34-90743
Dec. 21, 2020
SR-CboeBZX-2020-089
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 85701)
34-90748
Dec. 21, 2020
SR-CBOE-2020-118
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Options That Overlie the Mini-Russell 2000 Index Comments Due: Exhibit 5 Federal Register version (85 FR 85759)
34-90749
Dec. 21, 2020
SR-CBOE-2020-116
Notice of Filing of a Proposed Rule Change To Add Options on the Mini-Russell 2000 Index ("Mini-RUT" or "MRUT") to Its P.M. Pilot Program Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 85752)
34-90722
Dec. 18, 2020
SR-NYSEAMER-2020-86
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Shorten the Time Period Before a Letter of Acceptance, Waiver, and Consent Under Rule 9216 and an Uncontested Offer of Settlement Under Rule 9270(f) Becomes Final Comments Due: Exhibit 5 Federal Register version (85 FR 84439)
34-90723
Dec. 18, 2020
SR-NYSE-2020-93
Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rules 7.35 and 7.35A Comments Due: View Received Comments Federal Register version (85 FR 84446)
34-90726
Dec. 18, 2020
SR-NYSE-2020-89
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 7.35C Comments Due: View Received Comments Federal Register version (85 FR 84431)
34-90730
Dec. 18, 2020
SR-NYSE-2020-87
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 7.31 Comments Due: View Received Comments Federal Register version (85 FR 84431)
34-90719
Dec. 18, 2020
SR-NASDAQ-2020-087
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits and Charges at Equity 7, Sections 114 and 118 Comments Due: Exhibit 5 Federal Register version (85 FR 84437)
34-90731
Dec. 18, 2020
SR-LTSE-2020-22
Notice of Filing of a Proposed Rule Change To Adopt Rules Related to Promotional Services and Listing Ceremonies for Listed Companies Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 84449)
34-90728
Dec. 18, 2020
SR-FINRA-2020-044
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Securities Transaction Credits Applicable to FINRA/Nasdaq TRF Participants Comments Due: Exhibit 5 Federal Register version (85 FR 84446)
34-90734
Dec. 18, 2020
SR-FINRA-2020-030
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Codes of Arbitration Procedure Relating To Requests To Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster To Decide Certain Expungement Requests Comments Due: Federal Register version (85 FR 84396)
34-90710
Dec. 17, 2020
SR-NYSEAMER-2020-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 6800 Series Comments Due: Exhibit 5 Federal Register version (85 FR 84045)
34-90712
Dec. 17, 2020
SR-OCC-2020-013
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 Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan Comments Due: Federal Register version (85 FR 84050)
34-90701
Dec. 17, 2020
SR-OCC-2020-806
Notice of Filing of Partial Amendment No. 1 and Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 1, Related to Proposed Changes to Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan Comments Due: Federal Register version (85 FR 83662)
34-90707
Dec. 17, 2020
SR-NYSENAT-2020-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 6.6800 Series Comments Due: Exhibit 5 Federal Register version (85 FR 84057)
34-90708
Dec. 17, 2020
SR-NYSECHX-2020-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 6.6800 Series Comments Due: Exhibit 5 Federal Register version (85 FR 84069)
34-90695
Dec. 17, 2020
SR-NYSEArca-2020-110
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Description of the "Indicative Partnership Value" Disseminated in Connection With Trading of "Units" of the United States Oil Fund, LP Comments Due: Federal Register version (85 FR 84021)
34-90709
Dec. 17, 2020
SR-NYSEARCA-2020-108
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 11.6800 Series Comments Due: Exhibit 5 Federal Register version (85 FR 84079)
34-90706
Dec. 17, 2020
SR-NYSE-2020-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 6800 Series Comments Due: Exhibit 5 Federal Register version (85 FR 84087)
34-90697
Dec. 17, 2020
SR-NASDAQ-2020-089
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To No Longer Implement the OTTO Protocol Comments Due: Exhibit 5 Federal Register version (85 FR 84084)
34-90711
Dec. 17, 2020
SR-MIAX-2020-38
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter XVII, Audit Trail Compliance Rule Comments Due: Exhibit 5 Federal Register version (85 FR 84029)
34-90713
Dec. 17, 2020
SR-CboeEDGX-2020-063
