34-91036
Feb. 1, 2021
SR-NYSECHX-2021-01
Notice of Filing of Proposed Rule Change To Amend Its Fee Schedule Related to Co-Location Services Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 8440)
34-91038
Feb. 1, 2021
SR-NYSEArca-2021-09
Notice of Filing of Proposed Rule Change To Amend Rule 6.86-O To Eliminate the Use of Dark Series on the Exchange Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 8416)
34-91025
Feb. 1, 2021
SR-NYSE-2020-96
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend 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 Federal Register version (86 FR 8420)
34-91034
Feb. 1, 2021
SR-NYSE-2021-05
Notice of Filing of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 8443)
34-91027
Feb. 1, 2021
SR-MEMX-2021-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Interpretation and Policy .03 to Exchange Rule 4.2 Regarding the Provision of Members' Broker-Dealer Annual Reports Comments Due: Exhibit 5 Federal Register version (86 FR 8453)
34-91024
Feb. 1, 2021
SR-ICC-2021-003
Notice of Filing of Proposed Rule Change Relating to the ICC Operational Risk Management Framework Comments Due: Federal Register version (86 FR 8447)
34-91028
Feb. 1, 2021
SR-CBOE-2021-008
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 8413)
34-91011
Jan. 29, 2021
SR-NYSE-2020-98
Notice of Designation of a Longer Period for Commission Action on a 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 Federal Register version (86 FR 8246)
34-91012
Jan. 29, 2021
SR-NYSE-2021-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.02 and 902.11 of the NYSE Listed Company Manual To Defer the Billing of Initial Listing Fees Payable by Acquisition Companies Comments Due: Exhibit 5 Federal Register version (86 FR 8240)
34-91019
Jan. 29, 2021
SR-LTSE-2021-01
Notice of Filing of a Proposed Rule Change To Amend LTSE Rule 14.501 To Specify the Process for Enforcing Compliance With LTSE Rule 14.425 for Listed Companies Comments Due: Exhibit 5 Federal Register version (86 FR 8243)
34-91007
Jan. 28, 2021
SR-CboeEDGX-2021-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's CAT Compliance Rule To Be Consistent With a Conditional Exemption Granted by the SEC From Certain Allocation Reporting Requirements Comments Due: Federal Register version (86 FR 8055)
34-91009
Jan. 28, 2021
SR-CboeEDGA-2021-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's CAT Compliance Rule To Be Consistent With a Conditional Exemption Granted by the SEC From Certain Allocation Reporting Requirements Comments Due: Federal Register version (86 FR 8061)
34-91010
Jan. 28, 2021
SR-CboeBZX-2021-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's CAT Compliance Rule To Be Consistent With a Conditional Exemption Granted by the SEC From Certain Allocation Reporting Requirements Comments Due: Federal Register version (86 FR 8067)
34-91006
Jan. 28, 2021
SR-CboeBYX-2021-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's CAT Compliance Rule To Be Consistent With a Conditional Exemption Granted by the SEC From Certain Allocation Reporting Requirements Comments Due: Federal Register version (86 FR 8050)
34-91008
Jan. 28, 2021
SR-CBOE-2021-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's CAT Compliance Rule To Be Consistent With a Conditional Exemption Granted by the SEC From Certain Allocation Reporting Requirements Comments Due: Federal Register version (86 FR 8072)
34-90996
Jan. 27, 2021
SR-NYSE-2021-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.32 Comments Due: Exhibit 5 Federal Register version (86 FR 7905)
34-91002
Jan. 27, 2021
SR-CboeEDGX-2021-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 7902)
34-91000
Jan. 27, 2021
SR-CboeEDGA-2021-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 7909)
34-90997
Jan. 27, 2021
SR-CboeBZX-2021-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amend Its Fee Schedule To Eliminate Certain Routing Fee Codes Comments Due: Exhibit 5 Federal Register version (86 FR 7907)
34-90999
Jan. 27, 2021
SR-CboeBYX-2021-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Eliminate Certain Routing Fee Codes Comments Due: Exhibit 5 Federal Register version (86 FR 7914)
