34-99182
Dec. 14, 2023
SR-CboeBZX-2023-097
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule to Provide a Discount on the Purchase of Historical Equity Short Volume and Trade Reports Comments Due: Exhibit 5
34-99185
Dec. 14, 2023
SR-CboeEDGX-2023-072
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule to Provide a Discount on the Purchase of Historical Equity Short Volume and Trade Reports Comments Due: Exhibit 5
34-99162
Dec. 13, 2023
SR-CboeBZX-2023-105
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BZX Rule 14.11(e)(4)(C)(i) (Commodity-Based Trust Shares) Comments Due: Exhibit 5
34-99161
Dec. 13, 2023
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
34-99160
Dec. 13, 2023
SR-MIAX-2023-49
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 404, Series of Option Contracts Open for Trading Comments Due: Exhibit 5
34-99164
Dec. 13, 2023
SR-NYSEARCA-2023-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Changes to Certain Representations Relating to the Hashdex Bitcoin Futures Fund Comments Due:
34-99152
Dec. 13, 2023
SR-PEARL-2023-68
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 100, Definitions, Rule 530, Limit Up-Limit Down, Rule 2612, Minimum Price Variations, Rule 2614, Orders and Order Instructions, and Rule 2705 Prohibition Against Comments Due: Exhibit 5
34-99165
Dec. 13, 2023
SR-NYSE-2023-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-99151
Dec. 13, 2023
SR-CboeBZX-2023-087
Notice of Designation of a Longer Period for Commission Action on 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
34-99163
Dec. 13, 2023
SR-NASDAQ-2023-055
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of Commodity-Based Trust Shares in Nasdaq Rule 5711(d)(iv)(A) and to Correct a Typographical Error in Nasdaq Rule 5711(d)(iv)(B) Comments Due: Exhibit 5
34-99147
Dec. 12, 2023
SR-CboeBZX-2023-099
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c) in Order to Adopt a New Tier Under Footnote 13 (Tape B Volume and Comments Due: Exhibit 5
34-99141
Dec. 12, 2023
SR-Phlx-2023-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fees for Options on the Nasdaq 100 Index in the Exchange's Pricing Schedule at Options 7 Comments Due: Exhibit 5
34-99142
Dec. 12, 2023
SR-ISE-2023-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE Options 7 Comments Due: Exhibit 5
34-99140
Dec. 11, 2023
SR-PEARL-2023-64
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
34-99138
Dec. 11, 2023
SR-EMERALD-2023-30
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
34-99132
Dec. 11, 2023
SR-CboeEDGX-2023-078
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-99131
Dec. 11, 2023
SR-ISE-2023-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its GPS Antenna Fees at General 8, Section 1 Comments Due: Exhibit 5
34-99129
Dec. 11, 2023
SR-GEMX-2023-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its GPS Antenna Fees at General 8, Section 1 Comments Due: Exhibit 5
34-99137
Dec. 11, 2023
SR-MIAX-2023-48
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
34-99130
Dec. 11, 2023
SR-MRX-2023-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its GPS Antenna Fees at General 8, Section 1 Comments Due: Exhibit 5
34-99127
Dec. 8, 2023
SR-NYSENAT-2023-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Rules 10.9261 and 10.9830 Comments Due: Exhibit 5
34-99126
Dec. 8, 2023
SR-NASDAQ-2023-052
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its GPS Antenna Fees at General 8, Section 1 Comments Due: Exhibit 5
34-99125
Dec. 8, 2023
SR-Phlx-2023-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its GPS Antenna Fees at General 8, Section 1 Comments Due: Exhibit 5
34-99124
Dec. 8, 2023
SR-BX-2023-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its GPS Antenna Fees at General 8, Section 1 Comments Due: Exhibit 5
34-99122
Dec. 8, 2023
SR-NYSEARCA-2023-82
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Rules 10.9261 and 10.9830 Comments Due: Exhibit 5
34-99121
Dec. 8, 2023
SR-NYSEAMER-2023-62
Notice of Filing and Immediate Effectiveness of Proposed Change to Harmonize Rules 9261 and 9830 Comments Due: Exhibit 5
34-99120
Dec. 8, 2023
SR-NYSE-2023-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Rules 9261 and 9830 Comments Due: Exhibit 5
34-99119
Dec. 8, 2023
SR-CBOE-2023-063
Notice of Filing of a Proposed Rule Change to Amend its Rules Relating to Position and Exercise Limits Comments Due: View Received Comments Exhibit 5
34-99112
Dec. 7, 2023
SR-MEMX-2023-31
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange’s Fee Schedule to Adopt a Temporary Options Regulatory Fee Comments Due: Exhibit 5
34-99111
Dec. 7, 2023
SR-CBOE-2023-064
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Fees for the Cboe Silexx Platform Comments Due: Exhibit 5
34-99116
Dec. 7, 2023
SR-C2-2023-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule Comments Due: Exhibit 5
34-99114
Dec. 7, 2023
SR-CboeBZX-2023-100
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Low Priced Stock Strike Price Interval Program Comments Due: Exhibit 5
34-99113
Dec. 7, 2023
SR-CBOE-2023-065
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Low Priced Stock Strike Price Interval Program Comments Due: Exhibit 5
34-99109
Dec. 7, 2023