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGX Rule 11.8(g), Which Describes the Handling of MidPoint Discretionary Orders Entered on the Exchange Comments Due: Exhibit 5 Federal Register version (85 FR 84065)
34-90698
Dec. 17, 2020
SR-BOX-2020-39
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 (85 FR 84063)
34-90702
Dec. 17, 2020
4-529
Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq ISE, LLC Comments Due: Federal Register version (85 FR 84034)
34-90703
Dec. 17, 2020
4-697
Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authorit Comments Due: Federal Register version (85 FR 84040)
34-90704
Dec. 17, 2020
4-663
Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq GEMX, LLC Comments Due: Federal Register version (85 FR 84074)
34-90684
Dec. 16, 2020
SR-CboeBZX-2020-091
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the Invesco Focused Discovery Growth ETF and the Invesco Select Growth ETF, Each a Series of the Invesco Actively Managed Exchange-Traded Fund Trust, Under Rule 14.11(m) (Tracking Fund Shares) Comments Due: Federal Register version (85 FR 83637)
34-90685
Dec. 16, 2020
SR-CboeBZX-2020-092
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the ProShares VIX Short-Term Futures ETF and the ProShares VIX Mid-Term Futures ETF, Each a Series of ProShares Trust II, Under Rule 14.11(f)(4) (Trust Issued Receipts) Comments Due: Federal Register version (85 FR 83650)
34-90686
Dec. 16, 2020
SR-CboeBZX-2020-090
Notice of Filing and Immediate Effectiveness of a Proposed Rule To List and Trade Shares of the Invesco Real Assets ESG ETF and the Invesco US Large Cap Core ESG ETF, Each a Series of the Invesco Actively Managed Exchange-Traded Fund Trust, Under Rule 14.11(m) (Tracking Fund Shares) Comments Due: Federal Register version (85 FR 83657)
34-90691
Dec. 16, 2020
SR-CboeBZX-2020-093
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the ProShares Short VIX Short-Term Futures ETF and the ProShares Ultra VIX Short-Term Futures ETF, Each a Series of ProShares Trust II, Under Rule 14.11(f)(4), Trust Issued Receipts Comments Due: Federal Register version (85 FR 83643)
34-90665
Dec. 15, 2020
SR-NYSEArca-2020-104
Notice of Filing of Proposed Rule Change To List and Trade Shares of the Stance Equity ESG Large Cap Core ETF Under NYSE Arca Rule 8.601-E Comments Due: View Received Comments Federal Register version (85 FR 83129)
34-90668
Dec. 15, 2020
SR-NYSEARCA-2020-107
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 83125)
34-90672
Dec. 15, 2020
SR-NYSEArca-2020-56
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E, and 8.900-E Comments Due: View Received Comments Federal Register version (85 FR 83135)
34-90675
Dec. 15, 2020
SR-NYSEArca-2020-54
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 NYSE Arca Rule 5.3-E To Exempt Registered Investment Companies That List Certain Categories of the Securities Defined as Derivative and Special Purpose Securities Under NYSE Arca Rules 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 4 , Exhibit 5 Federal Register version (85 FR 83121)
34-90678
Dec. 15, 2020
SR-NYSEARCA-2020-111
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Shorten the Time Period Before a Letter of Acceptance, Waiver, and Consent Under Rule 10.9216 and an Uncontested Offer of Settlement Under Rule 10.9270(f) Comments Due: Exhibit 5 Federal Register version (85 FR 83136)
34-90677
Dec. 15, 2020
SR-NYSE-2020-96
Notice of Filing of Proposed Rule Change Amending Its Rules Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 83119)
34-90671
Dec. 15, 2020
SR-CboeBZX-2020-053
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 2x Long VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts) Comments Due: View Received Comments Federal Register version (85 FR 83136)
34-90676
Dec. 15, 2020
SR-CBOE-2020-114
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 83115)
34-90653
Dec. 14, 2020
SR-NYSE-2020-98
Notice of Filing of Proposed Rule Change To Amend Its Rules To Prohibit Member Organizations From Seeking Reimbursement, in Certain Circumstances, From Issuers for Forwarding Proxy and Other Materials to Beneficial Owners Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 82539)
34-90661
Dec. 14, 2020
SR-NYSE-2020-99
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List Comments Due: Exhibit 5
34-90655
Dec. 14, 2020
SR-BX-2020-037
Notice of Filing of Proposed Rule Change To Amend BX Options 7, Section 2 and Section 3 Comments Due: Exhibit 5 Federal Register version (85 FR 82541)
34-90654
Dec. 14, 2020
SR-NASDAQ-2020-084
