34-90406
Nov. 12, 2020
SR-OCC-2020-014
Notice of Filing of Proposed Rule Change To Adopt the OCC Third-Party Risk Management Framework and Retire the OCC Counterparty Credit Risk Management Framework Comments Due: Exhibit 5a , Exhibit 5a Federal Register version (85 FR 73582)
34-90409
Nov. 12, 2020
SR-NYSEArca-2020-95
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca BBO and NYSE Arca Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE Arca Trades by Adopting a Waiver Applicable to the Redistribution Fee Comments Due: Exhibit 3a , Exhibit 3b , Exhibit 3c , Exhibit 3d , Exhibit 5 Federal Register version (85 FR 75079)
34-90407
Nov. 12, 2020
SR-NYSE-2020-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE Trades by Adopting a Waiver Applicable to the Redistribution Fee Comments Due: Exhibit 3a , Exhibit 3b , Exhibit 3c , Exhibit 3d , Exhibit 5a Federal Register version (85 FR 73570)
34-90395
Nov. 12, 2020
SR-NASDAQ-2020-075
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical and Conforming Amendments to The Nasdaq Options Market Rules at Options 4 Comments Due: Exhibit 5 Federal Register version (85 FR 73537)
34-90400
Nov. 12, 2020
SR-PEARL-2020-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Equities Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 73550)
34-90402
Nov. 12, 2020
SR-ICEEU-2020-014
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 73549)
34-90403
Nov. 12, 2020
SR-CboeBZX-2020-084
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Correct Drafting Error in a Footnote Comments Due: Exhibit 5 Federal Register version (85 FR 73540)
34-90404
Nov. 12, 2020
SR-CBOE-2020-108
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees Related to Transactions in Mini-SPX Index ("XSP") Options Comments Due: Exhibit 5 Federal Register version (85 FR 73533)
34-90393
Nov. 10, 2020
SR-EMERALD-2020-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Certificate of Formation, Amended and Restated Limited Liability Company Agreement, and the By-Laws Comments Due: Exhibit 5a , Exhibit 5b , Exhibit 5c Federal Register version (85 FR 73315)
34-90387
Nov. 10, 2020
SR-NYSE-2020-93
Notice of Filing of Proposed Rule Change to Amend Rules 7.35 and 7.35A Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 73322)
34-90391
Nov. 10, 2020
SR-NYSE-2020-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Comments Due: Exhibit 5 Federal Register version (85 FR 73326)
34-90389
Nov. 10, 2020
SR-NASDAQ-2020-071
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 73304)
34-90390
Nov. 10, 2020
SR-NASDAQ-2020-076
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Exchange Rules 1015, 9261, 9524 and 9830 With Recent Changes by the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (85 FR 73302)
34-90394
Nov. 10, 2020
SR-PEARL-2020-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Certificate of Formation, Amended and Restated Limited Liability Company Agreement, and the By-Laws Comments Due: Exhibit 5a , Exhibit 5b , Exhibit 5c Federal Register version (85 FR 73312)
34-90392
Nov. 10, 2020
SR-MIAX-2020-35
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Amended and Restated Certificate of Formation, Second Amended and Restated Limited Liability Company Agreement, and the Amended and Restated By-Laws Comments Due: Exhibit 5a , Exhibit 5b , Exhibit 5c Federal Register version (85 FR 73318)
34-90386
Nov. 10, 2020
SR-FICC-2020-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Government Securities Division Rulebook To Add a Pre-Payment Assessment and Certain Credits in Connection With a New Service, Which Has Not Yet Been Proposed for and Would Be Subject to Regulatory Approval Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (85 FR 73329)
34-90382
Nov. 9, 2020
SR-NYSE-2020-90
Notice of Filing of Proposed Rule Change To Amend the Requirement Applicable to Special Purpose Acquisition Companies Upon Consummation of a Business Combination Concerning Compliance With the Round Lot Shareholder Requirement Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 73121)
34-90383
Nov. 9, 2020
SR-BX-2020-033
Notice of Filing of Proposed Rule Change To Utilize the FIX Protocol To Submit Orders to BX's Price Improvement Auction Mechanism Comments Due: Exhibit 5 Federal Register version (85 FR 73095)
