34-97520
May 17, 2023
SR-MIAX-2023-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 518, Complex Orders Comments Due: Exhibit 5
34-97519
May 17, 2023
SR-PEARL-2023-22
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
34-97513
May 16, 2023
SR-CboeBZX-2023-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-97504
May 15, 2023
SR-NYSEARCA-2023-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges Comments Due: Exhibit 5
34-97487
May 11, 2023
SR-CBOE-2023-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update the Cboe Data Services, LLC Fee Schedule Comments Due: Exhibit 5A , Exhibit 5B
34-97486
May 11, 2023
SR-C2-2023-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update its Fees Schedule Comments Due: Exhibit 5
34-97484
May 11, 2023
SR-OCC-2023-004
Notice of Filing of Proposed Rule Change by The Options Clearing Corporation to Amend and Enhance the Options Clearing Corporation's Model Risk Management Policy Comments Due: Exhibit 3 , Exhibit 5
34-97494
May 11, 2023
SR-LTSE-2023-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2.250 to Remove Obsolete Text Comments Due: Exhibit 5
34-97482
May 11, 2023
SR-ICC-2023-005
Notice of Designation of Longer Period for Commission Action on Proposed Rule Relating to the Clearance of Additional Credit Default Swap Contracts
34-97481
May 11, 2023
SR-CboeEDGX-2023-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-97480
May 11, 2023
SR-CboeBZX-2023-030
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: View Received Comments Exhibit 5
34-97490
May 11, 2023
SR-CboeBZX-2023-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-97473
May 10, 2023
SR-BX-2023-009
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Pricing Schedule at BX Options 7, Section 2 to Increase the Taker Fee for Customer Orders in SPY Comments Due: Exhibit 5
34-97471
May 10, 2023
SR-NASDAQ-2023-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 2 Comments Due: Exhibit 5
34-97466
May 9, 2023
SR-NASDAQ-2023-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118 Comments Due: Exhibit 5
34-97465
May 9, 2023
SR-Phlx-2023-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 3(a)(1) Comments Due: Exhibit 5
34-97464
May 9, 2023
SR-BX-2023-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118 Comments Due: Exhibit 5
34-97462
May 9, 2023
SR-MEMX-2023-08
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Fee Schedule Comments Due: Exhibit 5
34-97461
May 9, 2023
SR-CboeBZX-2023-028
Notice of Filing of a Proposed Rule Change to List and Trade Shares of the ARK 21Shares Bitcoin ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares View Received Comments
34-97460
May 9, 2023
SR-NYSEARCA-2023-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5
34-97459
May 8, 2023
SR-CboeEDGX-2023-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 21.8 Regarding Certain Cancel-Replace Messages Comments Due: Exhibit 5
34-97457
May 8, 2023
SR-CboeBZX-2023-029
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 21.8 Regarding Certain Cancel-Replace Messages Comments Due: Exhibit 5
34-97456
May 8, 2023
SR-C2-2023-011
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 5.32 Regarding Certain Cancel-Replace Messages Comments Due: Exhibit 5
34-97455
May 8, 2023
SR-ICC-2023-008
Notice of Filing of Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures Comments Due: Exhibit 5
34-97454
May 8, 2023
SR-PEARL-2023-21
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 2622, Limit Up-Limit Down Plan and Trading Halts Comments Due: Exhibit 5
34-97452
May 8, 2023
SR-CBOE-2023-025
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:
34-97440
May 5, 2023
SR-MRX-2023-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Options 7, Section 3 Comments Due: Exhibit 5
34-97444
May 5, 2023
SR-NFA-2023-01
Notice of Filing and Immediate Effectiveness of Proposed Change to NFA Compliance Rule 2-9(c) and the Interpretive Notice Entitled "NFA Compliance Rule 2-9: FCM and IB Anti-Money Laundering Program" Comments Due: Exhibit 5(a)-(k)
34-97446
May 5, 2023
SR-CBOE-2023-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Operation of its SPXPM Pilot Program Comments Due:
34-97445
May 5, 2023
SR-CBOE-2023-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Renew an Existing Pilot Program Until November 6, 2023 Comments Due:
34-97443
May 5, 2023
SR-CboeEDGX-2023-035
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
34-97442
May 5, 2023
SR-CboeBZX-2023-034
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
34-97436
May 4, 2023
SR-CboeBZX-2023-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due:
34-97435
May 4, 2023
SR-NYSEARCA-2023-06
Notice of Withdrawal of Proposed Rule Change to Amend Rule 7.44-E Relating to the Retail Liquidity Program
34-97434
May 4, 2023
SR-CboeBYX-2023-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-97432
May 4, 2023
SR-CboeEDGA-2023-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-97431
May 4, 2023
SR-CboeEDGA-2023-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-97430
May 4, 2023
SR-CboeEDGX-2023-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-97429
May 4, 2023
SR-ICEEU-2023-010
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Clearing Rules Comments Due: Exhibit 5
34-97426
May 3, 2023
SR-Phlx-2023-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 4 Comments Due: Exhibit 5
34-97423
May 2, 2023