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NOM's Pricing Schedule at Options 7, Section 2 and Options 7, Section 3 Comments Due: Exhibit 5 Federal Register version (85 FR 82554)
34-90660
Dec. 14, 2020
SR-MEMX-2020-15
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 (85 FR 82557)
34-90658
Dec. 14, 2020
SR-CBOE-2020-055
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Amend Rule 5.24 Comments Due: View Received Comments Federal Register version (85 FR 82560)
34-90639
Dec. 11, 2020
SR-EMERALD-2020-19
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 81964)
34-90650
Dec. 11, 2020
SR-NYSEAMER-2020-84
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 81999)
34-90644
Dec. 11, 2020
SR-NASDAQ-2020-069
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Exclude Special Purpose Acquisition Companies From the Requirement That at Least 50% of a Company's Round Lot Holders Each Hold Unrestricted Securities With a Market Value of at Least $2,500 Comments Due: Federal Register version (85 FR 82005)
34-90640
Dec. 11, 2020
SR-PEARL-2020-31
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 82008)
34-90651
Dec. 11, 2020
SR-PEARL-2020-33
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Equities Fee Schedule To Adopt Connectivity Fees, Port Fees, a Technical Support Request Fee, and Historical Market Data Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 81971)
34-90638
Dec. 11, 2020
SR-MIAX-2020-37
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 81996)
34-90645
Dec. 11, 2020
SR-IEX-2020-18
Notice of Filing of Proposed Rule Change To Amend IEX Rule 11.510 To Reduce the Outbound Latency That Presently Applies to All Trading Messages Sent From IEX Back to Users of the Exchange Comments Due: Exhibit 5 Federal Register version (85 FR 81982)
34-90649
Dec. 11, 2020
SR-DTC-2020-018
Notice of Filings and Immediate Effectiveness of Proposed Rule Changes To Amend the Clearing Agencies Liquidity Risk Management Framework File Nos.: Comments Due: Exhibit 5 Federal Register version (85 FR 81961)
34-90643
Dec. 11, 2020
SR-CboeEDGX-2020-061
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fee Schedule With Respect to Qualified Contingent Cross ("QCC") and Solicitation Auction Mechanism ("SAM") Orders Comments Due: Exhibit 5 Federal Register version (85 FR 81966)
34-90642
Dec. 11, 2020
SR-CBOE-2020-115
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule With Respect to Certain Fees Related to Qualified Contingent Cross Transactions the Exchange's LMM Incentive Programs Comments Due: Exhibit 5 Federal Register version (85 FR 82005)
34-90624
Dec. 10, 2020
SR-NYSENAT-2020-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Shorten the Time Period Before a Letter of Acceptance, Waiver, and Consent Under Rule 10.9216 and an Uncontested Offer of Settlement Under Rule 10.9270(f) Comments Due: Exhibit 5 Federal Register version (85 FR 81537)
34-90629
Dec. 10, 2020
SR-NYSEArca-2020-109
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule Regarding the Criteria To Qualify for the Market Maker Incentive for Penny Issues Comments Due: Exhibit 5 Federal Register version (85 FR 81534)
34-90626
Dec. 10, 2020
SR-DTC-2020-015
Notice of Filings and Immediate Effectiveness of Proposed Rule Changes To Amend the Clearing Agency Operational Risk Management Framework File Nos.: Comments Due: Federal Register version (85 FR 81531)
34-90612
Dec. 9, 2020
SR-EMERALD-2020-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Establish Market Data Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 81242)
34-90615
Dec. 9, 2020
SR-NASDAQ-2020-065
Notice of Withdrawal of Proposed Rule Change To Lower the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Basic to Internal Professional Subscribers as Set Forth in the Equity 7 Pricing Schedule, Section 147, and the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Last Sale to Professional Subscribers at Equity 7, Section 139 Comments Due: View Received Comments Federal Register version (85 FR 81257)
34-90616
Dec. 9, 2020
SR-NASDAQ-2020-086
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Lower the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Basic to Internal Professional Subscribers as Set Forth in the Equity 7 Pricing Schedule, Section 147, and the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Last Sale to Professional Subscribers at Equity 7, Section 139 Comments Due: Exhibit 5 Federal Register version (85 FR 81237)
34-90622
Dec. 9, 2020
SR-NASDAQ-2020-083
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 1, Section 1; Options 2, Section 5; Options 3, Sections 5, 7, 10, 15 and 23 Comments Due: Exhibit 5 Federal Register version (85 FR 81225)