SR-LCH SA-2023-008
Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Recovery and Resolution Comments Due: Exhibit 5
34-99104
Dec. 7, 2023
SR-ISE-2023-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Monthly Options Series and Amend the Nonstandard Expirations Program Comments Due: Exhibit 5
34-99108
Dec. 7, 2023
SR-DTC-2023-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Risk Management Framework Comments Due: Exhibit 5
34-99106
Dec. 7, 2023
SR-PHLX-2023-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Monthly Options Series and the Nonstandard Expirations Program Comments Due: Exhibit-5
34-99103
Dec. 7, 2023
SR-BX-2023-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Monthly Options Series Comments Due: Exhibit 5
34-99102
Dec. 7, 2023
SR-NASDAQ-2023-051
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 4A to Adopt Monthly Options Series Comments Due: Exhibit 5
34-99100
Dec. 6, 2023
SR-MEMX-2023-32
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Fee Schedule Comments Due: Exhibit 5
34-99097
Dec. 6, 2023
SR-FICC-2023-016
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Risk Management Framework Comments Due: Exhibit 5
34-99093
Dec. 6, 2023
SR-MRX-2023-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Legging Orders Comments Due: Exhibit 5
34-99096
Dec. 6, 2023
SR-MSRB-2023-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 Comments Due: View Received Comments Exhibit 5
34-99092
Dec. 6, 2023
SR-ISE-2023-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Legging Orders Comments Due: Exhibit 5
34-99095
Dec. 6, 2023
SR-MEMX-2023-25
Notice of Withdrawal of a Proposed Rule Change to Amend the Exchange's Fee Schedule to Establish an Options Regulatory Fee Comments Due: Rebuttal comments
34-99091
Dec. 6, 2023
SR-NYSE-2023-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections 902.02 and 902.03 of the NYSE Listed Company Manual to Amend its Initial Listing Fee and Certain of its Annual Fees Comments Due: Exhibit 5
34-99098
Dec. 6, 2023
SR-NSCC-2023-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Risk Management Framework Comments Due: Exhibit 5
34-99090
Dec. 6, 2023
SR-PEARL-2023-65
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
34-99089
Dec. 5, 2023
SR-EMERALD-2023-29
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule for Purge Ports Comments Due: View Received Comments Exhibit 5
34-99088
Dec. 5, 2023
SR-MIAX-2023-43
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule for Purge Ports Comments Due: View Received Comments Exhibit 5
34-99087
Dec. 5, 2023
SR-NYSEAMER-2023-63
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE American Options Fee Schedule Comments Due: Exhibit 5
34-99081
Dec. 5, 2023
SR-NASDAQ-2023-045
Notice of Filing of 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
34-99082
Dec. 5, 2023
SR-NYSEARCA-2023-70
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Grayscale Ethereum Trust under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) View Received Comments
34-99083
Dec. 5, 2023
SR-PHLX-2023-40
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, to Amend Equity 4, Rules 3301A and 3301B to Establish New "Contra M View Received Comments Exhibit 5
34-99075
Dec. 4, 2023
SR-FINRA-2023-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules to Conform to Exchange Act Rules 15c6-1 and 15c6-2 to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from Two Business Days after the Tr Comments Due: Exhibit 5
34-99065
Dec. 1, 2023
4-818
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq PHLX LLC Comments Due:
34-99062
Dec. 1, 2023
SR-NYSEARCA-2023-81
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Citations to Rule 600(b) of Regulation National Market System Comments Due: Exhibit 5
34-99056
Nov. 30, 2023
SR-NYSEAMER-2023-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Citations to Rule 600(b) of Regulation National Market System Comments Due: Exhibit 5
34-99057
Nov. 30, 2023
SR-NYSECHX-2023-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Citations to Rule 600(b) of Regulation National Market System Comments Due: Exhibit 5
34-99047
Nov. 30, 2023
SR-MIAX-2023-46
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule Comments Due: Exhibit 5
34-99049
Nov. 30, 2023
SR-NYSE-2023-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Citations to Rule 600(b) of Regulation National Market System Comments Due: Exhibit 5
34-99046
Nov. 30, 2023
SR-NYSENAT-2023-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Citations to Rule 600(b) of Regulation National Market System Exhibit 5
34-99045
Nov. 30, 2023
SR-CboeBZX-2023-095
Notice of Filing of 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
34-99044
Nov. 30, 2023
SR-NASDAQ-2023-049
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New LSTY Routing Option Under Rule 4758 Comments Due: Exhibit 5
34-99042
Nov. 30, 2023
SR-NASDAQ-2023-048
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Entry and All-inclusive Annual Fees for Certain Companies Comments Due: Exhibit 5
34-99041
Nov. 29, 2023
SR-MIAX-2023-45
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 517, Quote Types Defined Comments Due: Exhibit 5
34-99040
Nov. 29, 2023
SR-MIAX-2023-47
