34-93057
Sept. 20, 2021
SR-NYSEARCA-2021-68
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt New Rule 6.91P-O Comments Due: Federal Register version (86 FR 53128)
34-93066
Sept. 20, 2021
SR-NYSEArca-2021-52
Notice of Withdrawal of a Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges Comments Due: Federal Register version (86 FR 53129)
34-93070
Sept. 20, 2021
SR-NSCC-2021-011
Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1 To Remove ID Net Transactions From the Required Fund Deposit Calculations and Make Other Changes to the Rules Comments Due: View Received Comments Federal Register version (86 FR 53125)
34-93067
Sept. 20, 2021
SR-BX-2021-041
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 26, Message Traffic Mitigation Comments Due: Exhibit 5 Federal Register version (86 FR 53129)
34-93069
Sept. 20, 2021
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 26, Message Traffic Mitigation Comments Due: Exhibit 5 Federal Register version (86 FR 53121)
34-93059
Sept. 20, 2021
SR-CBOE-2021-054
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Corrections and Other Clarifying Changes to the Rules Comments Due: Exhibit 5 Federal Register version (86 FR 53134)
34-93047
Sept. 17, 2021
SR-PEARL-2021-42
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule Relating to Disaster Recovery Facility 1 Gigabit ULL per Connection Fee for Members Comments Due: Exhibit 5 Federal Register version (86 FR 52940)
34-93045
Sept. 17, 2021
SR-BOX-2021-22
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Reduce the Amount of the Options Regulatory Fee ("ORF") Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 52937)
34-93023
Sept. 16, 2021
SR-EMERALD-2021-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by To Amend Its Fee Schedule With Respect to Open-Close Report Data Comments Due: Exhibit 5 Federal Register version (86 FR 52731)
34-93015
Sept. 16, 2021
SR-Phlx-2021-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17, To Decommission the Exchange's Quote Removal Kill Switch Functionality Comments Due: Exhibit 5 Federal Register version (86 FR 52702)
34-93037
Sept. 16, 2021
SR-NYSE-2021-44
Notice of Filing of Proposed Rule Change To Amend Rules 7.31, 7.35, 7.35B, 7.35C, 98, and 104 Relating to the Closing Auction Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 52719)
34-93019
Sept. 16, 2021
SR-PEARL-2021-41
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule With Respect to Open-Close Report Data Comments Due: Exhibit 5 Federal Register version (86 FR 52705)
34-93024
Sept. 16, 2021
SR-PEARL-2021-35
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 2616, Priority of Orders Comments Due: View Received Comments Federal Register version (86 FR 52704)
34-93021
Sept. 16, 2021
SR-MIAX-2021-39
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule With Respect to Open-Close Report Data Comments Due: Exhibit 5 Federal Register version (86 FR 52709)
34-93017
Sept. 16, 2021
SR-ISE-2021-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17, To Decommission the Exchange's Quote Removal Kill Switch Functionality Comments Due: Exhibit 5 Federal Register version (86 FR 52700)
34-93027
Sept. 16, 2021
SR-IEX-2021-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide That a Reserve Order May Have (i) an Odd Lot Sized Display Quantity and (ii) an Optional Random Initial and Replenishment Display Quantity Comments Due: Exhibit 5 Federal Register version (86 FR 52713)
34-92986
Sept. 15, 2021
SR-Phlx-2021-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Phlx Options 10, Section 5, Branch Office, and Options 10, Section 17, Profit Sharing Rules Comments Due: Federal Register version (86 FR 52536)
34-92990
Sept. 15, 2021
SR-Phlx-2021-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate the Phlx Options 4 Rules By Reference to Nasdaq ISE, LLC Options 4 Rules Comments Due: Exhibit 5 Federal Register version (86 FR 52513)
34-92999
Sept. 15, 2021
SR-NYSEArca-2021-53
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Teucrium Bitcoin Futures Fund Under NYSE Arca Rule 8.200-E Comments Due: View Received Comments Federal Register version (86 FR 52539)
34-93000
Sept. 15, 2021
