34-98743
Oct. 13, 2023
SR-Phlx-2023-46
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
34-98744
Oct. 13, 2023
SR-NASDAQ-2023-039
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its GPS Antenna Fees at General 8, Section 1 Comments Due: View Received Comments Exhibit 5
34-98734
Oct. 12, 2023
SR-EMERALD-2023-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule for Purge Ports Comments Due: View Received Comments Exhibit 5
34-98733
Oct. 12, 2023
SR-PEARL-2023-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the MIAX Pearl Options Fee Schedule for Purge Ports Comments Due: View Received Comments Exhibit 5
34-98732
Oct. 12, 2023
SR-MIAX-2023-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fee Schedule for Purge Ports Comments Due: View Received Comments Exhibit 5
34-98731
Oct. 12, 2023
SR-BX-2023-024
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Transaction Fees at Equity 7, Section 118(e) Comments Due: Exhibit 5
34-98730
Oct. 12, 2023
SR-MEMX-2023-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Risk Settings Rules Applicable to Options Trading Comments Due: Exhibit 5
34-98729
Oct. 12, 2023
SR-PEARL-2023-56
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule Related to the Options Regulatory Fee Comments Due: View Received Comments Exhibit 5
34-98728
Oct. 12, 2023
SR-EMERALD-2023-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule Related to the Options Regulatory Fee Comments Due: View Received Comments Exhibit 5
34-98726
Oct. 12, 2023
SR-MIAX-2023-40
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule Related to the Options Regulatory Fee Comments Due: View Received Comments Exhibit 5
34-98722
Oct. 11, 2023
SR-CBOE-2023-060
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Fees for the Cboe Silexx Platform Comments Due: Exhibit 5
34-98721
Oct. 11, 2023
SR-NASDAQ-2023-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 2 Comments Due: Exhibit 5
34-98703
Oct. 6, 2023
SR-FINRA-2023-013
Notice of Filing of a Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure and Code of Mediation Procedure to Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations Comments Due: View Received Comments Order Scheduling Filing of Statements of Review for SR-FINRA-2023-013 , Exhibit 2a , Exhibit 2b , Exhibit 2c , Exhibit 5
34-98702
Oct. 6, 2023
SR-ISE-2023-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Complex Order Rules Comments Due: Exhibit 5
34-98701
Oct. 6, 2023
SR-MEMX-2023-27
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Fee Schedule Comments Due: Exhibit 5
34-98693
Oct. 5, 2023
SR-NYSEARCA-2023-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5
34-98692
Oct. 5, 2023
SR-PEARL-2023-35
Notice of Withdrawal of Proposed Rule Change to Amend the Fee Schedule to Modify Certain Connectivity Fees and Ports Fees View Received Comments
34-98691
Oct. 5, 2023
SR-EMERALD-2023-19
Notice of Withdrawal of Proposed Rule Change to Amend the Fee Schedule to Modify Certain Connectivity Fees and Ports Fees View Received Comments
34-98691
Oct. 5, 2023
SR-EMERALD-2023-19
Notice of Withdrawal of Proposed Rule Change to Amend the Fee Schedule to Modify Certain Connectivity Fees and Ports Fees
34-98690
Oct. 5, 2023
SR-MIAX-2023-30
Notice of Withdrawal of Proposed Rule Change to Amend the Fee Schedule to Modify Certain Connectivity Fees and Ports Fees View Received Comments
34-98684
Oct. 4, 2023
SR-CboeBZX-2023-075
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Regarding Rebate Tiers Comments Due: Exhibit 5
34-98678
Oct. 3, 2023
SR-NYSEAMER-2023-48
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE American Options Fee Schedule to Modify the Options Regulatory Fee Comments Due: Exhibit 5
34-98676
Oct. 3, 2023
SR-NYSEARCA-2023-68
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule to Modify the Options Regulatory Fee Comments Due: Exhibit 5
34-98646
Sept. 29, 2023
SR-CboeBZX-2023-067
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend its Fee Schedule Related to Physical Port Fees View Received Comments
34-98643
Sept. 29, 2023
SR-ISE-2023-20
Notice of Filing of Proposed Rule Change to Permit the Listing and Trading of P.M.-Settled Nasdasq-100 Index Options with a Third-Friday-of-the-Month Expiration Comments Due: Exhibit 5
34-98666
Sept. 29, 2023
SR-NYSE-2023-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List Comments Due: Exhibit 5