34-90384
Nov. 9, 2020
SR-BX-2020-032
Notice of Filing of Proposed Rule Change To Amend Options 4, Section 5, To Limit Short Term Options Series Intervals Between Strikes Which are Available for Quoting and Trading on BX Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 73113)
34-90379
Nov. 9, 2020
SR-CboeBZX-2020-079
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 73091)
34-90381
Nov. 9, 2020
SR-CboeBZX-2020-080
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Certain Fees Related to the Listing and Trading of Options Contracts on the Mini-SPX Index ("XSP") and Update Certain Other Language in the Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 73109)
34-90371
Nov. 6, 2020
SR-NYSE-2020-66
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 to NYSE Rule 122 Related to Orders With More Than One Broker Comments Due: View Received Comments Federal Register version (85 FR 72720)
34-90367
Nov. 6, 2020
SR-NSCC-2020-802
Notice of No Objection to Advance Notice 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 73099)
34-90368
Nov. 6, 2020
SR-DTC-2020-801
Notice of No Objection To Advance Notice To Amend Rule 4 Comments Due: Federal Register version (85 FR 71973)
34-90365
Nov. 6, 2020
SR-CboeEDGX-2020-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.10, Requirements for Securities Issued by the Exchange or Its Affiliates Comments Due: Exhibit 5 Federal Register version (85 FR 71956)
34-90366
Nov. 6, 2020
SR-CboeEDGA-2020-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Rule 14.10, Requirements for Securities Issued by the Exchange or Its Affiliates Comments Due: Exhibit 5 Federal Register version (85 FR 72716)
34-90364
Nov. 6, 2020
SR-CboeBYX-2020-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.10, Requirements for Securities Issued by the Exchange or its Affiliates Comments Due: Exhibit 5 Federal Register version (85 FR 72724)
34-90363
Nov. 5, 2020
SR-NYSE-2020-89
Notice of Filing of Proposed Rule Change To Amend Rule 7.35C Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 71964)
34-90357
Nov. 5, 2020
SR-NASDAQ-2020-060
Notice of Designation of a Longer Period for Commission Action on a 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: Federal Register version (85 FR 71964)
34-90359
Nov. 5, 2020
SR-NASDAQ-2020-073
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Supplementary Material .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) Under Nasdaq Rule 1.1210 Comments Due: Federal Register version (85 FR 71979)
34-90354
Nov. 5, 2020
SR-MIAX-2020-34
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 71958)
34-90352
Nov. 5, 2020
SR-CboeBZX-2020-078
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Equity Transaction Fee Rebate Tiers Comments Due: Exhibit 5 Federal Register version (85 FR 71952)
34-90356
Nov. 5, 2020
SR-CboeBZX-2020-082
Notice of Filing and Immediate Effectiveness of Proposed Rule To Eliminate the Listing Fee Waiver for Issuers of Certain ETPs Comments Due: Exhibit 5 Federal Register version (85 FR 71982)
34-90339
Nov. 4, 2020
SR-Phlx-2020-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 3 Comments Due: Exhibit 5 Federal Register version (85 FR 71689)
34-90334
Nov. 4, 2020
SR-NYSEArca-2020-97
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges To Adopt an Alternative Method To Qualify for the Tier 2 Pricing Tier Comments Due: Exhibit 5 Federal Register version (85 FR 71691)
34-90331
Nov. 4, 2020
SR-NASDAQ-2020-057
Notice of Designation of a Longer Period for Commission Action on a 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 Federal Register version (85 FR 71708)
34-90340
Nov. 4, 2020
SR-NASDAQ-2020-062
Notice of Designation of a Longer Period for Commission Action on a 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 Federal Register version (85 FR 71704)
34-90335
Nov. 4, 2020
SR-FINRA-2020-031
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt FINRA Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems) and Delete the Rules Related to the OTC Bulletin Board Service Federal Register version (85 FR 71691)
34-90344
Nov. 4, 2020
SR-FINRA-2020-039