SR-NYSE-2021-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Content of the NYSE Best Quote & Trades Comments Due: Federal Register version (86 FR 52505)
34-93001
Sept. 15, 2021
SR-NYSE-2021-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Comments Due: Exhibit 5 Federal Register version (86 FR 52530)
34-93010
Sept. 15, 2021
SR-GEMX-2021-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17, To Decommission the Exchange's Quote Removal Kill Switch Functionality Comments Due: Exhibit 5 Federal Register version (86 FR 52518)
34-92987
Sept. 15, 2021
SR-BX-2021-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate BX Options 4 Rules By Reference to Nasdaq ISE, LLC Options 4 Rules Comments Due: Federal Register version (86 FR 52511)
34-93011
Sept. 15, 2021
SR-BX-2021-037
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17, To Decommission the Exchange's Quote Removal Kill Switch Functionality Comments Due: Exhibit 5 Federal Register version (86 FR 52540)
34-93003
Sept. 15, 2021
SR-NASDAQ-2021-070
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate NOM Options 4 Rules by Reference to Nasdaq ISE, LLC Options 4 Rules Comments Due: Exhibit 5 Federal Register version (86 FR 52534)
34-93004
Sept. 15, 2021
SR-MRX-2021-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17 To Decommission the Exchange's Quote Removal Kill Switch Functionality Comments Due: Exhibit 5 Federal Register version (86 FR 52516)
34-93002
Sept. 15, 2021
SR-FINRA-2021-023
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 Year 2020 and Calendar Year 2021) Under FINRA Rule 3110 (Supervision) Comments Due: View Received Comments Federal Register version (86 FR 52508)
34-92989
Sept. 15, 2021
SR-CboeBZX-2021-051
Notice of Designation of a Longer Period for Commission Action on 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 Comments Due: View Received Comments Federal Register version (86 FR 52530)
34-92988
Sept. 15, 2021
SR-CBOE-2021-053
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.5(c) and Rule 5.6(d) in Connection With Time-In-Force Instructions Available for Bulk Messages for the Account of a Market Maker Comments Due: Exhibit 5 Federal Register version (86 FR 52521)
34-92981
Sept. 14, 2021
SR-NYSEAMER-2021-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Rule 7400 Series Comments Due: Exhibit 5 Federal Register version (86 FR 52278)
34-92971
Sept. 14, 2021
SR-Phlx-2021-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Equity 5 Series of the Exchange's Rulebook Comments Due: Exhibit 5 Federal Register version (86 FR 52235)
34-92973
Sept. 14, 2021
SR-NYSENAT-2021-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Rule 6.7400 Series Comments Due: Exhibit 5 Federal Register version (86 FR 52249)
34-92983
Sept. 14, 2021
SR-NYSECHX-2021-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Rule 6.7400 Series Comments Due: Exhibit 5 Federal Register version (86 FR 52255)
34-92982
Sept. 14, 2021
SR-NYSEARCA-2021-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Rule 6.7400-E Series Comments Due: Exhibit 5 Federal Register version (86 FR 52225)
34-92972
Sept. 14, 2021
SR-BX-2021-039
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Equity 5 Series of the Exchange's Rulebook Comments Due: Exhibit 5 Federal Register version (86 FR 52243)
34-92974
Sept. 14, 2021
SR-NASDAQ-2021-069
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Nasdaq Options Market's Pricing Schedule at Options 7, Section 2(1) Comments Due: Exhibit 5 Federal Register version (86 FR 52273)
34-92970
Sept. 14, 2021
SR-CboeBZX-2021-047
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22 To Introduce a Product To Be Known as "Cboe Premium Exchange Tools" and To Amend Its Fee Schedule To Establish a Fee for a User Login That Elects To Subscribe to the Cboe Premium Exchange Tools Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 52261)
34-92984
Sept. 14, 2021
SR-CboeBYX-2021-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22 To Introduce a Product To Be Known as Cboe Premium Exchange Tools and To Amend Its Fee Schedule To Establish a Fee for a User Login That Elects To Subscribe to the Cboe Premium Exchange Tools Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 52231)