34-98665
Sept. 29, 2023
Notice of Filing of Proposed Rule Change to Amend the NYSE Listed Company Manual to Adopt Listing Standards for Natural Asset Companies View Received Comments Exhibit 3 , Exhibit 5
34-98664
Sept. 29, 2023
SR-CBOE-2023-044
Notice of Withdrawal of a Proposed Rule Change to Adopt a Quote Protection Timer
34-98663
Sept. 29, 2023
SR-NYSEARCA-2023-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Shares of the American Century Focused Dynamic Growth ETF and the American Century Focused Large Cap Value ETF Under NYSE Arca Rule 8.601-E (Active Proxy Portfolio Shar Comments Due:
34-98648
Sept. 29, 2023
SR-MEMX-2023-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Fee Schedule and Adopt Membership Fees for MEMX Options Comments Due: Exhibit 5
34-98660
Sept. 29, 2023
SR-CBOE-2023-058
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule to Adopt a Temporary Options Regulatory Fee Comments Due: Exhibit 5
34-98661
Sept. 29, 2023
SR-CboeBZX-2023-074
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule to Adopt a Temporary Options Regulatory Fee Comments Due: Exhibit 5
34-98662
Sept. 29, 2023
SR-NYSE-2023-34
Notice of Filing of Proposed Rule Change to Amend Section 312.03(b) of the NYSE Listed Company Manual to Modify the Circumstances Under Which a Listed Company Must Obtain Shareholder Approval of a Sale of Securities Below the Minimum Price to a Substantia Comments Due: View Received Comments Exhibit 5
34-98645
Sept. 29, 2023
SR-IEX-2023-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Its New Fixed Midpoint Peg Order Type Comments Due:
34-98644
Sept. 29, 2023
Notice of Filing of Proposed Rule Change to Permit the Listing and Trading of P.M.-Settled Nasdasq-100 Index Options with a Third-Friday-of-the-Month Expiration View Received Comments Exhibit 5
34-98617
Sept. 28, 2023
SR-NYSENAT-2023-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 0 Comments Due: Exhibit 5
34-98625
Sept. 28, 2023
SR-IEX-2023-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IEX Rules 11.190(b)(7) and 11.190(g) Comments Due: Exhibit 5
34-98618
Sept. 28, 2023
SR-PEARL-2023-50
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC to Amend the MIAX Pearl Equities Fee Schedule Comments Due: Exhibit 5
34-98607
Sept. 28, 2023
SR-NYSEARCA-2023-44
Notice of Filing of Amendment No. 1 to, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove, a Proposed Rule Change to List and Trade Shares of the Bitwise Bitcoin ETP Trust under NYSE Arca Rule 8.201-E (Commodity-Based Trust S View Received Comments
34-98603
Sept. 28, 2023
SR-ICC-2023-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy Framework. Comments Due: Exhibit 5
34-98597
Sept. 28, 2023
SR-CboeBZX-2023-071
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend its Fee Schedule Relating to the Options Regulatory Fee Comments Due:
34-98598
Sept. 28, 2023
SR-NYSEAMER-2023-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 0 of the General and Floor Rules Comments Due: Exhibit 5
34-98599
Sept. 28, 2023
SR-MRX-2023-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Complex Order Rules Comments Due: Exhibit 5
34-98589
Sept. 28, 2023
SR-NSCC-2023-009
Notice of Filing of Proposed Rule Change Relating to the Schedule of Haircuts for Eligible Clearing Fund Securities Comments Due: Exhibit 3 , Exhibit 5
34-98586
Sept. 28, 2023
SR-NYSECHX-2023-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 0 Comments Due: Exhibit 5
34-98596
Sept. 28, 2023
SR-CBOE-2023-038
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend its Fee Schedule Relating to the Options Regulatory Fee Comments Due: Rebuttal Comments
34-98593
Sept. 28, 2023
SR-CBOE-2023-049
Notice of Filing of a Proposed Rule Change to Amend its Rules to Adopt Monthly Options Series Comments Due: Exhibit 5
34-98601
Sept. 28, 2023
SR-CBOE-2023-056
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Comments Due: Exhibit 5
34-98592
Sept. 28, 2023
SR-FICC-2023-014
Notice of Filing of Proposed Rule Change Relating to the GSD and MBSD Schedules of Haircuts for Eligible Clearing Fund Securities Exhibit 5 , Exhibit 3
34-98604
Sept. 28, 2023
SR-DTC-2023-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services) Comments Due: View Received Comments Exhibit 5
34-98591
Sept. 28, 2023
SR-CboeEDGX-2023-060
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Automated Price Improvement Auction Rules Comments Due: Exhibit 5
