34-97289
April 12, 2023
SR-CboeEDGX-2023-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-97284
April 11, 2023
SR-DTC-2023-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update the Clearing Agency Securities Valuation Framework Comments Due: View Received Comments Exhibit 5
34-97283
April 11, 2023
SR-FICC-2023-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update the Clearing Agency Securities Valuation Framework Comments Due: View Received Comments Exhibit 5
34-97280
April 11, 2023
SR-NSCC-2023-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update the Clearing Agency Securities Valuation Framework Comments Due: View Received Comments Exhibit 5
34-97263
April 7, 2023
SR-NASDAQ-2022-079
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 Amend Rules 4702(b)(14) and (b)(15) Concerning Dynamic M-ELO Holding Periods View Received Comments Exhibit 5 , Exhibit 3a , Exhibit 3b
34-97262
April 7, 2023
SR-CboeEDGX-2023-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning Order-to-Trade Ratio Fees for Market Makers Comments Due: Exhibit 5
34-97268
April 7, 2023
SR-MEMX-2023-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange’s Fee Schedule Comments Due: Exhibit 5
34-97261
April 7, 2023
SR-ISE-2023-08
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Make Permanent Certain P.M.-Settled Pilots View Received Comments
34-97267
April 7, 2023
SR-NYSEARCA-2023-30
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Rule Governing the Listing and Trading of Shares of the Gabelli Equity Income ETF Comments Due:
34-97266
April 7, 2023
SR-BOX-2023-10
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 new Qualified Contingent Cross ("QCC") Growth Rebate Comments Due: Exhibit 5
34-97260
April 7, 2023
SR-Phlx-2023-07
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Make Permanent Certain P.M.-Settled Pilots View Received Comments
34-97257
April 6, 2023
SR-MSRB-2023-03
Notice of Filing of a Proposed Rule Change to Amend MSRB Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring One Business Day after the Trade Date and to Amend Rule G-12 to Update an Outdated Cross Refer Comments Due: View Received Comments Exhibit 5
34-97255
April 5, 2023
SR-MSRB-2023-01
Notice of Filing of Amendment No. 1 to Proposed Rule Change Consisting of Amendments to MSRB Rule G–40, on Advertising by Municipal Advisors, and MSRB Rule G–8, on Books and Records Comments Due: Exhibit 5 , Exhibit 4
34-97255
April 5, 2023
SR-MSRB-2023-01
Notice of Filing of Amendment No. 1 to Proposed Rule Change Consisting of Amendments to MSRB Rule G–40, on Advertising by Municipal Advisors, and MSRB Rule G–8, on Books and Records Comments Due: Exhibit 5 , Exhibit 4
34-97247
April 4, 2023
SR-FICC-2023-005
Notice of Filing of and Immediate Effectiveness of a Proposed Rule Change to Make Administrative Updates to FICC’s GSD Rules, MBSD Rules, EPN Rules, and Restated Certificate of Incorporation Comments Due: Exhibit 5
34-97249
April 4, 2023
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
34-97251
April 4, 2023
SR-NYSE-2023-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.02 of the NYSE Listed Company Manual With Respect to the Qualification Comments Due: Exhibit 5
34-97250
April 4, 2023
SR-DTC-2023-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Administrative Updates to DTC's Rules, Organization Certificate, and Certain Service Guides Comments Due: Exhibit 5
34-97252
April 4, 2023
SR-IEX-2023-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Several IEX Rules to Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and Other Proceedings Comments Due: Federal Register
34-97240
April 3, 2023
SR-CBOE-2023-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Comments Due: View Received Comments Exhibit 5
34-97239
April 3, 2023
SR-MIAX-2023-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule Comments Due:
34-97241
April 3, 2023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule to Delete Text that is No Longer in Effect Comments Due: Exhibit 5
34-97230
March 31, 2023
SR-ICEEU-2023-007
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments of the ICE Clear Europe Delivery Procedures Comments Due: Exhibit 5 Federal Register version (88 FR 20595)
34-97231
March 31, 2023
SR-NYSEAMER-2023-22
Notice of Filing and Immediate Effectiveness of Proposed Change To Make a Clarifying Change to the Term Settlement Style Applicable to Flexible Exchange Options Comments Due: Exhibit 5 Federal Register version (88 FR 20587)
34-97232
March 31, 2023
SR-Phlx-2023-09