34-92980
Sept. 14, 2021
SR-BOX-2021-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility Comments Due: Exhibit 5 Federal Register version (86 FR 52241)
34-92958
Sept. 13, 2021
SR-NYSEArca-2021-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the Nuveen Growth Opportunities ETF Under NYSE Arca Rule 8.601-E (Active Proxy Portfolio Shares) Comments Due: Federal Register version (86 FR 51933)
34-92963
Sept. 13, 2021
SR-CboeEDGX-2021-030
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.8 To Introduce a Product To Be Known as "Cboe Premium Exchange Tools" and To Amend Its Fee Schedule To Establish a Fee for a User Login That Elects To Subscribe to the Cboe Premium Exchange Tools Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 51929)
34-92965
Sept. 13, 2021
SR-CboeEDGA-2021-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.8 To Introduce a Product To Be Known as "Cboe Premium Exchange Tools" and To Amend Its Fee Schedule To Establish a Fee for a User Login That Elects To Subscribe to the Cboe Premium Exchange Tools Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 51944)
34-92946
Sept. 13, 2021
SR-CboeBZX-2021-060
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect an Amendment to the Application and Exemptive Order Governing the Following Funds, Shares of Which Are Listed and Traded on the Exchange Under BZX Rule 14.11(m): Fidelity Growth Opportunities ETF, Fidelity Magellan ETF, Fidelity Real Estate Investment ETF, Fidelity Small-Mid Cap Opportunities ETF, Fidelity Blue Chip Value ETF, Fidelity Blue Chip Growth ETF, and Fidelity New Millennium ETF Comments Due: Federal Register version (86 FR 51941)
34-92954
Sept. 13, 2021
SR-CboeBZX-2021-058
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees in BZX Rule 14.13 Applicable To Exchange-Traded Products Listed on the Exchange Comments Due: Exhibit 5 Federal Register version (86 FR 51947)
34-92936
Sept. 10, 2021
SR-NYSEArca-2021-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges Comments Due: Federal Register version (86 FR 51698)
34-92937
Sept. 10, 2021
SR-NASDAQ-2021-071
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Equity 5 Series of the Exchange's Rulebook Comments Due: Exhibit 5 Federal Register version (86 FR 51690)
34-92938
Sept. 10, 2021
SR-MSRB-2021-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide a Further Extension of Time To Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination (Series 54) Pursuant to MSRB Rule G-3, on Professional Qualification Requirements Comments Due: Exhibit 5 Federal Register version (86 FR 51696)
34-92933
Sept. 10, 2021
SR-CboeBYX-2021-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 51687)
34-92910
Sept. 9, 2021
SR-NYSEAMER-2021-37
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 (86 FR 51418)
34-92906
Sept. 9, 2021
SR-Phlx-2021-49
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 51404)
34-92908
Sept. 9, 2021
SR-NYSENAT-2021-16
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 (86 FR 51424)
34-92909
Sept. 9, 2021
SR-NYSEARCA-2021-76
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 (86 FR 51415)
34-92917
Sept. 9, 2021
SR-NYSEArca-2021-79
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 (86 FR 51398)
34-92907
Sept. 9, 2021
SR-NYSE-2021-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 as set Forth in SR-NYSE-2020-76 Comments Due: Federal Register version (86 FR 51421)
34-92905
Sept. 9, 2021
SR-NASDAQ-2021-040
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish the "Extended Trading Close" and a New "Extended Trading Close" Order Type Comments Due: View Received Comments Federal Register version (86 FR 51390)
34-92911
Sept. 9, 2021
SR-NASDAQ-2021-067
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 51395)
34-92914
Sept. 9, 2021
SR-CboeEDGX-2021-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGX Rule 11.1(a)(1) To Begin Accepting Orders at 2:30 a.m. Eastern Time Comments Due: Exhibit 5 Federal Register version (86 FR 51402)
34-92912
Sept. 9, 2021