SR-MSRB-2023-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MSRB Rule G-27 to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2024 and Amend MSRB Rule G-16 to Delete Temporary Relief for the Comments Due: Exhibit 5
34-97422
May 2, 2023
SR-EMERALD-2023-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Emerald, LLC to Amend the Fee Schedule to Modify Certain Connectivity and Port Fees Comments Due: View Received Comments Exhibit 5
34-97421
May 2, 2023
SR-MIAX-2023-19
Notice of Filing of a Proposed Rule Change to Amend Exchange Rule 307, Position Limits View Received Comments Exhibit 5
34-97420
May 2, 2023
SR-PEARL-2023-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Options Fee Schedule to Modify Certain Connectivity and Port Fees Comments Due: View Received Comments Exhibit 5
34-97419
May 2, 2023
SR-MIAX-2023-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Modify Certain Connectivity and Port Fees Comments Due: View Received Comments Exhibit 5
34-97418
May 2, 2023
SR-BOX-2023-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC Facility to Establish a Monthly Dividend Strategy Fee Cap for Dividend Strategy Qualified Open Outcry Orders Comments Due: Exhibit 5
34-97417
May 2, 2023
SR-PEARL-2023-18
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: View Received Comments Exhibit 5
34-97416
May 2, 2023
SR-Phlx-2023-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 4 Regarding Qualified Contingent Cross Growth Tier Rebate Comments Due: Exhibit 5
34-97404
April 28, 2023
SR-CBOE-2023-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Cboe Options Rule 3.34 Comments Due: Exhibit 5
34-97403
April 28, 2023
SR-FINRA-2023-008
Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 1015, 9261, 9341, 9524, 9830 and Funding Portal Rule 900 (Code of Procedure) to Permit Hearings Under Those Rules to Be Conducted by Video Conference Comments Due:
34-97398
April 28, 2023
SR-FINRA-2023-007
Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision) Comments Due: View Received Comments
34-97394
April 27, 2023
SR-NYSEAMER-2023-17
Notice of Designation of a Longer Period for Commission Action on Proposed New Rule 980NYP and Conforming Amendments to Rule 935NY
34-97393
April 27, 2023
SR-CboeEDGX-2023-030
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule View Received Comments Exhibit 5
34-97392
April 27, 2023
SR-CboeBZX-2023-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: View Received Comments Exhibit 5
34-97385
April 26, 2023
SR-Phlx-2023-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Certain Pilot Programs Comments Due: View Received Comments Exhibit 5
34-97384
April 26, 2023
SR-Phlx-2023-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Credits at Equity 7, Section 3 Comments Due: View Received Comments Exhibit 5
34-97383
April 26, 2023
SR-ICEEU-2023-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Futures and Options Default Management Policy Comments Due: Exhibit 5A , Exhibit 5B
34-97386
April 26, 2023
SR-ISE-2023-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Certain Pilot Programs Comments Due: Exhibit 5
34-97387
April 26, 2023
SR-EMERALD-2023-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule Comments Due: Exhibit 5
34-97378
April 25, 2023
SR-NYSEARCA-2023-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Representations Relating to the Hennessy Stance ESG Large Cap ETF Comments Due:
34-97374
April 25, 2023
SR-NYSEAMER-2023-27
Notice of Filing of Proposed Change to Amend Rule 915 (Criteria for Underlying Securities) to Accelerate the Listing of Options on Certain IPOs View Received Comments Exhibit 5
34-97375
April 25, 2023
SR-NYSEARCA-2023-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Shares of the Veridien Climate Action ETF Under Rule 8.900-E (Managed Portfolio Shares) Comments Due:
34-97373
April 25, 2023
SR-NYSEARCA-2023-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule Comments Due: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
34-97372
April 25, 2023
SR-NYSEAMER-2023-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE American Options Fee Schedule Comments Due: View Received Comments Exhibit 5
34-97371
April 25, 2023
SR-CBOE-2023-020
Notice of Filing of a Proposed Rule Change to Make the Nonstandard Expirations Pilot Program Permanent Comments Due: Exhibit 3
34-97368
April 24, 2023
SR-CBOE-2023-018
Notice of Filing of a Proposed Rule Change to Make Permanent the Operation of its Flexible Exchange Options Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options Comments Due: View Received Comments Exhibit 3
34-97367
April 24, 2023
SR-CBOE-2023-005
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent the Operation of the Program that Allows the Exchange to List P.M Comments Due: Comments due: Rebuttal comments due: June 2, 2023 Exhibit 4
34-97366
April 24, 2023
SR-CBOE-2023-019
Notice of Filing of a Proposed Rule Change to Make Permanent the Operation of its Program ("Pilot Program") that Allows the Exchange to List P.M.-Settled Third Friday-of-the-Month Mini-SPX Index ("XSP") Options and Mini-Russell 2000 Index ("MRUT") Option Comments Due: Exhibit 3
34-97361
April 24, 2023
SR-NYSEAMER-2023-14
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt New Section 811 of NYSE American Company Guide to Establish Listing Stand
34-97360
April 24, 2023