Notice of Filing of Proposed Rule Change To Permit the Listing and Trading of Options on the Nasdaq-100 ESG Index Comments Due: Exhibit 5 Federal Register version (88 FR 20582)
34-97234
March 31, 2023
SR-NYSEARCA-2023-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (88 FR 20589)
34-97235
March 31, 2023
SR-CBOE-2022-057
Notice of Withdrawal of Proposed Rule Change To Increase the Position and Exercise Limits for Options on Apple Inc. Stock ("AAPL") Comments Due: Federal Register version (88 FR 20568)
34-97236
March 31, 2023
SR-PEARL-2023-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 2617 and 2626 Regarding Retail Orders Routed Pursuant to the Route to Primary Auction Routing Option Comments Due: Exhibit 5 Federal Register version (88 FR 20597)
34-97237
March 31, 2023
SR-FINRA-2023-006
Notice of Filing of a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 (Supervision) Comments Due: View Received Comments Federal Register version (88 FR 20568)
34-97225
March 30, 2023
SR-OCC-2023-003
Notice of Filing of Proposed Rule Change to Amend the Stress Testing Framework and Liquidity Risk Management Framework Comments Due: View Received Comments Federal Register version
34-97224
March 30, 2023
SR-ICEEU-2023-009
34-97224 Comments Due: Exhibit 5 , Exhibit 3
34-97220
March 29, 2023
SR-NYSEARCA-2023-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Shares of SGI U.S. Large Cap Core ETF Comments Due:
34-97218
March 29, 2023
SR-MSRB-2023-02
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Create New MSRB Rule G-46, on Duties of Solicitor Municipal Advisors, and to Amend MSRB Rule G-8, on Books and Record Comments Due: Exhibit 4 , Exhibit 5
34-97214
March 28, 2023
SR-NYSEAMER-2023-23
Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Rule 7.25E Comments Due: Exhibit 5
34-97211
March 28, 2023
SR-NASDAQ-2023-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Shares of the SGI Dynamic Tactical ETF Under Nasdaq Rule 5750 ("Proxy Portfolio Shares") Comments Due:
34-97210
March 28, 2023
SR-MEMX-2023-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend and Restate the Limited Liability Company Agreement of MEMX Holdings LLC Comments Due: Exhibit 5
34-97212
March 28, 2023
4-698
Notice of Withdrawal of Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail, as Modified by Partial Amendment Nos. 1 and 2 View Received Comments
34-97206
March 27, 2023
SR-NYSE-2023-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 308 as Defined in Rule 9232(b) and Delete and Replace Certain Obsolete References Comments Due: Exhibit 5 Federal Register version (88 FR 19334)
34-97196
March 24, 2023
SR-ICC-2023-003
Notice of Filing of Proposed Rule Change Relating to British Pounds Sterling as Client-Related Margin Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (88 FR 19183)
34-97194
March 24, 2023
SR-NASDAQ-2022-077
Notice of Withdrawal of Proposed Rule Change To Amend Rule 4702 To Establish New "Contra Midpoint Only" and "Contra Midpoint Only With Post-Only" Order Types View Received Comments Federal Register version (88 FR 19178)
34-97197
March 24, 2023
SR-CboeEDGA-2023-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Sponsored Participant Rules Comments Due: Exhibit 5 Federal Register version (88 FR 19180)
34-97139
March 24, 2023
SR-CboeEDGX-2023-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Sponsored Participant Rules 11.3(a) and 11.3(b)(2) Comments Due: Exhibit 5
34-97188
March 23, 2023
SR-C2-2023-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (88 FR 18616)
34-97189
March 23, 2023
SR-CBOE-2023-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (88 FR 18609)
34-97191
March 23, 2023
SR-CboeEDGX-2023-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (88 FR 18591)
34-97190
March 23, 2023
SR-CboeBZX-2023-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (88 FR 18598)
34-97183
March 22, 2023
SR-CFE-2023-001
Notice of a Filing of a Proposed Rule Change To Update Regulatory Independence Policies Comments Due: Exhibit 4 Federal Register version (88 FR 18356)
34-97184
March 22, 2023
SR-FINRA-2023-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1240.01 To Provide Eligible Individuals Another Opportunity To Elect To Participate in the Maintaining Qualifications Program Comments Due: Federal Register version (88 FR 18359)
34-97186
March 22, 2023
SR-CboeEDGX-2023-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (88 FR 18353)
34-97181
March 21, 2023
SR-FINRA-2023-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules To Address Duplicative Requirements Comments Due: Exhibit 5 Federal Register version (88 FR 18199)
