34-89949
Sept. 22, 2020
SR-NSCC-2020-003
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV Comments Due: View Received Comments Federal Register version (85 FR 60854)
34-89952
Sept. 22, 2020
SR-DTC-2020-011
Notice of Filing of Proposed Rule Change To Amend Rule 4 Comments Due: Exhibit 5 Federal Register version (85 FR 60847)
34-89927
Sept. 21, 2020
SR-EMERALD-2020-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 60498)
34-89931
Sept. 21, 2020
SR-CBOE-2020-055
Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rule 5.24 Comments Due: View Received Comments Federal Register version (85 FR 60504)
34-89925
Sept. 18, 2020
SR-NYSE-2020-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .02 to Rule 7.35 Comments Due: Exhibit 5 Federal Register version (85 FR 60276)
34-89924
Sept. 18, 2020
SR-MEMX-2020-08
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 13.4(a) To Add the Sources of Data for MIAX PEARL, LLC and Long-Term Stock Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (85 FR 60274)
34-89913
Sept. 17, 2020
SR-Phlx-2020-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits at Equity 7, Section 3 Comments Due: Exhibit 5 Federal Register version (85 FR 59834)
34-89901
Sept. 17, 2020
SR-CboeBZX-2020-070
Notice of Filing of a Proposed Rule Change To List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) ("Trust Issued Receipts") View Received Comments Federal Register version (85 FR 59836)
34-89884
Sept. 16, 2020
SR-NYSENAT-2020-28
Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 59576)
34-89886
Sept. 16, 2020
SR-NYSECHX-2020-26
Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 59582)
34-89883
Sept. 16, 2020
SR-NYSEArca-2020-82
Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 59568)
34-89897
Sept. 16, 2020
SR-NASDAQ-2020-062
Notice of Filing of Proposed Rule Change To Amend Listing Rules Applicable to Special Purpose Acquisition Companies Whose Business Plan Is To Complete One or More Business Combinations Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 59574)
34-89899
Sept. 16, 2020
SR-MEMX-2020-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Manner in Which the Exchange Will Designate Members To Participate in Its Mandatory Disaster Recovery Testing for Calendar Year 2020 Comments Due: Exhibit 5 Federal Register version (85 FR 59580)
34-89880
Sept. 15, 2020
SR-NYSEAMER-2020-66
Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users View Received Comments Exhibit 5 Federal Register version (85 FR 59365)
34-89870
Sept. 15, 2020
SR-Phlx-2020-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3304 Comments Due: Exhibit 5 Federal Register version (85 FR 59353)
34-89869
Sept. 15, 2020
SR-NYSEArca-2020-80
Notice of Filing of Proposed Rule Change To List and Trade Shares of the Alger Mid Cap 40 ETF and Alger 25 ETF Under Rule 8.900-E, Managed Portfolio Shares Comments Due: View Received Comments Federal Register version (85 FR 59354)
34-89874
Sept. 15, 2020
SR-NYSEArca-2020-77
Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 8.601-E To Adopt Generic Listing Standards for Active Proxy Portfolio Shares Comments Due: Exhibit 5 Federal Register version (85 FR 59338)
34-89879
Sept. 15, 2020
SR-NYSE-2020-73
Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Cabinets to its Co-Located Users Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 59361)
34-89871
Sept. 15, 2020
SR-BX-2020-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4759. Comments Due: Exhibit 5 Federal Register version (85 FR 59344)
34-89875
Sept. 15, 2020
SR-NASDAQ-2020-060
Notice of Filing of Proposed Rule Change, As Modified by Amendment No. 1, To Treat as an Eligible Switch, for Purposes of IM-5900-7, an Acquisition Company That Switches From NYSE to Nasdaq After Announcing a Business Combination Comments Due: Exhibit 5 Federal Register version (85 FR 59346)
34-89878
Sept. 15, 2020
SR-NASDAQ-2020-057
Notice of Filing of Proposed Rule Change To Allow Companies To List in Connection With a Direct Listing With a Primary Offering in Which the Company Will Sell Shares Itself in the Opening Auction on the First Day of Trading on Nasdaq and To Explain How the Opening Transaction for Such a Listing Will Be Effected Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 59349)