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules To Reflect Name Changes to Two FINRA Departments: The Office of Dispute Resolution and the Department of Registration and Disclosure Comments Due: Federal Register version (85 FR 71695)
34-90332
Nov. 4, 2020
SR-CBOE-2020-107
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 71705)
34-90333
Nov. 4, 2020
SR-CBOE-2020-105
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule in Connection With Migration Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (85 FR 71666)
34-90327
Nov. 3, 2020
SR-NYSEAMER-2020-66
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Co-Location Services To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users View Received Comments Federal Register version (85 FR 71373)
34-90315
Nov. 3, 2020
SR-OCC-2020-013
Notice of Filing of Proposed Rule Change To Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan Comments Due: Federal Register version (85 FR 71384)
34-90329
Nov. 3, 2020
SR-NYSENAT-2020-28
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Co-Location Services To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users Comments Due: View Received Comments Federal Register version (85 FR 71381)
34-90328
Nov. 3, 2020
SR-NYSECHX-2020-26
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Co-Location Services To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users Comments Due: View Received Comments Federal Register version (85 FR 71384)
34-90323
Nov. 3, 2020
SR-NYSEArca-2020-94
Notice of Filing of Proposed Rule Change To List and Trade Shares of the AdvisorShares Q Portfolio Blended Allocation ETF and AdvisorShares Q Dynamic Growth ETF Under Rule 8.900-E Comments Due: View Received Comments Federal Register version (85 FR 71366)
34-90326
Nov. 3, 2020
SR-NYSEArca-2020-82
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Co-Location Services To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users Comments Due: View Received Comments Federal Register version (85 FR 71365)
34-90330
Nov. 3, 2020
SR-NYSE-2020-73
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Co-Location Services To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users Comments Due: View Received Comments Federal Register version (85 FR 71364)
34-90324
Nov. 3, 2020
SR-FINRA-2020-037
Notice of Filing of a Proposed Rule Change To Amend the By-Laws of FINRA Regulation, Inc. To Align the Grounds for Member Removal From the NAC With an Existing Provision in the FINRA By-Laws Comments Due: Federal Register version (85 FR 71387)
34-90322
Nov. 3, 2020
SR-FICC-2020-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Government Securities Division Rulebook To Clarify Which Funds-Only Settlement Payments and Underlying Marks Are Applicable to Certain Transactions, and Make Other Changes Comments Due: Exhibit 5 Federal Register version (85 FR 71374)
34-90310
Nov. 2, 2020
SR-NYSEAMER-2020-77
Notice of Filing of Proposed Rule Change To Amend Rule 7.31E Comments Due: Exhibit 5 Federal Register version (85 FR 71113)
34-90314
Nov. 2, 2020
SR-NYSENAT-2020-34
Notice of Filing of Proposed Rule Change To Amend Rule 7.31 Comments Due: Exhibit 5 Federal Register version (85 FR 71111)
34-90312
Nov. 2, 2020
SR-NYSECHX-2020-31
Notice of Filing of Proposed Rule Change To Amend Rule 7.31 Comments Due: Exhibit 5 Federal Register version (85 FR 71115)
34-90311
Nov. 2, 2020
SR-NYSEArca-2020-92
Notice of Filing of Proposed Rule Change To Amend Rule 7.31-E Comments Due: Exhibit 5 Federal Register version (85 FR 71118)
34-90307
Nov. 2, 2020
SR-NYSE-2020-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List Comments Due: Exhibit 5 Federal Register version (85 FR 71125)
34-90309
Nov. 2, 2020
SR-NYSE-2020-87
Notice of Filing of Proposed Rule Change To Amend Rule 7.31 Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 71127)
34-90302
Nov. 2, 2020
SR-FINRA-2020-038
Notice of Filing of Proposed Amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) That Would Require Members To File Retail Communications Concerning Private Placement Offerings That Are Subject to Those Rules' Filing Requirements Comments Due: View Received Comments Federal Register version (85 FR 71120)
34-90296
Oct. 30, 2020
SR-NYSEArca-2020-77