34-90988
Jan. 26, 2021
SR-NYSEArca-2021-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Charges To Establish Annual Fees for Exchange Traded Products Comments Due: Exhibit 5 Federal Register version (86 FR 7754)
34-90994
Jan. 26, 2021
SR-NASDAQ-2020-017
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 Nasdaq Rule 5704 Comments Due: View Received Comments Federal Register version (86 FR 7750)
34-90989
Jan. 26, 2021
SR-ICC-2021-002
Notice Relating to the Clearance of an Additional Credit Default Swap Contract Comments Due: Exhibit 5 Federal Register version (86 FR 7751)
34-90993
Jan. 26, 2021
SR-CboeBYX-2020-021
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. 2, To Introduce Periodic Auctions for the Trading of U.S. Equity Securities Comments Due: View Received Comments Federal Register version (86 FR 7753)
34-90990
Jan. 26, 2021
SR-CBOE-2021-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Definition of "Current Market Value" for Purposes of Calculating Margin Requirements for Certain Options Comments Due: Federal Register version (86 FR 7760)
34-90981
Jan. 25, 2021
SR-PEARL-2021-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule for Member and Non-Member Monthly Network Connectivity Fees Comments Due: Exhibit 5 Federal Register version (86 FR 7582)
34-90980
Jan. 25, 2021
SR-MIAX-2021-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule for Member and Non-Member Monthly Network Connectivity Fees Comments Due: Exhibit 5 Federal Register version (86 FR 7602)
34-90986
Jan. 25, 2021
SR-CBOE-2021-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.24 Comments Due: Federal Register version (86 FR 7580)
34-90985
Jan. 25, 2021
4-523
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: View Received Comments Federal Register version (86 FR 7590)
34-90974
Jan. 22, 2021
SR-NYSEArca-2020-104
Notice of Designation of a Longer Period for Commission Action on a 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 (86 FR 7446)
34-90969
Jan. 22, 2021
SR-CboeEDGX-2021-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Opening Process for Simple Orders Comments Due: Exhibit 5 Federal Register version (86 FR 7433)
34-90970
Jan. 22, 2021
SR-CboeEDGX-2021-007
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Monthly Fee Assessed on Members' MPIDs Comments Due: Exhibit 5 Federal Register version (86 FR 7440)
34-90968
Jan. 22, 2021
SR-CboeBZX-2021-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Opening Process for Simple Orders Comments Due: Exhibit 5 Federal Register version (86 FR 7443)
34-90967
Jan. 22, 2021
SR-CBOE-2021-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Opening Process for Simple Orders Comments Due: Exhibit 5 Federal Register version (86 FR 7429)
34-90966
Jan. 22, 2021
SR-C2-2021-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Opening Process for Simple Orders Comments Due: Exhibit 5 Federal Register version (86 FR 7426)
34-90973
Jan. 22, 2021
SR-BOX-2021-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Temporary IM-2020-1 (Temporary Extension for Representatives To Function as Principals) Comments Due: Exhibit 5 Federal Register version (86 FR 7437)
34-90956
Jan. 21, 2021
SR-NYSEAMER-2021-03
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 (86 FR 7321)
34-90960
Jan. 21, 2021
SR-OCC-2021-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to Part 39 of the Commodity Futures Trading Commission Regulations Comments Due: Exhibit 5 , Exhibit 5 Federal Register version (86 FR 7317)
34-90962
Jan. 21, 2021
SR-PEARL-2020-30
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's By-Laws in Connection With an Equity Rights Program Comments Due: Federal Register version (86 FR 7317)
34-90964
Jan. 21, 2021
SR-CboeEDGA-2021-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Monthly Fee Assessed on Members' MPIDs Comments Due: Exhibit 5 Federal Register version (86 FR 7324)
34-90957
Jan. 21, 2021
