34-90826
Dec. 30, 2020
4-698
Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 View Received Comments Federal Register version (86 FR 591)
34-90832
Dec. 30, 2020
SR-NASDAQ-2020-097
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive Certain Fees Related to Non-Convertible Bonds Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 640)
34-90831
Dec. 30, 2020
SR-PEARL-2020-36
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3100, 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 633)
34-90830
Dec. 30, 2020
SR-MIAX-2020-42
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 624)
34-90824
Dec. 30, 2020
SR-FINRA-2020-031
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 Proposed Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems) and Rescind the Rules Related to the OTC Bulletin Board Service Comments Due: Federal Register version (86 FR 653)
34-90816
Dec. 29, 2020
SR-NYSEArca-2020-98
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding the Availability of Information for the iShares Gold Trust, the iShares Silver Trust Under NYSE Arca Rule 8.201-E and the iShares S&P GSCI Commodity-Indexed Trust Under Rule 8.203-E Comments Due: View Received Comments Federal Register version (86 FR 353)
34-90817
Dec. 29, 2020
SR-NYSEArca-2020-46
Notice of Withdrawal of a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities Comments Due: Federal Register version (86 FR 354)
34-90810
Dec. 29, 2020
SR-NYSE-2020-109
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .07 to Rule 7.35A To Provide That, for a Temporary Period, the Exchange Will Permit DMMs Limited-Entry to the Trading Floor or Remote Access to Floor-Based System for Certain Auctions Comments Due: Exhibit 5 Federal Register version (86 FR 335)
34-90815
Dec. 29, 2020
SR-BX-2020-033
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Utilize the FIX Protocol To Submit Orders to BX's Price Improvement Auction Mechanism Comments Due: Federal Register version (86 FR 353)
34-90812
Dec. 29, 2020
SR-PEARL-2020-35
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 338)
34-90811
Dec. 29, 2020
SR-MIAX-2020-41
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: Exhibit 5 Federal Register version (86 FR 344)
34-90818
Dec. 29, 2020
SR-MIAX-2020-40
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 350)
34-90814
Dec. 29, 2020
SR-MIAX-2020-39
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 327)
34-90807
Dec. 28, 2020
SR-NYSEArca-2020-114
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Change in the Time of Calculation and Publication of the Wilshire Gold Index Applicable to Shares of the Wilshire wShares Enhanced Gold Trust Comments Due: Federal Register version (86 FR 159)
34-90803
Dec. 28, 2020
SR-NYSE-2020-85
Notice of Filing of Proposed Rule Change To Amend the NYSE Listed Company Manual To Revise the Shareholder Approval Requirements in Sections 312.03 and 312.04 and the Requirements for Related Party Transactions in Section 314.00 Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 148)
34-90808
Dec. 28, 2020
SR-MEMX-2020-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 4.5 and 4.7 Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: Exhibit 5 Federal Register version (86 FR 152)
34-90809
Dec. 28, 2020
SR-LTSE-2020-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule Series 11.600 Comments Due: Exhibit 5 Federal Register version (86 FR 164)
34-90806
Dec. 28, 2020
SR-ICEEU-2020-018
Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Procedures and CDS Default Management Policy Comments Due: Exhibit 5 Federal Register version (86 FR 169)
34-90805
Dec. 28, 2020
SR-DTC-2020-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a Fee for the New ClaimConnectTM Comments Due: Exhibit 5 Federal Register version (86 FR 162)
34-90802
Dec. 28, 2020
SR-CboeBZX-2020-042
Notice of Withdrawal of a Proposed Rule Change To Accommodate Exchange Listing and Trading of Options-Linked Securities Comments Due: Federal Register version (86 FR 163)
34-90791
Dec. 23, 2020
SR-NYSEArca-2020-113
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Change to the Index Underlying the United States Copper Index Comments Due: Federal Register version (85 FR 86635)
34-90795
Dec. 23, 2020
SR-NYSE-2020-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Specified Commentaries to Rules 7.35, 7.35A, 7.35B, and 7.35C and Temporary Rule Relief in Rule 36.30 Comments Due: Exhibit 5 Federal Register version (85 FR 86608)
34-90796
Dec. 23, 2020
SR-BX-2020-032
Notice of Designation of a Longer Period for Commission Action on a 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 Federal Register version (85 FR 86590)
34-90793
Dec. 23, 2020
SR-NASDAQ-2020-090
Notice of Filing of Proposed Rule Change To Amend Equity 4, Section 4703 Comments Due: Exhibit 5 Federal Register version (85 FR 86598)
34-90794
Dec. 23, 2020
SR-FICC-2020-017
Notice of Designation of Longer Period for Commission Action and Longer Period for Comment on Proposed Rule Change To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount Comments Due: View Received Comments Federal Register version (85 FR 86591)
34-90792
Dec. 23, 2020
SR-BOX-2020-38
Notice of Filing of Proposed Rule Change To Amend BOX Rule 7620 (Accommodation Transactions) Comments Due: Exhibit 5 Federal Register version (85 FR 86610)
34-90798
Dec. 23, 2020
SR-BOX-2020-40
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Rule 16000 Series Comments Due: Exhibit 5 Federal Register version (85 FR 86603)
34-90771
Dec. 22, 2020
SR-NYSENAT-2020-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Commentary .10 Under NYSE National Rule 2.1210 Comments Due: Exhibit 5 Federal Register version (85 FR 86629)
34-90775
Dec. 22, 2020
SR-NYSE-2020-86