34-89877
Sept. 15, 2020
SR-LTSE-2020-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.410(a). Comments Due: Exhibit 5 Federal Register version (85 FR 59336)
34-89867
Sept. 15, 2020
SR-FINRA-2020-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Standardized Membership Application Forms-Form NMA and Form CMA-To Conform to Amendments to the Membership Application Program Rules as Described in SR-FINRA-2019-030 Comments Due: Federal Register version (85 FR 58404)
34-89865
Sept. 14, 2020
SR-NYSECHX-2020-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Update the Exchange's Source of Data Feeds From MIAX PEARL, LLC Comments Due: Exhibit 5 Federal Register version (85 FR 58410)
34-89860
Sept. 14, 2020
SR-BX-2020-025
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees, at Equity 7, Section 118(a) Comments Due: Exhibit 5 Federal Register version (85 FR 58415)
34-89862
Sept. 14, 2020
SR-ICEEU-2020-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Clearing Rules (the "Rules") Comments Due: Exhibit 5 Federal Register version (85 FR 58412)
34-89833
Sept. 11, 2020
SR-NYSEAMER-2020-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37E To Specify the Exchange's Source of Data Feeds From MIAX PEARL, LLC Comments Due: Exhibit 5 Federal Register version (85 FR 58099)
34-89834
Sept. 11, 2020
SR-NYSEArca-2020-54
Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 5.3-E to Exempt Issuers of Certain Derivative and Special Purpose Securities From Having To Obtain Shareholder Approval Prior to the Issuance of Securities in Connection With Certain Acquisitions of the Stock or Assets of an Affiliated Company Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 58090)
34-89832
Sept. 11, 2020
SR-NYSE-2020-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Specify the Exchange's Source of Data Feeds From MIAX PEARL, LLC. Comments Due: Exhibit 5 Federal Register version (85 FR 58095)
34-89830
Sept. 11, 2020
SR-CBOE-2020-085
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Fees for a Recently Adopted New Version of the Silexx Platform Comments Due: Exhibit 5 Federal Register version (85 FR 58093)
34-89831
Sept. 11, 2020
SR-CBOE-2020-084
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule With Respect to Its Strategy Fee Cap Comments Due: Exhibit 5 Federal Register version (85 FR 58096)
34-89828
Sept. 11, 2020
SR-C2-2020-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend its Fees Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 58078)
34-89825
Sept. 10, 2020
SR-NYSENAT-2020-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Update the Exchange's Source of Data Feeds From MIAX PEARL, LLC Comments Due: Exhibit 5 Federal Register version (85 FR 57896)
34-89824
Sept. 10, 2020
SR-NYSEArca-2020-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E To Update the Exchange's Source of Data Feeds From MIAX PEARL, LLC Comments Due: Exhibit 5 Federal Register version (85 FR 57892)
34-89819
Sept. 10, 2020
SR-BX-2020-027
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Decommission TradeInfo Comments Due: Exhibit 5 Federal Register version (85 FR 62778)
34-89823
Sept. 10, 2020
SR-NASDAQ-2020-017
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Nasdaq Rule 5704 Comments Due: View Received Comments Federal Register version (85 FR 57895)
34-89820
Sept. 10, 2020
SR-CboeBYX-2020-021
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Introduce Periodic Auctions for the Trading of U.S. Equity Securities Comments Due: View Received Comments Federal Register version (85 FR 57891)
34-89826
Sept. 10, 2020
SR-CBOE-2020-086
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule in Connection With Migration Comments Due: View Received Comments Exhibit 5a , Exhibit 5b Federal Register version (85 FR 57900)
34-89792
Sept. 9, 2020
SR-OCC-2020-805
Notice of No Objection to Advance Notice Concerning Proposed Changes to Enhance OCC's Stock Loan Close-Out Process Comments Due: Federal Register version (85 FR 57276)
34-89797
Sept. 9, 2020
SR-NYSEArca-2020-81
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 (85 FR 57274)
34-89798
Sept. 9, 2020
SR-NYSE-2020-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Comments Due: Exhibit 5 Federal Register version (85 FR 57263)