SR-CboeBZX-2021-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Annual Listing Fee Cap for Outcome Strategy ETPs To Include Series Having Returns Based on Two or More Reference Indexes Comments Due: Exhibit 5 Federal Register version (86 FR 7327)
34-90941
Jan. 19, 2021
SR-OCC-2021-001
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: Federal Register version (86 FR 7124)
34-90949
Jan. 19, 2021
SR-NYSEArca-2021-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Regarding the Limits on Fees for Options Strategy Executions Comments Due: Exhibit 5 Federal Register version (86 FR 7152)
34-90953
Jan. 19, 2021
SR-NYSEArca-2021-05
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 7135)
34-90947
Jan. 19, 2021
SR-NYSE-2021-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 7138)
34-90954
Jan. 19, 2021
SR-NASDAQ-2021-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits at Equity 7, Section 118 Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 7149)
34-90951
Jan. 19, 2021
SR-NASDAQ-2020-081
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Listing Rules Related to Board Diversity Comments Due: View Received Comments Federal Register version (86 FR 7135)
34-90952
Jan. 19, 2021
SR-NASDAQ-2020-082
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change 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 (86 FR 7148)
34-90955
Jan. 19, 2021
SR-NASDAQ-2021-002
Notice of Filing of Proposed Rule Change To Modify and Expand the Package of Complimentary Services Provided to Eligible Companies and Update the Values of Certain Complimentary Services Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 7155)
34-90944
Jan. 19, 2021
SR-CboeBZX-2021-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Monthly Fee Assessed on Members' MPIDs Comments Due: Exhibit 5 Federal Register version (86 FR 7127)
34-90943
Jan. 19, 2021
SR-CboeBYX-2021-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Monthly Fee Assessed on Members' MPIDs Comments Due: Exhibit 5 Federal Register version (86 FR 7146)
34-90946
Jan. 19, 2021
SR-BOX-2021-01
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 7130)
34-90936
Jan. 15, 2021
SR-BX-2021-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BX Options Pricing Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 6700)
34-90937
Jan. 15, 2021
SR-MIAX-2021-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1308, Supervision of Accounts, To Adopt Temporary Rules To Extend the Time by Which Members Must Complete Their Branch 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 (86 FR 6944)
34-90933
Jan. 15, 2021
SR-IEX-2021-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Way It Handles Odd Lot Orders by Allowing Them To Be Displayed Orders and To Aggregate To Form a Protected Quotation Comments Due: Exhibit 5 Federal Register version (86 FR 6687)
34-90927
Jan. 14, 2021
SR-NYSEArca-2020-105
Notice of Designation of a Longer Period for Commission Action on a 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 (86 FR 6719)
34-90928
Jan. 14, 2021
SR-ICC-2021-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ICC Clearing Rules Comments Due: Exhibit 5 Federal Register version (86 FR 6715)
34-90931
Jan. 14, 2021
SR-FICC-2020-803
Notice of No Objection to Advance Notice to Include Same-Day Settling Trades in the Risk Management, Novation, Guarantee, and Settlement Services of the Government Securities Division's Delivery-Versus-Payment Service, and Make Other Changes Comments Due: Federal Register version (86 FR 6724)
34-90923
Jan. 14, 2021
SR-CboeEDGX-2021-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to the EDGX Top Feed Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 6719)
34-90919
Jan. 14, 2021
SR-CboeBZX-2021-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to the BZX Top Feed Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 6710)
34-90925
Jan. 14, 2021
SR-CBOE-2020-034
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 Authorize for Trading Flexible Exchange Options on Full-Value Indexes With a Contract Multiplier of One Comments Due: View Received Comments Federal Register version (86 FR 6718)
34-90926
Jan. 14, 2021
SR-CBOE-2020-106
