34-94055
Jan. 25, 2022
SR-CboeBZX-2021-051
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. 1, To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Comments Due: View Received Comments Federal Register version (87 FR 4980)
34-94044
Jan. 24, 2022
SR-PHLX-2022-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend References to FINRA Continuing Education Fees Comments Due: Federal Register version (87 FR 4693)
34-94030
Jan. 24, 2022
SR-NYSE-2022-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31 To Provide for Inside Limit Orders and Make Other Conforming Changes Comments Due: Exhibit 5 Federal Register version (87 FR 4695)
34-94040
Jan. 24, 2022
SR-GEMX-2022-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend References to FINRA Continuing Education Fees Comments Due: Federal Register version (87 FR 4680)
34-94037
Jan. 24, 2022
SR-BX-2022-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend References to FINRA Continuing Education Fees Comments Due: Federal Register version (87 FR 4678)
34-94036
Jan. 24, 2022
SR-NASDAQ-2022-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend References to FINRA Continuing Education Fees Comments Due: Federal Register version (87 FR 4688)
34-94043
Jan. 24, 2022
SR-MRX-2022-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend References to FINRA Continuing Education Fees Comments Due: Federal Register version (87 FR 4699)
34-94039
Jan. 24, 2022
SR-MIAX-2022-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Professional Rebate Program Comments Due: Exhibit 5 Federal Register version (87 FR 4672)
34-94042
Jan. 24, 2022
SR-ISE-2022-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend References to FINRA Continuing Education Fees Comments Due: Federal Register version (87 FR 4686)
34-94041
Jan. 24, 2022
SR-CBOE-2022-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule With Respect to Its FINRA Non-Member Processing Registration Fee Comments Due: Federal Register version (87 FR 4697)
34-94023
Jan. 21, 2022
SR-C2-2022-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule With Respect to Its FINRA Non-Member Processing Registration Fee Comments Due: Federal Register version (87 FR 4319)
34-94015
Jan. 20, 2022
SR-NYSEArca-2022-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (87 FR 4090)
34-94017
Jan. 20, 2022
SR-NYSEArca-2022-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Cap Certain Port Fees Comments Due: Exhibit 5 Federal Register version (87 FR 4095)
34-94016
Jan. 20, 2022
SR-LCHSA-2022-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the New Swaption Standard Terms Supplement Comments Due: Exhibit 5 Federal Register version (87 FR 4066)
34-94018
Jan. 20, 2022
SR-FINRA-2022-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effectiveness of Temporary Supplementary Material .17 (Temporary Relief To Allow Remote Inspections for Calendar Years 2020 and 2021, and Through June 30 of Calendar Year 2022) Under FINRA Rule 3110 (Supervision) Comments Due: View Received Comments Federal Register version (87 FR 4072)
34-94011
Jan. 20, 2022
SR-FINRA-2021-030
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend FINRA Rule 6730 To Require Members To Append Modifiers To Delayed Treasury Spot Trades and Portfolio Trades When Reporting to TRACE Federal Register version (87 FR 4097)
34-94008
Jan. 20, 2022
SR-CboeEDGX-2021-049
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report, Modify the Name of Rule 13.8 to "Data Products", and Add a Preamble to Rule 13.8 Comments Due: View Received Comments Federal Register version (87 FR 4069)
34-94007
Jan. 20, 2022
SR-CboeEDGA-2021-025
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report, Modify the Name of Rule 13.8 to "Data Products", and Add a Preamble to Rule 13.8 Comments Due: View Received Comments Federal Register version (87 FR 4072)
34-94010
Jan. 20, 2022
SR-CboeBZX-2021-078
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report Comments Due: View Received Comments Federal Register version (87 FR 4075)
34-94009
Jan. 20, 2022
SR-CboeBYX-2021-028
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report Comments Due: View Received Comments Federal Register version (87 FR 4098)
34-94012
Jan. 20, 2022
SR-CboeBYX-2021-024
Notice of Filing of Amendment No. 2 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 2, To Make Clarifying Changes Regarding Its Periodic Auctions Comments Due: View Received Comments Federal Register version (87 FR 4060)
34-94000
Jan. 19, 2022
SR-EMERALD-2021-38
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 531 To Provide for a New Service Called the "High Precision Network Time Signal Service" View Received Comments Federal Register version (87 FR 3865)
34-94003
Jan. 19, 2022
SR-NYSEArca-2021-65
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 Sprott ESG Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) Comments Due: View Received Comments Federal Register version (87 FR 3865)