34-89794
Sept. 9, 2020
SR-NASDAQ-2020-026
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 a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets Comments Due: View Received Comments Federal Register version (85 FR 57260)
34-89796
Sept. 9, 2020
SR-IEX-2020-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Two Typographical Errors in IEX Rules 2.220(a)(7) and 11.410(a) Comments Due: Exhibit 5 Federal Register version (85 FR 57280)
34-89795
Sept. 9, 2020
SR-CboeBZX-2020-003
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts Comments Due: View Received Comments Federal Register version (85 FR 57273)
34-89782
Sept. 8, 2020
SR-Phlx-2020-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3304 Comments Due: Exhibit 5 Federal Register version (85 FR 56661)
34-89787
Sept. 8, 2020
SR-NYSEArca-2020-78
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 (85 FR 56653)
34-89783
Sept. 8, 2020
SR-BX-2020-024
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4759 Comments Due: Exhibit 5 Federal Register version (85 FR 56677)
34-89781
Sept. 8, 2020
SR-NASDAQ-2020-059
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 114(e) and Equity 7, Section 118 of the Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 56663)
34-89786
Sept. 8, 2020
SR-MIAX-2020-30
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 1326, Transfer of Positions Comments Due: Exhibit 5 Federal Register version (85 FR 56668)
34-89784
Sept. 8, 2020
SR-MEMX-2020-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 15.3, Collection of Exchange Fees and Other Claims and Billing Policy Comments Due: Exhibit 5 Federal Register version (85 FR 56672)
34-89776
Sept. 8, 2020
SR-CboeEDGA-2020-025
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 13.4(a), Stating It Will Utilize MIAX PEARL Market Data From the CQSUQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes Comments Due: Exhibit 5 Federal Register version (85 FR 56657)
34-89779
Sept. 8, 2020
SR-CboeBZX-2020-068
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 11.26(a), Stating It Will Utilize MIAX PEARL Market Data From the CQSUQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes Comments Due: Exhibit 5 Federal Register version (85 FR 56678)
34-89778
Sept. 8, 2020
SR-CboeBYX-2020-025
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.26(a), Stating It Will Utilize MIAX PEARL Market Data From the CQSUQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes Comments Due: Exhibit 5 Federal Register version (85 FR 56644)
34-89789
Sept. 8, 2020
SR-CBOE-2020-081
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.24 Comments Due: Federal Register version (85 FR 56658)
34-89788
Sept. 8, 2020
4-678
Notice of Filing and Order Approving and Declaring Effective an Amended Proposed Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, MIAX PEARL, LLC, and MIAX Emerald, LLC Comments Due:
34-89773
Sept. 4, 2020
SR-NYSE-2020-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.02 of the NYSE Listed Company Manual To Waive Initial Listing Fees and First Partial Year Annual Listing Fees for Any Issuer Not Listed on a National Securities Exchange That Is Listing Upon Closing of Its Acquisition of a SPAC Listed on the NYSE Comments Due: Exhibit 5 Federal Register version (85 FR 55902)
34-89774
Sept. 4, 2020
SR-PEARL-2020-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 56281)
34-89769
Sept. 4, 2020
SR-MIAX-2020-29
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Increase the Number of Additional Limited Service MIAX Express Interface Ports Available to Market Makers Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 55905)
34-89771
Sept. 4, 2020
SR-MIAX-2020-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 55873)
34-89759
Sept. 3, 2020
SR-BX-2020-023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules in Connection With a Technology Migration To Enhanced Nasdaq, Inc. Functionality Comments Due: Exhibit 5 Federal Register version (85 FR 55877)
34-89767
Sept. 3, 2020
SR-NASDAQ-2020-056
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposed Rule Change To Amend The NASDAQ Options Market LLC Pricing Schedule at Options 7, Section 2 and Update Other Rule Text Within Options 7, Section 1 and Options 7, Section 5 Comments Due: Exhibit 5 Federal Register version (85 FR 55887)