34-97173
March 21, 2023
SR-NYSEAMER-2023-19
Notice of Filing and Immediate Effectiveness of Proposed Change to Replace the Thirteenth Amended and Restated Operating Agreement Comments Due: Exhibit 5
34-97176
March 21, 2023
SR-CboeBYX-2023-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Sponsored Participant Rules 11.3(a) and 11.3(b)(2) Comments Due: Exhibit 5 Federal Register version (88 FR 18193)
34-97174
March 21, 2023
SR-BOX-2023-09
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Historical Data Product To Be Known as the Intraday Open-Close Data Report and To Adopt Fees for Such Product Comments Due: Exhibit 5 Federal Register version (88 FR 18201)
34-97160
March 20, 2023
SR-BX-2023-007
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Equity 4, Rule 4120 To Establish Common Criteria and Procedures for Halting and Resuming Trading in Equity Securities in the Event of Regulatory or Operational Issues, Reorganize the Text of the Rule, and Make Conforming Changes to Related Rules Comments Due: Exhibit 5 Federal Register version (88 FR 17891)
34-97167
March 20, 2023
SR-MIAX-2023-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (88 FR 17902)
34-97168
March 20, 2023
SR-PEARL-2023-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX Pearl Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (88 FR 17882)
34-97170
March 20, 2023
SR-NYSE-2023-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Comments Due: Exhibit 5 Federal Register version (88 FR 17907)
34-97156
March 17, 2023
SR-MRX-2023-04
Notice of Withdrawal of Proposed Rule Change To Amend the Exchange Pricing Schedule at Options 7, Section 3 Comments Due: View Received Comments Federal Register version (88 FR 17632)
34-97159
March 17, 2023
SR-CboeEDGX-2023-008
Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Federal Register version (88 FR 17632)
34-97150
March 15, 2023
SR-OCC-2023-002
Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning the Amendment of its Clearing Membership Standards. Comments Due: Exhibit 2 , Exhibit 5a , Exhibit 5b
34-97145
March 15, 2023
SR-NYSEARCA-2023-06
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 7.44-E Relating to the Retail Liquidity Program Comments Due:
34-97147
March 15, 2023
SR-NYSEARCA-2023-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.40P-O Pertaining to Pre-trade Risk Controls Comments Due: Exhibit 5
34-97148
March 15, 2023
SR-MRX-2023-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Pricing Schedule at Options 7, Section 3 to Introduce a Growth Incentive Comments Due: Exhibit 5
34-97149
March 15, 2023
SR-MIAX-2023-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Non-Substantively Amend the MIAX Fee Schedule Comments Due: Exhibit 5
34-97146
March 15, 2023
SR-CboeBZX-2023-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Sponsored Participant Rules 11.3(a) and 11.3(b)(2) Comments Due: Exhibit 5
34-97151
March 15, 2023
4-698
Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments
34-97133
March 14, 2023
SR-Phlx-2023-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 4 Regarding Multiply Listed Options Fees Comments Due: Exhibit 5
34-97134
March 14, 2023
SR-C2-2023-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule Comments Due: Exhibit 5
34-97136
March 14, 2023
SR-CboeEDGX-2023-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-97137
March 14, 2023
SR-CBOE-2023-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update the Cboe Data Services, LLC Fee Schedule Comments Due: View Received Comments Exhibit 5 , Exhibit 5a
34-97138
March 14, 2023
SR-CboeBZX-2023-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-97125
March 13, 2023
SR-NYSEAMER-2023-17
Notice of Filing of Proposed New Rule 980NYP and Conforming Amendments to Rule 935NY Exhibit 5 Federal Register version (88 FR 16467)
34-97124
March 13, 2023
SR-PEARL-2023-10
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 Federal Register version (88 FR 16504)
34-97126
March 13, 2023
SR-GEMX-2023-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of Certain Trading Functionality Comments Due: Federal Register version (88 FR 16485)
34-97130
March 13, 2023
SR-MEMX-2023-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Market Data Fees Comments Due: Exhibit 5 Federal Register version (88 FR 16491)
34-97131
March 13, 2023
SR-MEMX-2023-02
Notice of Withdrawal of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Market Data Fees Comments Due: View Received Comments Federal Register version (88 FR 16484)
34-97123
March 13, 2023
SR-LTSE-2023-01
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Establish Listing Standards Related To Recovery of Erroneously Awarded Incentive-Based Executive Compensation Comments Due: Exhibit 5 Federal Register version (88 FR 16487)
34-97127
March 13, 2023
SR-BOX-2023-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7110 (Order Entry) and Rule 7130 (Execution and Price/Time Priority) Regarding Availability of Identity of Options Participants Comments Due: Exhibit 5 Federal Register version (88 FR 16465)
34-97104
March 10, 2023
SR-FINRA-2023-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Research Analyst (Series 86/87) Examination Comments Due: Federal Register version (88 FR 16289)
34-97106
March 10, 2023
SR-NYSEARCA-2023-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges Comments Due: Exhibit 5 Federal Register version (88 FR 16295)
34-97109
March 10, 2023
SR-BX-2023-006
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 2 Regarding PRISM Pricing Comments Due: Exhibit 5 Federal Register version (88 FR 16291)
34-97108
March 10, 2023
SR-CboeBZX-2023-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule Comments Due: Exhibit 5 Federal Register version (88 FR 16285)
34-97094
March 9, 2023
SR-ICC-2023-002
Notice of Filing of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts Comments Due: Exhibit 5 Federal Register version (88 FR 16042)
34-97088
March 9, 2023
SR-NYSEARCA-2023-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.62P-O(i)(2) Comments Due: Exhibit 5 Federal Register version (88 FR 16071)
34-97093
March 9, 2023
SR-PEARL-2023-11
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 Federal Register version (88 FR 16045)
34-97099
March 9, 2023
SR-CboeBZX-2023-013
Notice of Filing of a 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 Policy To Comply With Rule 10D-1 Under the Exchange Act and Make Other Related Changes Comments Due: View Received Comments Exhibit 5 Federal Register version (88 FR 16051)
34-97078
March 8, 2023
SR-EMERALD-2023-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product Comments Due: Exhibit 5 Federal Register version (88 FR 15813)
34-97079
March 8, 2023
SR-EMERALD-2023-05
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 Federal Register version (88 FR 15764)
34-97065
March 8, 2023
SR-NYSEARCA-2023-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Certificate of Incorporation Comments Due: Exhibit 5 Federal Register version (88 FR 15822)
34-97077
March 8, 2023
SR-PEARL-2023-06
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 Federal Register version (88 FR 15746)
34-97080
March 8, 2023
SR-MIAX-2023-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product Comments Due: Exhibit 5 Federal Register version (88 FR 15803)
34-97081
March 8, 2023
SR-MIAX-2023-08
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 Federal Register version (88 FR 15782)
34-97082
March 8, 2023
SR-PEARL-2023-05
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: Exhibit 5 Federal Register version (88 FR 15825)
34-97054
March 7, 2023
SR-NYSEAMER-2023-14
Notice of Filing of Proposed Change To Adopt New Section 811 of NYSE American Company Guide To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation Exhibit 5 Federal Register version (88 FR 15466)
34-97057
March 7, 2023
SR-NYSEAMER-2023-15
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Article II, Section 2.03(b) of Its Operating Agreement Comments Due: Exhibit 5 Federal Register version (88 FR 15484)
34-97062
March 7, 2023
SR-FINRA-2023-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 Comments Due: Federal Register version (88 FR 15473)
34-97052
March 7, 2023
SR-NYSECHX-2023-09
Notice of Filing of Proposed Rule Change To Adopt New NYSE Chicago Rule 29 To Establish Listing Standards Related To Recovery of Erroneously Awarded Incentive-Based Executive Compensation Comments Due: Exhibit 5 Federal Register version (88 FR 15476)
34-97053
March 7, 2023
SR-NYSEARCA-2023-20
Notice of Filing of 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 Exhibit 5 Federal Register version (88 FR 15495)
34-97055
March 7, 2023
SR-NYSE-2023-12
Notice of Filing of 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 Exhibit 5 Federal Register version (88 FR 15480)
34-97056
March 7, 2023
SR-NYSECHX-2023-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section FIFTH of Its Certificate of Incorporation Comments Due: Exhibit 5 Federal Register version (88 FR 15488)