34-93999
Jan. 19, 2022
SR-GEMX-2022-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Pricing Schedule at Options 7, Section 3 Comments Due: Exhibit 5 Federal Register version (87 FR 3866)
34-93998
Jan. 19, 2022
SR-C2-2022-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.5 To Improve the Operation of the Rule Comments Due: Federal Register version (87 FR 3860)
34-93994
Jan. 18, 2022
SR-CboeBZX-2022-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products Comments Due: View Received Comments Exhibit 5 Federal Register version (87 FR 3613)
34-93986
Jan. 18, 2022
SR-Phlx-2022-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's Pricing Schedule at Options 7, Section 3 Comments Due: Exhibit 5 Federal Register version (87 FR 3632)
34-93992
Jan. 18, 2022
SR-NYSE-2022-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Extend a Waiver of New Firm Application Fees for Certain Applications and of Bond Trading License Fees Comments Due: Exhibit 5 Federal Register version (87 FR 3635)
34-93989
Jan. 18, 2022
SR-BX-2022-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BX Pricing Schedule at Options 7, Section 2 Comments Due: Exhibit 5 Federal Register version (87 FR 3625)
34-93987
Jan. 18, 2022
SR-NASDAQ-2022-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NOM Pricing Schedule at Options 7, Section 2 Comments Due: Exhibit 5 Federal Register version (87 FR 3610)
34-93991
Jan. 18, 2022
SR-CboeEDGX-2022-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 20.6 To Improve the Operation of the Rule Comments Due: Federal Register version (87 FR 3628)
34-93997
Jan. 18, 2022
SR-CboeEDGX-2022-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products Comments Due: Exhibit 5 Federal Register version (87 FR 3604)
34-93995
Jan. 18, 2022
SR-CboeEDGA-2022-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products Comments Due: View Received Comments Exhibit 5 Federal Register version (87 FR 3597)
34-93988
Jan. 18, 2022
SR-CboeBZX-2022-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 20.6 To Improve the Operation of the Rule Comments Due: Federal Register version (87 FR 3636)
34-93996
Jan. 18, 2022
SR-CboeBYX-2022-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Various Market Data Products Comments Due: Exhibit 5 Federal Register version (87 FR 3599)
34-93990
Jan. 18, 2022
SR-CBOE-2022-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.5 To Improve the Operation of the Rule Comments Due: Federal Register version (87 FR 3592)
34-93979
Jan. 14, 2022
SR-PEARL-2022-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule Comments Due: Exhibit 5 Federal Register version (87 FR 3151)
34-93982
Jan. 14, 2022
SR-BOX-2022-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility Comments Due: Federal Register version (87 FR 3138)
34-93973
Jan. 13, 2022
SR-NYSEAMER-2021-54
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Equities Price List and Fee Schedule Comments Due: Exhibit 5 Federal Register version (87 FR 3143)
34-93972
Jan. 13, 2022
SR-MIAX-2021-58
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Exchange Rule 532, Order and Quote Price Protection Mechanisms and Risk Controls Comments Due: View Received Comments Federal Register version (87 FR 3137)
34-93974
Jan. 13, 2022
SR-CboeBZX-2022-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (87 FR 3160)
34-93975
Jan. 13, 2022
SR-C2-2022-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (87 FR 3150)
34-93962
Jan. 12, 2022
SR-EMERALD-2022-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Emerald, LLC To Amend Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors Comments Due: Exhibit 5 Federal Register version (87 FR 2950)
34-93967
Jan. 12, 2022
SR-EMERALD-2021-45
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (87 FR 2968)
34-93968
Jan. 12, 2022
SR-EMERALD-2021-46
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Comments Due: Federal Register version (87 FR 2960)
34-93960
Jan. 12, 2022
SR-NYSEArca-2021-109
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 (87 FR 2964)
34-93965
Jan. 12, 2022
SR-PEARL-2022-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors Comments Due: Exhibit 5 Federal Register version (87 FR 2954)
34-93969
Jan. 12, 2022
SR-MIAX-2021-64
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by To Amend Its Fee Schedule Comments Due: Federal Register version (87 FR 2963)
34-93961
Jan. 12, 2022
SR-MIAX-2022-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors Comments Due: Exhibit 5 Federal Register version (87 FR 2943)
34-93954
Jan. 12, 2022
SR-MEMX-2021-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 15.1(e) Regarding FINRA Registration and Processing Fees Comments Due: View Received Comments Federal Register version (87 FR 2958)
34-93964
Jan. 12, 2022
