQ-2024-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 3 Comments Due: Exhibit 5
34-99787
March 20, 2024
SR-GEMX-2024-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 6 Comments Due: Exhibit 5
34-99782
March 20, 2024
SR-CboeBZX-2023-069
Notice of Filing of Amendment No.1 to, and Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove, a Proposed Rule Change to List and Trade Shares of the VanEck Ethereum ETF under BZX Rule 14.11(e Comments Due: View Received Comments
34-99786
March 20, 2024
SR-MRX-2024-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 6 Comments Due: Exhibit 5
34-99785
March 20, 2024
SR-Phlx-2024-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 9 Comments Due: Exhibit 5
34-99793
March 20, 2024
SR-BOX-2024-08
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Enhancements to Current Risk Protections Comments Due: Exhibit 5
34-99790
March 20, 2024
SR-NYSEAMER-2024-17
Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Rule 7.31E Comments Due: Exhibit 5
34-99780
March 20, 2024
SR-Phlx-2024-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 2, Sections 13 and 14 and Options 8, Section 24 Comments Due: Exhibit 5
34-99788
March 20, 2024
SR-ISE-2024-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Complex Order Rebates in the Exchange's Pricing Schedule at Options 7, Section 4 Comments Due: Exhibit 5
34-99776
March 19, 2024
SR-ISE-2024-14
Notice of Filing of Proposed Rule Change to Amend ISE Options 4, Section 3 to List and Trade Options on Units That Represent Interests in a Trust That Holds Bitcoin View Received Comments Exhibit 5
34-99774
March 19, 2024
SR-FICC-2024-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Liquidity Risk Management Framework and the Clearing Agency Stress Testing Framework Comments Due: Exhibit 5a , Exhibit 5b
34-99777
March 19, 2024
SR-BOX-2024-07
Notice of Filing of Proposed Rule Change to Amend Exchange Rule 5020 to Allow the Exchange to List and Trade Options on ETFs That Represent Interests in a Trust That Holds Bitcoin Comments Due: View Received Comments Exhibit 5
34-99773
March 19, 2024
SR-NYSENAT-2024-10
Notice of Filing of Proposed Change to Amend Its Schedule of Fees and Rebates Comments Due: Exhibit 5
34-99772
March 19, 2024
SR-CboeBZX-2023-070
Notice of Filing of Amendment No.1 to, and Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove, a Proposed Rule Change to List and Trade Shares of the ARK 21Shares Ethereum ETF under BZX Rule 1 View Received Comments
34-99771
March 19, 2024
Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Hashdex Nasdaq Ethereum ETF under Nasdaq Rule 5711(i) (Trust Units)
34-99770
March 19, 2024
SR-Phlx-2024-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 4. Comments Due: Exhibit 5
34-99769
March 19, 2024
SR-FICC-2024-003
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt a Minimum Margin Amount at GSD View Received Comments
34-99766
March 19, 2024
SR-CboeEDGX-2024-007
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 11.6(n)(4) and Rule 11.10(a)(4)(D) to Permit the Use of the Post Only Order Instruction at Prices Below $1.00
34-99765
March 19, 2024
SR-CboeEDGA-2024-003
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 11.6(n)(4) and Rule 11.10(a)(4)(D) to Permit the Use of the Post Only Order Instruction at Prices Below $1.00
34-99759
March 18, 2024
SR-DTC-2024-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Liquidity Risk Management Framework and the Clearing Agency Stress Testing Framework Comments Due: Exhibit-5a , Exhibit 5b
34-99762
March 18, 2024
SR-CBOE-2024-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Comments Due: Exhibit 5
34-99760
March 18, 2024
SR-NYSEARCA-2024-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31-E Comments Due: Exhibit 5
34-99761
March 18, 2024
SR-NYSENAT-2024-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31 Comments Due: Exhibit 5
34-99758
March 18, 2024
SR-NSCC-2024-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Liquidity Risk Management Framework and the Clearing Agency Stress Testing Framework Comments Due: View Received Comments Exhibit 5a , Exhibit 5b
34-99757
March 18, 2024
SR-IEX-2024-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IEX Rule 6.210 (Ex-Dividend or Ex-Right Dates) Comments Due: Exhibit 5
34-99748
March 15, 2024
SR-GEMX-2024-05
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
34-99747
March 15, 2024
SR-ISE-2024-09
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
34-99746
March 15, 2024
SR-MRX-2024-04
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
34-99745
March 15, 2024
SR-CboeEDGX-2024-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-99751
March 15, 2024
SR-BOX-2024-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule for Trading on BOX Options Market Facility to Amend Certain Rebates for Qualified Contingent Cross Transactions Comments Due: Exhibit 5
34-99744
March 15, 2024
SR-NASDAQ-2024-008
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
34-99750
March 15, 2024
SR-NSCC-2024-002
Notice of Filing of Proposed Rule Change to Accommodate a Shorter Standard Settlement Cycle and Make Other Changes Comments Due: Exhibit 5
34-99749
March 15, 2024
SR-BX-2024-008
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
34-99743
March 15, 2024
SR-Phlx-2024-08
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
34-99742
March 15, 2024
SR-NYSECHX-2024-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31 Comments Due: Exhibit 5
34-99736
March 14, 2024
SR-MIAX-2024-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Increase Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product Comments Due: Exhibit 5
34-99734
March 14, 2024
SR-NASDAQ-2024-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Its Listing Standards Related to Notification and Disclosure of Reverse Stock Splits Comments Due: View Received Comments Exhibit 5
34-99739
March 14, 2024
SR-CboeBZX-2024-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Comments Due: Exhibit 5
34-99741
March 14, 2024
SR-CboeEDGX-2024-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Comments Due: Exhibit 5
34-99740
March 14, 2024
SR-CBOE-2024-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Comments Due: Exhibit 5
34-99737
March 14, 2024
SR-EMERALD-2024-09
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Increase Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product Comments Due: Exhibit 5
34-99731
March 13, 2024
SR-OCC-2023-801
Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 1 and Amendment No. 2, Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between the Options Clearing Corporation and the Nati View Received Comments
34-99729
March 13, 2024
SR-NYSEARCA-2024-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule Comments Due: View Received Comments Exhibit 5
34-99728
March 13, 2024
SR-CboeEDGX-2024-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-99727
March 13, 2024
SR-CBOE-2024-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Comments Due: Exhibit 5
34-99719
March 12, 2024
SR-NYSE-2024-13
Notice of Filing of Proposed Rule Change for Amendments to Rule 7.35 and Rule 7.35B Exhibit 5
34-99718
March 12, 2024
SR-NYSEAMER-2024-16
Notice of Filing and Immediate Effectiveness of Proposed Change to Amend NYSE American Rule 4120 Comments Due: Exhibit 5
34-99726
March 12, 2024
SR-CboeEDGA-2024-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-99725
March 12, 2024
SR-BOX-2023-20
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 Adopt Rules to Govern FLEX Equity Options and a New Order Type to Trade FL View Received Comments
34-99722
March 12, 2024
SR-CboeBYX-2024-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-99724
March 12, 2024
SR-CboeBZX-2024-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Creation Basket Size of the VanEck Bitcoin Trust Comments Due:
34-99723
March 12, 2024
SR-CboeBZX-2024-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Regarding Add Volume Tiers Comments Due: Exhibit 5
34-99715
March 12, 2024
SR-NYSENAT-2024-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the NYSE National Aggregated Lite Market Data Feed Comments Due:
34-99713
March 12, 2024
SR-NYSEARCA-2024-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the NYSE Arca Aggregated Lite Market Data Feed Comments Due:
