34-90137
Oct. 8, 2020
SR-NYSENAT-2020-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Rules 10.9261 and 10.9830 With Recent Changes by the Financial Industry Regulatory Authority, Inc. Comments Due: View Received Comments Federal Register version (85 FR 65087)
34-90140
Oct. 8, 2020
SR-NYSECHX-2020-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12 Comments Due: Exhibit 5 Federal Register version (85 FR 65888)
34-90136
Oct. 8, 2020
SR-NYSEARCA-2020-89
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12-E Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 65082)
34-90134
Oct. 8, 2020
SR-NYSE-2020-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12 Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 65107)
34-90124
Oct. 8, 2020
SR-PEARL-2020-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Exchange Rule 2622 Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 65105)
34-90125
Oct. 8, 2020
SR-LTSE-2020-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Date of the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.280 Comments Due: Exhibit 5 Federal Register version (85 FR 65114)
34-90141
Oct. 8, 2020
SR-LTSE-2020-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Continue Suspending the Application of Order Price Collars in Rule 11.190(f)(1) Until December 8, 2020 Comments Due: Federal Register version (85 FR 65882)
34-90128
Oct. 8, 2020
SR-IEX-2020-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.280 To Extend the Pilot Period for the Market-Wide Circuit Breaker to the Close of Business on October 18, 2021 Comments Due: Exhibit 5 Federal Register version (85 FR 65127)
34-90138
Oct. 8, 2020
SR-ICC-2020-011
Notice Relating to the ICC Clearing Rules Comments Due: Exhibit 5 Federal Register version (85 FR 65891)
34-90129
Oct. 8, 2020
SR-FINRA-2020-024
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Delete the FINRA Order Audit Trail System (OATS) Rules Comments Due: Federal Register version (85 FR 65113)
34-90142
Oct. 8, 2020
SR-CboeEDGX-2020-046
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 65884)
34-90127
Oct. 8, 2020
SR-CboeEDGA-2020-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.16 Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 65085)
34-90123
Oct. 8, 2020
SR-CboeBZX-2020-073
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rebate Tiers in the Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 65124)
34-90126
Oct. 8, 2020
SR-CboeBZX-2020-074
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 11.18 Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 65119)
34-90121
Oct. 8, 2020
SR-CboeBYX-2020-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.18 Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 65103)
34-90122
Oct. 8, 2020
SR-CboeBYX-2020-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Maker Transaction Fees Comments Due: Exhibit 5 Federal Register version (85 FR 65093)
34-90132
Oct. 8, 2020
SR-CBOE-2020-091
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.1 Comments Due: Federal Register version (85 FR 65130)
34-90115
Oct. 7, 2020
SR-NYSEAMER-2020-71
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Commentary .10 Under NYSE American Rule 2.1210 Comments Due: Federal Register version (85 FR 64595)
34-90117
Oct. 7, 2020
SR-NYSENAT-2020-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Commentary .10 Under NYSE National Rule 2.1210 Comments Due: View Received Comments Federal Register version (85 FR 65116)
34-90114
Oct. 7, 2020
SR-NYSECHX-2020-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Interpretation and Policy .10 Under NYSE Chicago Article 6, Rule 13 Comments Due: Federal Register version (85 FR 64556)
34-90104
Oct. 7, 2020
SR-NYSEArca-2020-84
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Arca Rule 8.900-E To Adopt Generic Listing Standards for Managed Portfolio Shares Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 64598)
34-90113
Oct. 7, 2020
SR-NYSEARCA-2020-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Commentary .10 Under NYSE Arca Rule 2.1210 Comments Due: Federal Register version (85 FR 65110)
34-90111
Oct. 7, 2020
SR-NYSE-2020-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Commentary .10 Under NYSE Rule 1210 Comments Due: Federal Register version (85 FR 65090)
34-90119
Oct. 7, 2020
SR-MEMX-2020-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Shorten the Exchange's Post-Market Session To End at 5:00 p.m. Eastern Time Comments Due: Exhibit 5 Federal Register version (85 FR 64536)