34-90621
Dec. 9, 2020
SR-MSRB-2020-09
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Additional Regulatory Relief on a Temporary Basis to Dealers and Municipal Advisors Due to the Sustained Coronavirus (COVID-19) Pandemic Comments Due: Exhibit 5 Federal Register version (85 FR 81254)
34-90617
Dec. 9, 2020
SR-FINRA-2020-043
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of the Temporary Amendments Set Forth in SR-FINRA-2020-026 From December 31, 2020 to April 30, 2021 Comments Due: Exhibit 5 Federal Register version (85 FR 81258)
34-90619
Dec. 9, 2020
SR-FINRA-2020-042
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 Comments Due: Federal Register version (85 FR 81250)
34-90597
Dec. 8, 2020
SR-EMERALD-2020-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt a One-Time Membership Application Fee, Application Programming Interface ("API") Testing and Certification Fees, and Network Connectivity Testing and Certification Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 80878)
34-90600
Dec. 8, 2020
SR-EMERALD-2020-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Port Fees and Increase Certain Network Connectivity Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 80831)
34-90601
Dec. 8, 2020
SR-EMERALD-2020-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule To Adopt a Monthly Trading Permit Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 80864)
34-90603
Dec. 8, 2020
SR-OCC-2020-015
Notice of Filing of Proposed Rule Change Concerning the Implementation of New Sufficiency Scenarios in The Options Clearing Corporation's Stress Testing Inventory Comments Due: Federal Register version (85 FR 80829)
34-90608
Dec. 8, 2020
SR-NYSEArca-2020-105
Notice of Filing of Proposed Rule Change To List and Trade the Shares of the Teucrium Water Fund Under NYSE Arca Rule 8.200-E, Commentary .02 Comments Due: View Received Comments Federal Register version (85 FR 80854)
34-90606
Dec. 8, 2020
SR-NSCC-2020-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Implementation Date of National Securities Clearing Corporation's Enhancements to the Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Making Certain Other Changes to Procedure XV Comments Due: Exhibit 5 Federal Register version (85 FR 80852)
34-90607
Dec. 8, 2020
SR-BX-2020-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 4613, 4702, and 4703 Comments Due: Exhibit 5 Federal Register version (85 FR 80842)
34-90590
Dec. 8, 2020
SR-PEARL-2020-32
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Equities Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 80826)
34-90591
Dec. 8, 2020
SR-PEARL-2020-34
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Equities Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 80860)
34-90596
Dec. 8, 2020
SR-ISE-2020-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Market Maker Plus Program Under Options 7, Section 3, Regular Order Fees and Rebates Comments Due: Exhibit 5 Federal Register version (85 FR 80848)
34-90604
Dec. 8, 2020
SR-CboeEDGX-2020-060
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 80871)
34-90609
Dec. 8, 2020
SR-CboeEDGA-2020-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 80875)
34-90592
Dec. 8, 2020
SR-CBOE-2020-052
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 Amend Rules 5.37, 5.38, and 5.73 Related to Auction Notification Messages and Index Combo Orders in SPX in the Automated Improvement Mechanism, Complex Automated Improvement Mechanism, and FLEX Automated Improvement Mechanism Comments Due: View Received Comments Federal Register version (85 FR 80863)
34-90593
Dec. 8, 2020
SR-CBOE-2020-050
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 Nos. 1 and 2, To Amend Rules 5.37 and 5.73 Related to the Solicitation of Market Makers for SPX Initiating Orders in the Automated Improvement Mechanism and FLEX Automated Improvement Mechanism Comments Due: View Received Comments Federal Register version (85 FR 80842)
34-90594
Dec. 8, 2020
SR-CBOE-2020-051
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 Amend the Automated Price Improvement Auction Rules in Connection With Agency Order Size Requirements Comments Due: View Received Comments Federal Register version (85 FR 80853)
34-90584
Dec. 7, 2020
SR-NYSEAMER-2020-64
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Modify Rule 971.1NY Regarding Customer Best Execution Auctions to Provide Optional All-or-None Functionality for Larger-Sized Orders View Received Comments Federal Register version (85 FR 80196)