34-98585
Sept. 28, 2023
SR-MEMX-2023-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Fee Schedule to Establish an Options Regulatory Fee Comments Due: Rebuttal comments Exhibit 5
34-98584
Sept. 28, 2023
SR-PEARL-2023-51
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Equities Fee Schedule to Modify Certain Connectivity and Port Fees Comments Due: Exhibit 5
34-98582
Sept. 28, 2023
SR-NASDAQ-2023-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Equity 7, Section 115 Comments Due:
34-98582
Sept. 28, 2023
SR-NASDAQ-2023-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Equity 7, Section 115 Comments Due:
34-98640
Sept. 28, 2023
SR-CboeEDGX-2023-061
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Programs in Connection with the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options Comments Due: Exhibit 5
34-98637
Sept. 28, 2023
SR-CBOE-2023-057
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Operation of its Flexible Exchange Options ("FLEX Options") Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options Comments Due:
34-98583
Sept. 28, 2023
SR-IEX-2023-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Six Typographical Cross-Reference Errors in IEX Rule 11.190(b) Comments Due:
34-98635
Sept. 28, 2023
SR-CboeBZX-2023-073
Notice of Filing and Immediate Effectiveness of Proposed Rule to Extend the Pilot Programs in Connection with the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options Comments Due: Exhibit 5
34-98621
Sept. 28, 2023
SR-CBOE-2023-054
Notice of Filing of a Proposed Rule Change to Amend Rule 4.13 Comments Due:
34-98620
Sept. 28, 2023
SR-NYSEARCA-2023-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 0 Comments Due: Exhibit 5
34-98573
Sept. 27, 2023
SR-ICEEU-2023-021
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to its Operational Risk and Resilience Policy
34-98568
Sept. 27, 2023
SR-BOX-2023-20
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change 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
34-98566
Sept. 27, 2023
SR-CboeBZX-2023-069
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the VanEck Ethereum ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares View Received Comments
34-98571
Sept. 27, 2023
SR-CBOE-2023-055
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Relating to the Sale of Open-Close Volume Data Comments Due: Exhibit 5
34-98565
Sept. 27, 2023
SR-CboeBZX-2023-070
Notice of Designation of a Longer Period for Commission Action on 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
34-98563
Sept. 27, 2023
Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Hashdex Nasdaq Ethereum ETF under Nasdaq Rule 5711(i)
34-98567
Sept. 27, 2023
SR-NYSEARCA-2023-63
Notice of Filing 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
34-98564
Sept. 27, 2023
SR-NYSEARCA-2023-58
Notice of Filing of a Proposed Rule Change Regarding the Hashdex Bitcoin Futures ETF View Received Comments
34-98561
Sept. 27, 2023
SR-Phlx-2023-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Pricing Schedule at Options 7, Section 4 Regarding Marketing Fees Comments Due: Exhibit 5
34-98562
Sept. 27, 2023
SR-CboeBZX-2023-072
Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Franklin Bitcoin ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Comments Due: View Received Comments
34-98560
Sept. 27, 2023
SR-FINRA-2023-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020, 2021, 2022, and 2023) under FINRA Rule 3110 (Supervision) to inclu Comments Due:
34-98559
Sept. 27, 2023
SR-OCC-2023-003
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 Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations
34-98558
Sept. 27, 2023
SR-FICC-2023-012
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Margin Liquidity Adjustment Charge Comments Due:
34-98557
Sept. 27, 2023
SR-CBOE-2023-018
Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Make Permanent the Operation of its Flexible Exchange Options Pilot Program Regarding Permissible Settlem
34-98536
Sept. 26, 2023
SR-ICEEU-2023-011
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Wind Down Framework and Plan
34-98541
Sept. 26, 2023
SR-MIAX-2023-19
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend Exchange Rule 307, Position Limits View Received Comments
34-98533
Sept. 26, 2023