SR-CBOE-2021-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.52 in Connection With the Minimum Initial Quote Size Requirement for Market-Makers Comments Due: Exhibit 5 Federal Register version (86 FR 51406)
34-92913
Sept. 9, 2021
SR-CBOE-2021-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.32 in Connection With Participation Entitlements Comments Due: Exhibit 5 Federal Register version (86 FR 51408)
34-92915
Sept. 9, 2021
SR-CBOE-2021-050
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to Its Lead Market-Maker Incentive Programs Comments Due: Exhibit 5 Federal Register version (86 FR 51427)
34-92916
Sept. 9, 2021
SR-C2-2021-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Corrections to the Rules Comments Due: Exhibit 5 Federal Register version (86 FR 51393)
34-92926
Sept. 9, 2021
SR-BOX-2021-19
Notice of Filing of Proposed Rule Change Related to BOX Exchange LLC and BOX Holdings Group LLC Ownership Transfer Transactions Comments Due: View Received Comments Exhibit 5a , Exhibit 5b Federal Register version (86 FR 51410)
34-92898
Sept. 8, 2021
SR-NYSE-2021-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List Comments Due: Exhibit 5 Federal Register version (86 FR 51201)
34-92896
Sept. 8, 2021
SR-MEMX-2021-11
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 (86 FR 51210)
34-92893
Sept. 8, 2021
SR-ICC-2021-018
Notice of Filing of Proposed Rule Change Relating to the ICC Back-Testing Framework Comments Due: Exhibit 5 Federal Register version (86 FR 51204)
34-92897
Sept. 8, 2021
SR-FINRA-2021-022
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 (86 FR 51207)
34-92894
Sept. 8, 2021
SR-CboeBZX-2021-019
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 VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Share Comments Due: View Received Comments Federal Register version (86 FR 51203)
34-92882
Sept. 7, 2021
SR-NYSEArca-2021-74
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 (86 FR 50922)
34-92887
Sept. 7, 2021
SR-NYSEArca-2021-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Arca Options Deep Market Data Product Comments Due: Federal Register version (86 FR 50915)
34-92883
Sept. 7, 2021
SR-ICEEU-2021-016
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Part EE of Its Delivery Procedures Comments Due: Exhibit 5 Federal Register version (86 FR 50917)
34-92892
Sept. 7, 2021
SR-CboeEDGX-2021-038
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 50919)
34-92876
Sept. 3, 2021
SR-NYSE-2021-45
Notice of Filing of Proposed Rule Change Proposing To Adopt Listing Standards for Subscription Warrants Issued by a Company Organized Solely for the Purpose of Identifying an Acquisition Target Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 50748)
34-92873
Sept. 2, 2021
SR-Phlx-2021-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Phlx Rules Comments Due: Exhibit 5 Federal Register version (86 FR 50584)
34-92867
Sept. 2, 2021
SR-NYSEArca-2021-65
Notice of Designation of a Longer Period for Commission Action on 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 (86 FR 50568)
34-92860
Sept. 2, 2021
SR-NSCC-2021-010
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Establish the Securities Financing Transaction Clearing Service and Make Other Changes Comments Due: View Received Comments Federal Register version (86 FR 50569)
34-92854
Sept. 2, 2021
4-698
Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (86 FR 50201)
34-92865
Sept. 2, 2021
SR-NASDAQ-2021-066
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund Under Nasdaq Rule 5711(g) Comments Due: Federal Register version (86 FR 50570)
34-92868
Sept. 2, 2021
SR-IEX-2021-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate IEX Rule 11.420 (Order Audit Trail System ("OATS") Requirements) To Reflect the September 1, 2021 Retirement of OATS Comments Due: Exhibit 5 Federal Register version (86 FR 50564)
34-92861
Sept. 2, 2021
SR-DTC-2021-014
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation Comments Due: Federal Register version (86 FR 50570)
34-92840
Sept. 1, 2021
SR-NYSEArca-2021-73
Notice of Filing of Proposed Rule Change To List and Trade Shares of the Franklin Responsibly Sourced Gold ETF Under NYSE Arca Rule 8.201-E Comments Due: Federal Register version (86 FR 50385)