Notice of Filing of Proposed Rule Change for a New Rule 5.2(j)(8) Comments Due: Exhibit 5 Federal Register version (85 FR 86584)
34-90776
Dec. 22, 2020
SR-NYSE-2020-105
Notice of Filing of Proposed Rule Change Revising Rules 46 and 46A To Permit the Appointment of Trading Officials Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 86625)
34-90772
Dec. 22, 2020
SR-NASDAQ-2020-088
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Withdraw the Exchange's QView Product From Sale Comments Due: Exhibit 5 Federal Register version (85 FR 86632)
34-90774
Dec. 22, 2020
SR-NASDAQ-2020-092
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Set Forth in SR-NASDAQ-2020-076 Concerning Video Conference Hearings Comments Due: Federal Register version (85 FR 86614)
34-90780
Dec. 22, 2020
SR-NASDAQ-2020-091
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of the Temporary Amendments Concerning Exchange Rule 1.1210 From December 31, 2020, to April 30, 2021 Comments Due: Exhibit 5 Federal Register version (85 FR 86600)
34-90777
Dec. 22, 2020
SR-LTSE-2020-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.380 To Expand the Exchange's Optional Risk Controls Mechanism To Include a Net Notional Exposure Risk Check in Addition to the Gross Notional Exposure Risk Check Comments Due: Exhibit 5 Federal Register version (85 FR 86623)
34-90786
Dec. 22, 2020
SR-IEX-2020-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction Fees Pursuant to IEX Rule 15.110 Comments Due: Exhibit 5 Federal Register version (85 FR 86617)
34-90782
Dec. 22, 2020
SR-ICEEU-2020-017
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the ICE Clear Europe Clearing Rules Comments Due: Exhibit 5 Federal Register version (85 FR 86595)
34-90778
Dec. 22, 2020
SR-FINRA-2020-045
Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) Comments Due: View Received Comments Federal Register version (85 FR 86619)
34-90738
Dec. 21, 2020
SR-EMERALD-2020-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Establish a Fee for Historical Market Data Comments Due: Exhibit 5 Federal Register version (85 FR 85706)
34-90754
Dec. 21, 2020
SR-NYSEAMER-2020-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Commentary .10 Under NYSE American Rule 2.1210 Comments Due: Exhibit 5 Federal Register version (85 FR 85821)
34-90758
Dec. 21, 2020
SR-Phlx-2020-53
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Harmonize Exchange Rule General 3, Section 16 With Recent Changes by the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (85 FR 85782)
34-90763
Dec. 21, 2020
SR-OCC-2020-016
Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporation's System for Theoretical Analysis and Numerical Simulation ("STANS") Methodology Documentation Comments Due: Federal Register version (85 FR 85788)
34-90762
Dec. 21, 2020
SR-NYSECHX-2020-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Interpretation and Policy .10 Under NYSE Chicago Article 6, Rule 13 Comments Due: Exhibit 5 Federal Register version (85 FR 85756)
34-90760
Dec. 21, 2020
SR-NYSEARCA-2020-112
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Commentary .10 Under NYSE Arca Rule 2.1210 Comments Due: Exhibit 5 Federal Register version (85 FR 85828)
34-90739
Dec. 21, 2020
SR-NYSE-2020-90
Notice of Designation of a Longer Period for Commission Action on a 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 Federal Register version (85 FR 85759)
34-90744
Dec. 21, 2020
SR-NYSE-2020-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Comments Due: Exhibit 5 Federal Register version (85 FR 85712)
34-90750
Dec. 21, 2020
SR-NYSE-2020-101
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules To Delete Rules That Are Not Applicable to Trading on the Pillar Trading Platform Comments Due: Exhibit 5 Federal Register version (85 FR 85769)
34-90753
Dec. 21, 2020
SR-NYSE-2020-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Commentary .10 Under NYSE Rule 1210 Comments Due: Exhibit 5 Federal Register version (85 FR 85779)
34-90755
Dec. 21, 2020
SR-GEMX-2020-21
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Harmonize Exchange Rule General 3, Section 2 With Recent Changes by the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (85 FR 85819)
34-90757
Dec. 21, 2020
SR-MRX-2020-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Harmonize Exchange Rule General 3, Section 2 With Recent Changes by the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (85 FR 85771)
34-90756
Dec. 21, 2020
SR-ISE-2020-42
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Harmonize Exchange Rule General 3, Section 2 With Recent Changes by the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (85 FR 85817)
34-90752
Dec. 21, 2020
SR-IEX-2020-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 2.160 (Registration Requirements and Restrictions on Membership) To Adopt Temporary Supplementary Material .02 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) Under the Rule Comments Due: Exhibit 5 Federal Register version (85 FR 85824)
34-90746
Dec. 21, 2020
SR-ICEEU-2020-016
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Publication of a Circular Regarding the Interpretation of References to EU Legislation in the Clearing Rules at the End of the Brexit Transition Period Comments Due: Exhibit 5 Federal Register version (85 FR 85704)
34-90736
Dec. 21, 2020
SR-FICC-2020-803
Notice of Filing of 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 (85 FR 85743)
34-90747
Dec. 21, 2020
SR-DTC-2020-019
Notice of Filing of Proposed Rule Change To Update the Distributions Service Guide Comments Due: Exhibit 5 Federal Register version (85 FR 85765)
34-90742
Dec. 21, 2020
SR-CboeEDGX-2020-062
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 85709)
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)