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Rules Regarding the Minimum Increments for Electronic Bids and Offers and Exercise Prices of Certain FLEX Options and Clarify in the Rules How the System Ranks FLEX Option Bids and Offers for Allocation Purposes Comments Due: View Received Comments Federal Register version (86 FR 6710)
34-90929
Jan. 14, 2021
SR-CBOE-2021-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Silexx Trading Platform Fees Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 6705)
34-90909
Jan. 13, 2021
SR-Phlx-2021-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Phlx Options 8, Section 28, "Responsibilities of Floor Brokers" and Section 30, "Crossing, Facilitation and Solicited Orders" Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 6389)
34-90918
Jan. 13, 2021
SR-Phlx-2021-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Equity 7, Section 3 Comments Due: Exhibit 5 Federal Register version (86 FR 6383)
34-90917
Jan. 13, 2021
SR-NYSE-2020-95
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Make Permanent Commentaries to Rule 7.35A and Commentaries to Rule 7.35B and Make Related Changes to Rules 7.32, 7.35C, 46B, and 47 Comments Due: View Received Comments Federal Register version (86 FR 6403)
34-90914
Jan. 13, 2021
SR-CboeEDGX-2021-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Expand the Existing Financial Product Distribution Program To Provide for a Derived Data Platform Service Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 6393)
34-90910
Jan. 13, 2021
SR-CboeBZX-2021-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 6385)
34-90912
Jan. 13, 2021
SR-CboeBZX-2021-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Expand the Existing Financial Product Distribution Program To Provide for a Derived Data Platform Service Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 6398)
34-90916
Jan. 13, 2021
SR-CBOE-2020-110
Notice of Withdrawal of a Proposed Rule Change Amending Rule 5.52(d) in Connection With a Market-Maker's Electronic Volume Transacted on the Exchange Comments Due: Federal Register version (86 FR 6382)
34-90906
Jan. 12, 2021
SR-PEARL-2020-38
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 5296)
34-90903
Jan. 12, 2021
SR-ISE-2020-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange Membership Rules and Incorporate by Reference the Membership Rules of The Nasdaq Stock Market LLC Comments Due: Exhibit 3a , Exhibit 3b , Exhibit 5 Federal Register version (86 FR 5284)
34-90890
Jan. 11, 2021
SR-NYSE-2020-103
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.02 of the NYSE Listed Company Manual Comments Due: Exhibit 5 Federal Register version (86 FR 4154)
34-90891
Jan. 11, 2021
SR-NYSE-2021-03
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 (86 FR 4147)
34-90883
Jan. 11, 2021
SR-NASDAQ-2020-100
Notice of Filing of Proposed Rule Change To Modify the Quorum Requirement for Non-U.S. Companies Under Certain Limited Circumstances Comments Due: View Received Comments Federal Register version (86 FR 4158)
34-90894
Jan. 11, 2021
SR-PEARL-2020-37
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Regarding Tape B Securities Comments Due: Exhibit 5 Federal Register version (86 FR 4139)
34-90887
Jan. 11, 2021
SR-FINRA-2021-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) Relating to Allocation Reporting Requirements Comments Due: Exhibit 5 Federal Register version (86 FR 4132)
34-90901
Jan. 11, 2021
SR-CboeEDGX-2020-064
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Policy Relating to Billing Errors Comments Due: View Received Comments Exhibit 5a , Exhibit 5b Federal Register version (86 FR 4137)
34-90900
Jan. 11, 2021
SR-CboeEDGA-2020-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Policy Relating to Billing Errors Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 4149)
34-90897
Jan. 11, 2021
SR-CboeBZX-2020-094
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Options and Equities Fees Schedules To Adopt a Provision Relating to Billing Errors and Fee Disputes Comments Due: View Received Comments Exhibit 5a , Exhibit 5b Federal Register version (86 FR 4161)
34-90899