34-89763
Sept. 3, 2020
SR-MEMX-2020-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Corporate Documents of the Exchange's Parent Company Comments Due: Exhibit 5 Federal Register version (85 FR 55915)
34-89766
Sept. 3, 2020
SR-LTSE-2020-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Continue Suspending the Application of Order Price Collars in Rule 11.190(f)(1) Until October 8, 2020 Comments Due: Federal Register version (85 FR 55872)
34-89760
Sept. 3, 2020
SR-LCHSA-2020-004
Notice of Filing of Proposed Rule Change Relating to the Clearing of Single Name Credit Default Swaps Referencing Monoline Insurance Companies and the Amendment of LCH SA's Rules in Accordance With its Risk Policies Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (85 FR 55908)
34-89765
Sept. 3, 2020
SR-CBOE-2020-014
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a Delta-Adjusted at Close Order Instruction Comments Due: View Received Comments Federal Register version (85 FR 55905)
34-89741
Sept. 2, 2020
SR-NYSEArca-2020-79
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 (85 FR 55540)
34-89754
Sept. 2, 2020
SR-NYSE-2020-71
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Comments Due: Exhibit 5 Federal Register version (85 FR 55550)
34-89745
Sept. 2, 2020
SR-NASDAQ-2020-002
Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Procedures Governing the Introduction of Legal Arguments and Material Information by Companies in a Proceeding Before a Hearings Panel Comments Due: View Received Comments Federal Register version (85 FR 55728)
34-89736
Sept. 2, 2020
SR-PEARL-2020-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Designation of Members for Mandatory Disaster Recovery Testing Pursuant to Regulation SCI for Calendar Year 2020 Comments Due: Exhibit 5 Federal Register version (85 FR 55730)
34-89747
Sept. 2, 2020
SR-PEARL-2020-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2613 Usage of Data Feeds Comments Due: Federal Register version (85 FR 55704)
34-89737
Sept. 2, 2020
SR-FINRA-2020-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Amend FINRA Rules 1015, 9261, 9524 and 9830 To Permit Hearings Under Those Rules To Be Conducted by Video Conference Comments Due: View Received Comments Federal Register version (85 FR 55712)
34-89751
Sept. 2, 2020
SR-CboeEDGX-2020-042
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 13.4(a), Stating It Will Utilize MEMX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes Comments Due: Exhibit 5 Federal Register version (85 FR 55726)
34-89750
Sept. 2, 2020
SR-CboeEDGA-2020-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 13.4(a), Stating It Will Utilize MEMX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes Comments Due: Exhibit 5 Federal Register version (85 FR 55728)
34-89752
Sept. 2, 2020
SR-CboeBZX-2020-067
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 11.26(a), Stating It Will Utilize MEMX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes Comments Due: Exhibit 5 Federal Register version (85 FR 55539)
34-89753
Sept. 2, 2020
SR-CboeBYX-2020-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 11.26(a), Stating It Will Utilize MEMX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes Comments Due: Exhibit 5 Federal Register version (85 FR 55718)
34-89743
Sept. 2, 2020
SR-CBOE-2020-034
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Authorize for Trading Flexible Exchange Options on Full-Value Indexes With a Contract Multiplier of One Comments Due: View Received Comments Federal Register version (85 FR 55717)
34-89749
Sept. 2, 2020
SR-CBOE-2020-080
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Options That Overlie the S&P 500 ESG Index Comments Due: Federal Register version (85 FR 55723)
34-89723
Sept. 1, 2020
SR-NYSEAMER-2020-64
Notice of Filing of Proposed Rule Change To Modify Rules 971.1NY and 971.2NY View Received Comments Exhibit 5 Federal Register version (85 FR 55562)
34-89725
Sept. 1, 2020
SR-Phlx-2020-41
Notice of Filing of Proposed Rule Change To List and Trade Options on a Nasdaq-100 Volatility Index Comments Due: View Received Comments Exhibit 5 , Exhibit 3-1 , Exhibit 3-2 Federal Register version (85 FR 55544)