34-90575
Dec. 7, 2020
SR-NYSEArca-2020-46
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities Comments Due: Federal Register version (85 FR 80206)
34-90577
Dec. 7, 2020
SR-NASDAQ-2020-079
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Its Equity and General Rules From Its Current Rulebook Into Its New Rulebook Shell Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (85 FR 80202)
34-90579
Dec. 7, 2020
SR-PEARL-2020-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2611, Odd and Mixed Lots Comments Due: Exhibit 5 Federal Register version (85 FR 80200)
34-90583
Dec. 7, 2020
SR-CBOE-2020-112
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Temporary Rules To Extend the Time by Which Trading Permit Holders must Complete Their Office Inspections for the Calendar Year 2020 and To Provide Temporary Remote Inspection Relief for Their Office Inspections for Calendar Years 2020 and 2021 Comments Due: Federal Register version (85 FR 80207)
34-90571
Dec. 4, 2020
SR-NASDAQ-2020-082
Notice of Filing of Proposed Rule Change To Adopt Listing Rule IM-5900-9 To Offer Certain Listed Companies Access to a Complimentary Board Recruiting Solution To Help Advance Diversity on Company Boards Comments Due: View Received Comments Federal Register version (85 FR 79556)
34-90574
Dec. 4, 2020
SR-NASDAQ-2020-081
Notice of Filing of Proposed Rule Change To Adopt Listing Rules Related to Board Diversity Comments Due: View Received Comments Exhibit 3 , Exhibit 5 Federal Register version (85 FR 80472)
34-90568
Dec. 4, 2020
SR-FICC-2020-017
Notice of Filing of Proposed Rule Change To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 79541)
34-90569
Dec. 4, 2020
SR-CboeBZX-2020-088
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule To Update the Add Volume Tiers, To Eliminate the Remove Volume Tier, and To Eliminate Unused Fee Codes Comments Due: Exhibit 5 Federal Register version (85 FR 79548)
34-90567
Dec. 4, 2020
SR-CboeBYX-2020-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee Schedule To Remove Unused Routing-related Fee Codes Comments Due: Exhibit 5 Federal Register version (85 FR 79539)
34-90558
Dec. 3, 2020
SR-Phlx-2020-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq PSX Rules 3213, 3301A, and 3301B Comments Due: Exhibit 5 Federal Register version (85 FR 79231)
34-90560
Dec. 3, 2020
SR-NYSENAT-2020-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates Comments Due: Exhibit 5 Federal Register version (85 FR 79239)
34-90556
Dec. 3, 2020
SR-NYSEArca-2020-101
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Streamline the NYSE Arca Equities Fees and Charges Comments Due: Exhibit 5 Federal Register version (85 FR 79235)
34-90559
Dec. 3, 2020
SR-NASDAQ-2020-027
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets Comments Due: View Received Comments Federal Register version (85 FR 79249)
34-90562
Dec. 3, 2020
SR-PEARL-2020-29
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Certificate of Formation Comments Due: Exhibit 5 Federal Register version (85 FR 79250)
34-90563
Dec. 3, 2020
SR-PEARL-2020-30
Notice of Filing of a Proposed Rule Change To Amend the Exchange's By-Laws in Connection With an Equity Rights Program Comments Due: Exhibit 5 Federal Register version (85 FR 79252)
34-90555
Dec. 3, 2020
SR-MEMX-2020-14
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 (85 FR 79244)
34-90554
Dec. 3, 2020
SR-ICEEU-2020-015
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 (85 FR 79243)
34-90547
Dec. 2, 2020
SR-NYSEArca-2020-99
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Availability of Information for the iShares Gold Trust and the iShares Silver Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and iShares S&P GSCI Commodity-Indexed Trust Under Rule 8.203-E (Commodity Index Trust Shares) Comments Due: Federal Register version (85 FR 79060)
34-90552
Dec. 2, 2020
SR-NYSEArca-2020-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 6.78A-O Regarding In-Kind Exchanges of Options Positions in Connection With Exchange-Traded Fund Shares and Unit Investment Trust Interests Comments Due: Exhibit 5 Federal Register version (85 FR 79049)
34-90549
Dec. 2, 2020
SR-NASDAQ-2020-028
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 Amend IM-5101-1 (Use of Discretionary Authority) To Deny Listing or Continued Listing or To Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market Comments Due: View Received Comments Federal Register version (85 FR 79048)