SR-CboeEDGX-2022-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (87 FR 2947)
34-93955
Jan. 12, 2022
SR-CBOE-2021-076
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (87 FR 2971)
34-93958
Jan. 12, 2022
SR-CBOE-2021-068
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt a Modified Trading Schedule for Holidays Comments Due: Federal Register version (87 FR 2971)
34-93950
Jan. 11, 2022
SR-NASDAQ-2021-107
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain Exchange Traded Product Listing Fees Comments Due: Exhibit 5 Federal Register version (87 FR 2643)
34-93951
Jan. 11, 2022
SR-PEARL-2021-60
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule Comments Due: Federal Register version (87 FR 2653)
34-93949
Jan. 11, 2022
SR-MEMX-2021-21
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Comments Due: Exhibit 5 Federal Register version (87 FR 2655)
34-93952
Jan. 11, 2022
SR-LCHSA-2021-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to 2022 CDSClear Fee Grid Comments Due: Exhibit 5 Federal Register version (87 FR 2647)
34-93937
Jan. 10, 2022
SR-MEMX-2021-22
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Connectivity Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (87 FR 2466)
34-93933
Jan. 7, 2022
SR-NYSE-2021-40
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in Rule 7.12 Comments Due: View Received Comments Federal Register version (87 FR 2189)
34-93927
Jan. 7, 2022
SR-MEMX-2021-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Establish a Monthly Membership Fee Comments Due: Exhibit 5 Federal Register version (87 FR 2191)
34-93928
Jan. 7, 2022
SR-FINRA-2021-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Section 4 of Schedule A to the FINRA By-Laws Relating to the Continuing Education Fees Comments Due: Federal Register version (87 FR 2193)
34-93917
Jan. 6, 2022
SR-NYSEAMER-2021-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 Comments Due: Federal Register version (87 FR 1825)
34-93916
Jan. 6, 2022
SR-OCC-2021-014
Notice of Filing of Proposed Rule Change Concerning the Options Clearing Corporation's Cash and Investment Management Comments Due: Exhibit 5b , Exhibit 5b Federal Register version (87 FR 1819)
34-93915
Jan. 6, 2022
SR-OCC-2021-803
Notice of Filing of Advance Notice Concerning The Options Clearing Corporation’s Cash and Investment Management Comments Due: View Received Comments Exhibit 5b Federal Register version (87 FR 1814)
34-93919
Jan. 6, 2022
SR-NYSENAT-2021-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 Comments Due: Federal Register version (87 FR 1804)
34-93918
Jan. 6, 2022
SR-NYSEARCA-2021-107
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 Comments Due: Federal Register version (87 FR 1810)
34-93920
Jan. 6, 2022
SR-NYSE-2021-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 Comments Due: Federal Register version (87 FR 1794)
34-93924
Jan. 6, 2022
SR-NASDAQ-2021-045
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing Primary Offering Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (87 FR 1797)
34-93901
Jan. 5, 2022
SR-NYSEAMER-2021-48
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule With Respect to a Regulatory Fee Related to the Central Registration Depository Comments Due: Federal Register version (87 FR 1453)
34-93902
Jan. 5, 2022
SR-NYSEAMER-2021-47
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Equities Price List With Respect to a Regulatory Fee Related to the Central Registration Depository Comments Due: Federal Register version (87 FR 1461)
34-93903
Jan. 5, 2022
SR-NYSENAT-2021-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates With Respect to a Regulatory Fee Related to the Central Registration Depository Comments Due: Federal Register version (87 FR 1466)
34-93907
Jan. 5, 2022
SR-NYSECHX-2021-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates With Respect to a Regulatory Fee Related to the Central Registration Depository Comments Due: Federal Register version (87 FR 1468)
34-93899
Jan. 5, 2022
SR-NYSEARCA-2021-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges With Respect to a Regulatory Fee Related to the Central Registration Depository Comments Due: Federal Register version (87 FR 1455)
34-93900
Jan. 5, 2022
SR-NYSEARCA-2021-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges With Respect to a Regulatory Fee Related to the Central Registration Depository Comments Due: Federal Register version (87 FR 1451)
34-93904
Jan. 5, 2022
SR-NYSE-2021-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List With Respect to a Regulatory Fee Related to the Central Registration Depository Comments Due: Federal Register version (87 FR 1463)
34-93906
Jan. 5, 2022
SR-ICEEU-2021-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Futures & Options Default Management Policy Comments Due: Exhibit 5 Federal Register version (87 FR 1457)
34-93898
Jan. 4, 2022