34-92839
Sept. 1, 2021
SR-NYSE-2021-42
Notice of Filing of Proposed Rule Change To Amend the Requirements of Section 102.06 of the NYSE Listed Company Manual To Allow an Acquisition Company To Contribute a Portion of Its Trust Account to a New Acquisition Company and Spin-Off the New Acquisition Company to Its Shareholders Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 50408)
34-92845
Sept. 1, 2021
SR-NYSE-2021-48
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete the Order Audit Trail System Rules in the Rule 7400 Series Exhibit 5 Federal Register version (86 FR 50394)
34-92844
Sept. 1, 2021
SR-MEMX-2021-10
Notice of Filing of a Proposed Rule Change To Establish a Retail Midpoint Liquidity Program Comments Due: View Received Comments Federal Register version (86 FR 50411)
34-92847
Sept. 1, 2021
SR-LTSE-2021-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate LTSE Rule 11.420 (Order Audit Trail System ("OATS") Requirements) Comments Due: Exhibit 5 Federal Register version (86 FR 50403)
34-92837
Sept. 1, 2021
SR-FINRA-2021-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Dates of FINRA Rules 0180 (Application of Rules to Security-Based Swaps) and 4240 (Margin Requirements for Credit Default Swaps) and Amend FINRA Rule 4240 To Add Supplementary Material .02 Comments Due: Federal Register version (86 FR 50391)
34-92802
Aug. 30, 2021
SR-NYSE-2021-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Specified Commentaries to Rules 7.35A and 7.35C and Temporary Rule Relief in Rule 36.30 Comments Due: Exhibit 5 Federal Register version (86 FR 49587)
34-92808
Aug. 30, 2021
SR-FICC-2021-003
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add the Sponsored GC Service and Make Other Changes Comments Due: View Received Comments Federal Register version (86 FR 49580)
34-92785A
Aug. 27, 2021
SR-NYSE-2021-40
Notice of Designation of a Longer Period for Commission Action on 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 (86 FR 50202)
34-92795
Aug. 27, 2021
SR-NYSENAT-2021-04
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 49393)
34-92795
Aug. 27, 2021
SR-NYSEArca-2021-13
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 49393)
34-92795
Aug. 27, 2021
SR-NYSEAMER-2021-10
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 49393)
34-92795
Aug. 27, 2021
SR-NYSECHX-2021-03
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 49393)
34-92795
Aug. 27, 2021
SR-NYSE-2021-14
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 49393)
34-92790
Aug. 27, 2021
SR-NASDAQ-2021-065
Notice of Filing of Proposed Rule Change To Amend Nasdaq Rule 5750 (Proxy Portfolio Shares) To Provide for the Use of Custom Baskets Consistent With the Exemptive Relief Issued Pursuant to the Investment Company Act of 1940 Applicable to a Series of Proxy Portfolio Shares Comments Due: Exhibit 5 Federal Register version (86 FR 49357)
34-92793
Aug. 27, 2021
SR-FINRA-2021-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Form CMA (Continuing Membership Application Form) Comments Due: Federal Register version (86 FR 49394)
34-92799
Aug. 27, 2021
SR-FICC-2021-801
Notice of Filing of Amendment No. 1 and Notice of No Objection to Advance Notice, as Modified by Amendment No. 1, to Add the Sponsored GC Service and Make Other Changes Comments Due: View Received Comments Federal Register version (86 FR 49387)
34-92796
Aug. 27, 2021
SR-BOX-2021-06
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 Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC Comments Due: View Received Comments Federal Register version (86 FR 49416)
34-92770
Aug. 26, 2021
SR-NYSE-2021-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Term "Related Party Transactions" Under Section 314.00 of the NYSE Listed Company Manual Comments Due: Exhibit 5 Federal Register version (86 FR 49064)
34-92754
Aug. 25, 2021
SR-Phlx-2021-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 3 To Adopt an Enhanced Market Quality Program Comments Due: Exhibit 5 Federal Register version (86 FR 48789)
34-92750
Aug. 25, 2021
SR-NSCC-2021-007
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes Comments Due: Federal Register version (86 FR 48787)