SR-GEMX-2023-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX's Pricing Schedule at Options 7 Comments Due: Exhibit 5
34-97365
April 24, 2023
SR-LTSE-2023-01
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation
34-97358
April 24, 2023
SR-CFE-2023-002
Notice of a Filing of a Proposed Rule Change Regarding Reporting Requirements for Exchange of Contract for Related Position Transactions and Block Trades Comments Due: View Received Comments Exhibit 4
34-97353
April 24, 2023
SR-NASDAQ-2023-005
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Establish Listing Standards Related to Recovery of Erroneously Awarded Executive Compensation View Received Comments
34-97354
April 24, 2023
SR-NYSE-2023-12
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt New Section 303A.14 of the NYSE Listed Company Manual to Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation View Received Comments
34-97364
April 24, 2023
SR-CboeBZX-2023-013
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Listing Rules to Require Companies Listed on the Exchange to Develop, Implement, and Disclose a Written Compensation Recovery Comments Due: View Received Comments
34-97362
April 24, 2023
SR-NYSEARCA-2023-20
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt New NYSE Arca Rule 5.3-E(p) to Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation
34-97363
April 24, 2023
SR-NYSECHX-2023-09
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt New NYSE Chicago Rule 29 to Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation View Received Comments
34-97348
April 21, 2023
SR-ICC-2023-002
Notice of Designation of Longer Period for Commission Action on Proposed Rule Relating to the Clearance of Additional Credit Default Swap Contracts
34-97346
April 21, 2023
SR-LTSE-2023-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Term That Newly and Currently Listed Companies May Receive Capital Markets Solutions on a Complimentary Basis Under LTSE Rule 14.602 Comments Due: Exhibit 5
34-97341
April 20, 2023
SR-IEX-2023-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow Non-Displayed Discretionary Limit Orders to be Submitted with a Minimum Quantity Instruction Comments Due: Exhibit 5
34-97326
April 19, 2023
SR-EMERALD-2023-10
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
34-97327
April 19, 2023
SR-MIAX-2023-17
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: View Received Comments Exhibit 5
34-97307
April 19, 2023
SR-EMERALD-2023-09
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Increase Fees for the ToM Market Data Product and Esta Comments Due: Exhibit 5
34-97319
April 18, 2023
SR-CboeBZX-2023-023
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: View Received Comments Exhibit 5
34-97318
April 17, 2023
SR-ICC-2023-004
Notice of Filing of Proposed Rule Change Relating to Clearance of Additional Credit Default Swap Contracts Comments Due: Exhibit 5
34-97311
April 14, 2023
SR-ICEEU-2023-008
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments of ICE Futures Europe ("IFEU") Oil Futures Contracts Comments Due: Exhibit 5 , Exhibit 3
34-97306
April 14, 2023
SR-CBOE-2022-051
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend Rules Relating to the Processing of Auction Responses
34-97307
April 13, 2023
SR-EMERALD-2023-09
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule Comments Due: Exhibit 5
34-97308
April 13, 2023
SR-PEARL-2023-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Equities Fee Schedule Comments Due: Exhibit 5
34-97305
April 13, 2023
SR-PEARL-2023-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Options Fee Schedule Comments Due: Exhibit 5
34-97303
April 13, 2023
SR-CboeBYX-2023-006
34-97303 Comments Due: View Received Comments Exhibit 5
34-97304
April 13, 2023
SR-CboeBZX-2023-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a New Data Product to be Known as the US Equity Short Volume & Trades Report Comments Due: Exhibit 5
34-97301
April 13, 2023
SR-CboeEDGA-2023-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a New Data Product to be Known as the US Equity Short Volume & Trades Report Comments Due: View Received Comments Exhibit 5
34-97300
April 13, 2023
SR-CboeEDGX-2023-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a New Data Product to be Known as the US Equity Short Volume & Trades Report Comments Due: View Received Comments Exhibit 5
34-97297
April 13, 2023
SR-NYSEAMER-2023-16
Notice of Filing and Immediate Effectiveness of Proposed Change to Modify Rule 900.2NY and to Adopt New Rules 964NYP, 964.1NYP, and 964.2NYP Comments Due: Exhibit 5
34-97302
April 13, 2023
SR-MIAX-2023-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule Comments Due: Exhibit 5
34-97291
April 12, 2023
SR-FINRA-2022-033
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change, as modified by Amendment No. 1, to Amend the Codes of Arbitration Procedure to Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Independent Counsel Lowenstein Sandler LLP Comments Due: View Received Comments
34-97287
April 12, 2023
SR-NYSEARCA-2023-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5
34-97294
April 12, 2023
SR-FINRA-2022-024
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, to Amend the Codes of Arbitration Procedure Comments Due:
34-97290
April 12, 2023
SR-BX-2023-008
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Credits at Equity 7, Section 118 Comments Due: Exhibit 5