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule Comments Due:
34-99037
Nov. 29, 2023
SR-CboeEDGX-2023-071
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Short Term Option Series Program Comments Due: Exhibit 5
34-99036
Nov. 29, 2023
SR-CboeBZX-2023-096
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Short Term Option Series Program Comments Due: Exhibit 5
34-99034
Nov. 29, 2023
SR-PEARL-2023-66
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 404, Series of Option Contracts Open for Trading to Adopt New Interpretations and Policies .12 Comments Due: Exhibit 5
34-99035
Nov. 29, 2023
SR-CBOE-2023-062
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Short Term Option Series Program Comments Due: Exhibit 5
34-99029
Nov. 28, 2023
SR-ISE-2023-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 4, Section 5 Related to a Low Priced Stock Strike Price Interval Program Comments Due: Exhibit 5
34-99028
Nov. 28, 2023
SR-CBOE-2023-061
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-99027
Nov. 28, 2023
SR-CboeBZX-2023-094
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-99026
Nov. 28, 2023
SR-CboeEDGX-2023-070
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-99025
Nov. 28, 2023
SR-C2-2023-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule Comments Due: Exhibit 5
34-99024
Nov. 28, 2023
SR-ISE-2023-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Options 7 Comments Due: View Received Comments Exhibit 5
34-99022
Nov. 27, 2023
SR-NSCC-2023-011
Notice of Filing of Proposed Rule Change to Refine the Margin Liquidity Adjustment ("MLA") Charge Calculation and the Description of the MLA Charge Comments Due: Exhibit 3 , Exhibit 5
34-99021
Nov. 27, 2023
SR-NYSEARCA-2023-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5
34-99019
Nov. 27, 2023
SR-NYSEARCA-2023-37
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 COtwo Advisors Physical European Carbon Allowance Trust under NYSE Arca Rule View Received Comments
34-99012
Nov. 22, 2023
SR-CboeEDGA-2023-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-99008
Nov. 21, 2023
SR-BX-2023-031
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Options 7, Section 2 Regarding Fees and Rebates Comments Due: Exhibit 5
34-99007
Nov. 21, 2023
SR-BOX-2023-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish IM-7600-8 Comments Due: Exhibit 5
34-99009
Nov. 21, 2023
SR-BOX-2023-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BOX Rule 5050 (Series of Options Contracts Open for Trading) Comments Due: Exhibit 5
34-99001
Nov. 21, 2023
4-698
Notice of Withdrawal of Amendment to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments
34-98997
Nov. 21, 2023
SR-BOX-2023-27
Notice of Filing of Proposed Rule Change to Amend the Short Term Option Series Program in IM-5050-6 Comments Due: Exhibit 5
34-98991
Nov. 20, 2023
SR-CboeBZX-2023-092
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delineate the Application Fee from the Entry Fee, to Increase the Application Fee for Tier I and Tier II Securities Listed on the Exchange in Certain Circumstances, to Change the As Comments Due: Exhibit 5
34-98994
Nov. 20, 2023
SR-IEX-2023-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110 to Amend IEX's Fee Schedule Comments Due: Exhibit 5
34-98988
Nov. 20, 2023
SR-IEX-2023-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce a New Post Only Order Parameter Instruction Comments Due: Exhibit 5
34-98987
Nov. 20, 2023
SR-BOX-2023-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Adopt Monthly Options Series Comments Due: Exhibit 5
34-98977
Nov. 17, 2023
SR-FINRA-2023-016
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Permit Projections of Performance of Investment Strategies or Single Securities in Institutional Communications Comments Due: View Received Comments Exhibit 2a , Exhibit 2b , Exhibit 2c , Exhibit 5
34-98980
Nov. 17, 2023
SR-FINRA-2023-006
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) Comments Due: View Received Comments
34-98975
Nov. 16, 2023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Application of the Per User Access Fee for Use of Certain Market Data Products by Redistributors Comments Due: Exhibit 5
34-98974
Nov. 16, 2023
SR-NYSEARCA-2023-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the fees for NYSE Arca BBO and NYSE Arca Trades Comments Due: Exhibit 5
34-98973
Nov. 16, 2023
SR-MIAX-2023-44
Notice of Filing of a Proposed Rule Change to Accommodate the Listings of Monthly Options Series. Comments Due: Exhibit 5
34-98972
Nov. 16, 2023
SR-CboeEDGX-2023-069
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules to Adopt Monthly Options Series Comments Due: Exhibit 5
34-98976
Nov. 16, 2023
SR-NYSE-2023-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Application of the Per User Access Fee for Use of Certain Market Data Products by Redistributors Comments Due: Exhibit 5
34-98965
Nov. 16, 2023
SR-NYSECHX-2023-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-98970
Nov. 16, 2023
SR-CboeBZX-2023-093
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules to Adopt Monthly Options Series Comments Due: Exhibit 5
34-98963
Nov. 16, 2023
SR-NYSEAMER-2023-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