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend NYSE Arca Rule 8.601-E To Adopt Generic Listing Standards for Active Proxy Portfolio Shares Comments Due: Federal Register version (85 FR 70696)
34-90297
Oct. 30, 2020
SR-NYSEArca-2020-54
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change 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 Federal Register version (85 FR 70701)
34-90290
Oct. 30, 2020
SR-ICEEU-2020-013
Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Investment Management Procedures Comments Due: Federal Register version (85 FR 70697)
34-90299
Oct. 30, 2020
SR-ICC-2020-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 70700)
34-90292
Oct. 30, 2020
SR-CboeBZX-2020-070
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under BZX Rule 14.11(f)(4) (Trust Issued Receipts) View Received Comments Federal Register version (85 FR 70678)
34-90288
Oct. 30, 2020
SR-CboeBYX-2020-021
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 Introduce Periodic Auctions for the Trading of U.S. Equity Securities Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 70678)
34-90286
Oct. 29, 2020
SR-NYSEArca-2020-80
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, 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 70216)
34-90278
Oct. 28, 2020
SR-MEMX-2020-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enable Members To Designate Certain Orders To Be Identified as Retail Orders to the Exchange Comments Due: Exhibit 5 Federal Register version (85 FR 69671)
34-90277
Oct. 28, 2020
SR-CboeBZX-2020-036
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 Rule 14.11, Other Securities Comments Due: View Received Comments Federal Register version (85 FR 69675)
34-90279
Oct. 28, 2020
SR-CBOE-2020-103
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Extend the Operation of Its Flexible Exchange Options ("FLEX Options") Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options Comments Due: Federal Register version (85 FR 69667)
34-90274
Oct. 27, 2020
SR-EMERALD-2020-13
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 69371)
34-90270
Oct. 26, 2020
SR-LCHSA-2020-006
Notice of Filing of Proposed Rule Change Relating to the Amendments of LCH SA Risk Liquidity Modeling Framework Comments Due: Exhibit 5 Federal Register version (85 FR 68935)
34-90266
Oct. 23, 2020
SR-NYSEArca-2020-93
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 68603)
34-90265
Oct. 23, 2020
SR-ISE-2020-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program Comments Due: Exhibit 5 Federal Register version (85 FR 68605)
34-90264
Oct. 23, 2020
SR-FINRA-2020-034
Notice of Filing of a Proposed Rule Change To Modify TRACE Dissemination Protocols Regarding Agency Pass-Through MBS or SBA-Backed ABS Traded in Specified Pool Transactions Comments Due: View Received Comments Federal Register version (85 FR 68607)
34-90262
Oct. 23, 2020
SR-CBOE-2020-101
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew Its Nonstandard Expirations Pilot Program Comments Due: Federal Register version (85 FR 68616)
34-90263
Oct. 23, 2020
SR-CBOE-2020-100
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its SPXPM Pilot Program Comments Due: Federal Register version (85 FR 68611)
34-90267
Oct. 23, 2020
SR-CBOE-2020-102
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.1 Comments Due: Federal Register version (85 FR 68614)
34-90256
Oct. 22, 2020
SR-Phlx-2020-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Nonstandard Expirations Pilot Program Comments Due: Exhibit 5 Federal Register version (85 FR 68393)
34-90245
Oct. 22, 2020
SR-NASDAQ-2020-069
Notice of Filing of 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: Exhibit 5 Federal Register version (85 FR 68400)
34-90248
Oct. 22, 2020
SR-MSRB-2020-08
Notice of Filing of a Proposed Rule Change To Amend MSRB Form G-32 Comments Due: Exhibit 5 Federal Register version (85 FR 68395)
34-90251
Oct. 22, 2020
SR-MIAX-2020-33
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders and Rule 519A, Risk Protection Monitor Comments Due: Exhibit 5 Federal Register version (85 FR 68387)
34-90257
Oct. 22, 2020
SR-ISE-2020-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot on the Nasdaq-100 Reduced Value Index Comments Due: Exhibit 5 Federal Register version (85 FR 68385)
34-90250