SR-Phlx-2021-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Options 4A, Sections 4 and 14, Related to Index Options, and Amend Other Phlx Rules Comments Due: Exhibit 5 Federal Register version (87 FR 1238)
34-93893
Jan. 4, 2022
SR-NYSEArca-2021-57
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 NYDIG Bitcoin ETF Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (87 FR 1238)
34-93896
Jan. 4, 2022
SR-BX-2021-054
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt an Add Liquidity Order and Post-Only Quote Configuration Functionality Comments Due: Exhibit 5 Federal Register version (87 FR 1231)
34-93895
Jan. 4, 2022
SR-PEARL-2021-59
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (87 FR 1217)
34-93894
Jan. 4, 2022
SR-PEARL-2021-58
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Port Comments Due: View Received Comments Exhibit 5 Federal Register version (87 FR 1203)
34-93897
Jan. 4, 2022
SR-FINRA-2021-024
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Amend FINRA Rule 2231 (Customer Account Statements) Comments Due: Federal Register version (87 FR 1201)
34-93891
Jan. 3, 2022
SR-NASDAQ-2021-054
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Listing Rule IM-5101-2 To Permit an Acquisition Company To Contribute a Portion of Its Deposit Account to Another Entity in a Spin-Off or Similar Corporate Transaction Comments Due: View Received Comments Federal Register version (87 FR 998)
34-93886
Dec. 30, 2021
SR-NASDAQ-2021-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of SR-NASDAQ-2021-009 Comments Due: Federal Register version (87 FR 507)
34-93881
Dec. 30, 2021
SR-MIAX-2021-63
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (87 FR 517)
34-93885
Dec. 30, 2021
SR-DTC-2021-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Guide and the Fee Guide Comments Due: Exhibit 5 Federal Register version (87 FR 528)
34-93887
Dec. 30, 2021
SR-C2-2021-019
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Certain Fine Amounts in Rule 13.15, Which Governs the Exchange's Minor Rule Violation Plan, and Non-Substantive Clarifying Changes Comments Due: View Received Comments Exhibit 5 Federal Register version (87 FR 504)
34-93888
Dec. 30, 2021
SR-CboeBZX-2021-086
Notice of Filing of a Proposed Rule Change to Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B) View Received Comments Exhibit 5
34-93873
Dec. 29, 2021
SR-NSCC-2021-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Fees for NSCC's MF Info Xchange Service, Modify Fees for NSCC's Alternative Investment Product Service and Make Certain Other Clarification Changes to Addendum A of the NSCC Rules Comments Due: Exhibit 5 Federal Register version (87 FR 508)
34-93876
Dec. 29, 2021
SR-NASDAQ-2021-101
Notice of Filing of Proposed Rule Change To Amend Rule 4754 Related to Certain Order Handling in the LULD Closing Cross Comments Due: Exhibit 5 Federal Register version (87 FR 501)
34-93868
Dec. 27, 2021
SR-NASDAQ-2021-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Withdraw Its Trading Insights Product From Sale Comments Due: Exhibit 5 Federal Register version (87 FR 130)
34-93867
Dec. 23, 2021
SR-OCC-2021-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update The Options Clearing Corporation's Operational Loss Fee Pursuant to Its Capital Management Policy Comments Due: Exhibit 5 , Exhibit 5 Federal Register version (86 FR 74153)
34-93865
Dec. 23, 2021
SR-NYSE-2021-68
Notice of Filing of Proposed Rule Change To Revise the Suite of Complimentary Products and Services Offered to Listed Companies Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 74115)
34-93864
Dec. 23, 2021
SR-ICEEU-2021-025
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures Comments Due: Exhibit 5 Federal Register version (86 FR 74143)
34-93853
Dec. 22, 2021
SR-Phlx-2021-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings Comments Due: Federal Register version (86 FR 74164)
34-93850
Dec. 22, 2021
SR-NYSE-2021-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Rules To Add New Subparagraph (i)(6) to Rule 7.31 Comments Due: Exhibit 5 Federal Register version (86 FR 74119)
34-93862
Dec. 22, 2021
SR-NYSE-2021-76
Notice of Filing of Proposed Rule Change To Amend the NYSE Listed Company Manual To Amend Certain of Its Listing and Annual Fees Comments Due: Exhibit 5 Federal Register version (86 FR 74198)
34-93849
Dec. 22, 2021
SR-NYSE-2021-74
Notice of Filing of Proposed Rule Change Proposes To Amend the Provisions of Rule 7.35B View Received Comments Exhibit 5 Federal Register version (86 FR 74204)
34-93851
Dec. 22, 2021
SR-NYSE-2021-73
Notice of Filing of Proposed Rule Change To Amend Rule 37 To Incorporate Standards of Conduct for the Exchange's Trading Floor Comments Due: Exhibit 5 Federal Register version (86 FR 74180)
34-93856
Dec. 22, 2021
SR-NSCC-2021-016
Notice of Filing of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 74185)