Jan. 11, 2021
SR-CboeBYX-2020-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Policy Relating to Billing Errors Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 4156)
34-90896
Jan. 11, 2021
SR-CBOE-2021-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend its Fees Schedule With Respect to Expiring Fee Waivers and Incentive Programs Comments Due: Exhibit 5 Federal Register version (86 FR 4163)
34-90880
Jan. 8, 2021
SR-Phlx-2021-03
Notice of Filing of Proposed Rule Change To Modify Phlx Options 8, Section 26, "Trading Halts, Business Continuity and Disaster Recovery" Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 3217)
34-90865
Jan. 7, 2021
SR-NYSE-2020-108
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Its Waiver of the Application of Certain of the Shareholder Approval Requirements in Section 312.03 of the NYSE Listed Company Manual Through March 31, 2021 Subject to Certain Conditions Comments Due: Federal Register version (86 FR 2712)
34-90862
Jan. 6, 2021
SR-LCHSA-2020-007
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendments of the CDSClear Fee Grid Comments Due: Exhibit 5 Federal Register version (86 FR 2468)
34-90861
Jan. 6, 2021
SR-ICEEU-2020-018
Notice of Filing of Partial Amendment No. 1 To Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Procedures and CDS Default Management Policy Comments Due: Federal Register version (86 FR 2472)
34-90863
Jan. 6, 2021
SR-CboeBZX-2021-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule Relating to LMM Financial Incentives Comments Due: Exhibit 5 Federal Register version (86 FR 2473)
34-90849
Jan. 5, 2021
SR-MEMX-2020-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.8(b) Relating to the Handling of Limit Orders When the National Best Bid or Offer Is Not Available Comments Due: Exhibit 5 Federal Register version (86 FR 2018)
34-90852
Jan. 5, 2021
SR-FINRA-2020-046
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 2021)
34-90853
Jan. 5, 2021
SR-CBOE-2020-117
Notice of Filing of a Proposed Rule Change To Amend Certain Rules To Accommodate the Listing and Trading of Index Options With an Index Multiplier of One Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 2006)
34-90841
Jan. 4, 2021
SR-ICC-2020-014
Notice of Filing of Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures Comments Due: Exhibit 5 Federal Register version (86 FR 1555)
34-90838
Dec. 31, 2020
SR-NYSEArca-2020-115
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 657)
34-90837
Dec. 31, 2020
SR-NASDAQ-2020-099
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 7: Consolidated Audit Trail Compliance, the Exchange's Compliance Rule Comments Due: Exhibit 5 Federal Register version (86 FR 662)
34-90834
Dec. 31, 2020
SR-FICC-2020-804
Notice of Filing and Extension of the Review Period of an Advance Notice 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 (86 FR 584)
34-90829
Dec. 30, 2020
SR-EMERALD-2020-21
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Registration Requirements, To Adopt Temporary Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) Comments Due: Exhibit 5 Federal Register version (86 FR 636)
34-90823
Dec. 30, 2020
SR-NYSEAMER-2020-88
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-NYSEAMER-2020-69 From December 31, 2020, to April 30, 2021 Comments Due: Federal Register version (86 FR 650)
34-90833
Dec. 30, 2020
SR-NYSEAMER-2020-87
Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 641)
34-90822
Dec. 30, 2020
SR-NYSENAT-2020-39
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 as Set Forth in SR-NYSENAT-2020-31 From December 31, 2020, to April 30, 2021 Comments Due: Federal Register version (86 FR 627)
34-90820
Dec. 30, 2020
SR-NYSEArca-2020-116
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 as Set Forth in SR-NYSEArca-2020-85 From December 31, 2020, to April 30, 2021 Comments Due: View Received Comments Federal Register version (86 FR 647)
34-90821
Dec. 30, 2020
SR-NYSE-2020-107
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 From December 31, 2020, to April 30, 2021 Comments Due: Federal Register version (86 FR 644)