34-89724
Sept. 1, 2020
SR-NYSEArca-2020-59
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and To Permit the Listing and Trading of Shares of the United States Gold and Treasury Investment Trust Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (85 FR 55535)
34-89719
Sept. 1, 2020
SR-NSCC-2020-804
Notice of Filing of Advance Notice, as Modified by Amendment No. 1, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge Comments Due: Federal Register version (85 FR 55332)
34-89730
Sept. 1, 2020
SR-PEARL-2020-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement a Second Equity Rights Program Comments Due: Federal Register version (85 FR 55530)
34-89732
Sept. 1, 2020
SR-FINRA-2020-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Adopt (1) Supplementary Material .12 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) Under FINRA Rule 1210 and (2) Supplementary Material .07 (Temporary Extension of the Limited Period for Persons To Function as Operations Professionals) Under FINRA Rule 1220 Comments Due: Federal Register version (85 FR 55535)
34-89718
Sept. 1, 2020
SR-FICC-2020-802
Notice of Filing of Advance Notice, as Modified by Amendment No. 1, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charges Comments Due: Federal Register version (85 FR 55341)
34-89710
Aug. 28, 2020
SR-LTSE-2020-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Suspend the Application of Order Price Collars in Rule 11.190(f)(1) Until September 8, 2020 Comments Due: Federal Register version (85 FR 55052)
34-89705
Aug. 28, 2020
SR-IEX-2020-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rules 2.220(a)(7) and 11.410(a) To Include MIAX PEARL, LLC in the List of Away Trading Centers To Which the Exchange Routes and the Market Data Sources the Exchange Will Use To Determine MIAX PEARL's Top of Book Quotation Comments Due: Exhibit 5 Federal Register version (85 FR 55050)
34-89703
Aug. 28, 2020
SR-FINRA-2020-025
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Security Futures Risk Disclosure Statement Comments Due: Exhibit 3a , Exhibit 3b Federal Register version (85 FR 55054)
34-89707
Aug. 28, 2020
SR-CBOE-2020-074
Notice of Filing of a Proposed Rule Change Relating To Adopt Compression Orders Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 55040)
34-89692
Aug. 27, 2020
SR-NYSEAMER-2020-65
Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 54611)
34-89694
Aug. 27, 2020
SR-NYSEArca-2020-76
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 (85 FR 54608)
34-89679
Aug. 26, 2020
SR-FINRA-2020-024
Notice of Filing of a Proposed Rule Change To Delete the FINRA Order Audit Trail System (OATS) Rules Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 54461)
34-89673
Aug. 26, 2020
SR-CboeBZX-2020-066
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 54468)
34-89651
Aug. 25, 2020
SR-NYSEAMER-2020-63
Notice of Filing and Immediate Effectiveness of Proposed Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee Comments Due: Exhibit 5 Federal Register version (85 FR 53896)
34-89667
Aug. 25, 2020
SR-Phlx-2020-40
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations Comments Due: Exhibit 5 Federal Register version (85 FR 53876)
34-89653
Aug. 25, 2020
SR-NYSENAT-2020-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee Comments Due: Exhibit 5 Federal Register version (85 FR 53874)
34-89654
Aug. 25, 2020
SR-NYSECHX-2020-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-location Hot Hands Fee Comments Due: Exhibit 5 Federal Register version (85 FR 53879)
34-89652
Aug. 25, 2020
SR-NYSEArca-2020-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee Comments Due: Exhibit 5 Federal Register version (85 FR 53885)
34-89655
Aug. 25, 2020
SR-NYSE-2020-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee Comments Due: Exhibit 5 Federal Register version (85 FR 53872)
34-89662
Aug. 25, 2020
SR-BX-2020-019
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations Comments Due: Exhibit 5 Federal Register version (85 FR 53866)
34-89668
Aug. 25, 2020
SR-LTSE-2020-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.410(a) Comments Due: Exhibit 5 Federal Register version (85 FR 53881)