Oct. 22, 2020
SR-CboeEDGX-2020-049
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance Its Drill-Through Protections and Make Other Clarifying Changes Comments Due: Exhibit 5 Federal Register version (85 FR 68382)
34-90253
Oct. 22, 2020
SR-CboeEDGX-2020-050
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options Comments Due: Exhibit 5 Federal Register version (85 FR 68390)
34-90255
Oct. 22, 2020
SR-CboeBZX-2020-076
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options Comments Due: Exhibit 5 Federal Register version (85 FR 68378)
34-90235
Oct. 21, 2020
SR-CboeEDGA-2020-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGA Rule 11.15, Clearly Erroneous Executions, to the Close of Business on April 20, 2021 Comments Due: Exhibit 5 Federal Register version (85 FR 68097)
34-90240
Oct. 21, 2020
SR-CboeBZX-2020-075
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance Its Drill-Through Protections and Make Other Clarifying Change Comments Due: Exhibit 5 Federal Register version (85 FR 68111)
34-90241
Oct. 21, 2020
SR-C2-2020-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance its Drill-Through Protections and Make Other Clarifying Changes Comments Due: Exhibit 5 Federal Register version (85 FR 68099)
34-90226
Oct. 20, 2020
SR-Phlx-2020-41
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Options on a Nasdaq-100 Volatility Index Comments Due: View Received Comments Federal Register version (85 FR 67781)
34-90227
Oct. 20, 2020
SR-FINRA-2020-035
Notice of Filing of a Proposed Rule Change To Amend the FINRA Codes of Arbitration Procedure To Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees Comments Due: View Received Comments Federal Register version (85 FR 67794)
34-90228
Oct. 20, 2020
SR-CboeEDGX-2020-048
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Adopt New Fee Codes Related to the Execution of Equity Legs of a Stock-Option Order Comments Due: Exhibit 5 Federal Register version (85 FR 67806)
34-90233
Oct. 20, 2020
SR-CboeEDGX-2020-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions, to the Close of Business on April 20, 2021 Comments Due: Exhibit 5 Federal Register version (85 FR 67787)
34-90231
Oct. 20, 2020
SR-CboeBZX-2020-077
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on April 20, 2021 Comments Due: Exhibit 5 Federal Register version (85 FR 67789)
34-90230
Oct. 20, 2020
SR-CboeBYX-2020-030
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on April 20, 2021 Comments Due: Exhibit 5 Federal Register version (85 FR 67802)
34-90229
Oct. 20, 2020
SR-CBOE-2020-095
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Adopt New Fee Codes Related to the Execution of Equity Legs of a Stock-Option Order Comments Due: Exhibit 5 Federal Register version (85 FR 67804)
34-90232
Oct. 20, 2020
SR-CBOE-2020-097
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 67782)
34-90218
Oct. 19, 2020
SR-BX-2020-030
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical Amendments to the Options Listing Rules Comments Due: Exhibit 5 Federal Register version (85 FR 67579)
34-90219
Oct. 19, 2020
SR-FINRA-2020-036
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) Comments Due: Exhibit 5 Federal Register version (85 FR 67574)
34-90216
Oct. 16, 2020
SR-NYSEArca-2020-59
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 NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and To Permit the Listing and Trading of Shares of the Wilshire wShares Enhanced Gold Trust Under Amended NYSE Arca Rule 8.201-E Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 67401)
34-90212
Oct. 16, 2020
SR-CBOE-2020-099
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.34 in Connection With Its Debit/Credit Price Reasonability Check Comments Due: Exhibit 5 Federal Register version (85 FR 67387)
34-90213
Oct. 16, 2020
SR-CBOE-2020-094
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance Its Drill-Through Protections and Make Other Clarifying Changes Comments Due: Exhibit 5 Federal Register version (85 FR 67383)
34-90196
Oct. 15, 2020
SR-EMERALD-2020-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt One-Time Membership Application Fees and Monthly Trading Permit Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 67064)