SR-MEMX-2023-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange’s Fee Schedule Comments Due:
34-98531
Sept. 26, 2023
SR-CboeBZX-2023-058
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Global X Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares View Received Comments
34-98530
Sept. 26, 2023
SR-CboeBZX-2023-028
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. 3, to List and Trade Shares of the ARK 21Shares Bitcoin ETF under BZX Rule 14 View Received Comments
34-98535
Sept. 26, 2023
SR-PEARL-2023-47
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC to Renumber the MIAX Pearl Equities Rulebook Comments Due: Exhibit 5
34-98534
Sept. 26, 2023
SR-MIAX-2023-36
Notice of Filing of a Proposed Rule Change to Amend Exchange Rule 404, Series of Option Contracts Open for Trading Comments Due: Exhibit 5
34-98532
Sept. 26, 2023
SR-CboeBZX-2023-063
Notice of Filing of a Proposed Rule Change to Adopt an Alternative to the Minimum $4 Price Requirement for Companies Seeking to List Tier II Securities on the Exchange View Received Comments
34-98529
Sept. 26, 2023
SR-PEARL-2023-48
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 2614(f) of the MIAX Pearl Equities Rulebook to Allow Self-Trade Protection Between Users that Access the Exchange Through a Direct Connection and Sponsored Acces Comments Due:
34-98528
Sept. 26, 2023
SR-PHLX-2023-40
Notice of Filing of Proposed Rule Change to Amend Equity 4, Rules 3301A and 3301B to Establish New "Contra Midpoint Only" and "Contra Midpoint Only with Post-Only" Order Types and to Make Other Corresponding Changes to the Rulebook View Received Comments
34-98527
Sept. 26, 2023
SR-PEARL-2023-46
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Options Fee Schedule Comments Due: Exhibit 5
34-98539
Sept. 26, 2023
SR-ICEEU-2023-022
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Clearing Membership Policy and Clearing Membership Procedures
34-98515
Sept. 25, 2023
SR-PEARL-2023-49
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Eligible Members Another Opportunity to Elect to Participate in the Maintaining Qualifications Program Comments Due:
34-98511
Sept. 25, 2023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Automated Price Improvement Auction Rules Comments Due: Exhibit 5
34-98504
Sept. 25, 2023
SR-MRX-2023-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Pricing Schedule at Options 7 to Specify Pricing Related to Unrelated Market or Marketable Interest Comments Due: Exhibit 5
34-98516
Sept. 25, 2023
SR-MIAX-2023-34
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Eligible Members Another Opportunity to Elect to Participate in the Maintaining Qualifications Program Comments Due:
34-98513
Sept. 25, 2023
SR-EMERALD-2023-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Eligible Members Another Opportunity to Elect to Participate in the Maintaining Qualifications Program Comments Due:
34-98509
Sept. 25, 2023
SR-CBOE-2023-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Certain Rules Related to Stock-Option Orders Comments Due: Exhibit 5
34-98502
Sept. 25, 2023
SR-CBOE-2023-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules Regarding Early Termination of Complex Order Auctions Comments Due: Exhibit 5
34-98508
Sept. 25, 2023
SR-NSCC-2023-007
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change by National Securities Clearing Corporation to Modify the Amended and Restated Stock Options and Futures Settlement Agreement and Make Certain Revisions to the NSCC Rule View Received Comments
34-98505
Sept. 25, 2023
SR-OCC-2023-007
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities C
34-98497
Sept. 25, 2023
SR-CboeBZX-2023-062
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Initial Period After Commencement of Trading of a Series of ETF Shares on the Exchange as It Relates to the Holders of Record and/or Beneficial Holders,
34-98495
Sept. 25, 2023
SR-NYSENAT-2023-20
Notice of Filing of Proposed Change to Amend the NYSE National Schedule of Fees and Rebates Comments Due: Exhibit 5
34-98490
Sept. 22, 2023
SR-DTC-2023-009
Notice of Filing and Immediate Effectiveness of Proposed Rule to Amend the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services) Comments Due: Exhibit 5
34-98489
Sept. 22, 2023
SR-NASDAQ-2023-036
Notice of Filing of Proposed Rule Change to Amend Rule 4120 and Rule 4753 Comments Due: View Received Comments Exhibit 5