34-90103
Oct. 7, 2020
SR-CBOE-2020-089
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule With Respect to Its Strategy Fee Cap Comments Due: Exhibit 5 Federal Register version (85 FR 65099)
34-90096
Oct. 6, 2020
4-757
Notice of Filing of a National Market System Plan Regarding Consolidated Equity Market Data. Comments Due: View Received Comments Federal Register version (85 FR 64565)
34-90102
Oct. 6, 2020
SR-PEARL-2020-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the MIAX PEARL Equities Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 64559)
34-90099
Oct. 6, 2020
SR-LCHSA-2020-005
Notice of Filing of Proposed Rule Change Relating to the Clearing of Options on Index Credit Default Swaps in Respect of North American Indices (More Specifically, CDX.NA.IG and CDX.NA.HY) Comments Due: Exhibit 3 , Exhibit 5a , Exhibit 5b Federal Register version (85 FR 64551)
34-90088
Oct. 5, 2020
SR-NYSEARCA-2020-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Rules 10.9261 and 10.9830 With Recent Changes by the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (85 FR 64186)
34-90091
Oct. 5, 2020
SR-NYSE-2020-77
Notice of Filing of Proposed Rule Change To Adopt New Rule 8.601 (Active Proxy Portfolio Shares) and Rule 8.900 (Managed Portfolio Shares), Amend the Preamble to Rule 8P, and Amend Section 302.00 of the Listed Company Manual Comments Due: Exhibit 5 Federal Register version (85 FR 64194)
34-90092
Oct. 5, 2020
SR-NSCC-2020-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance the Insurance and Retirement Processing Services To Provide for a New Centralized Repository and Transactional Platform Called "Insurance Information Exchange" and Make Certain Clarification Changes to the NSCC Rules & Procedures Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (85 FR 64182)
34-90093
Oct. 5, 2020
SR-CBOE-2020-088
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Its Fees Schedule in Connection With the Exchange's Plans To List and Trade Options on the S&P 500 ESG Index ("SPESG") Comments Due: Exhibit 5 Federal Register version (85 FR 64189)
34-90074
Oct. 2, 2020
SR-NYSEAMER-2020-68
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Section 220 of the NYSE American Company Guide To Eliminate a Fee Cap on Original Listing Fees for Companies Listed on Foreign Stock Exchanges and Subject All Foreign Issuers to the Original Listing Fee Schedule Applicable to All Other Newly-Listed Companies Comments Due: Exhibit 5 Federal Register version (85 FR 63601)
34-90085
Oct. 2, 2020
SR-NYSEAMER-2020-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Rules 9261 and 9830 With Recent Changes by the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (85 FR 63603)
34-90084
Oct. 2, 2020
SR-NSCC-2020-016
Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge Comments Due: View Received Comments Federal Register version (85 FR 63607)
34-90076
Oct. 2, 2020
SR-MEMX-2020-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Initial Fee Schedule and Other Fees for MEMX LLC Comments Due: Exhibit 5 Federal Register version (85 FR 63620)
34-90083
Oct. 2, 2020
SR-FICC-2020-009
Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Charge in the VaR Charges Comments Due: View Received Comments Federal Register version (85 FR 63610)
34-90081
Oct. 2, 2020
SR-CboeEDGX-2020-037
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 the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc. Comments Due: View Received Comments Federal Register version (85 FR 63626)
34-90080
Oct. 2, 2020
SR-CboeEDGA-2020-021
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 the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc. Comments Due: View Received Comments Federal Register version (85 FR 63599)
34-90082
Oct. 2, 2020
SR-CboeBZX-2020-060
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 the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc. Comments Due: View Received Comments Federal Register version (85 FR 63595)
34-90086
Oct. 2, 2020
SR-CboeBYX-2020-022
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 the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc. Comments Due: View Received Comments Federal Register version (85 FR 63610)
34-90079
Oct. 2, 2020
SR-CBOE-2020-071
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 the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc. Comments Due: View Received Comments Federal Register version (85 FR 63614)
34-90065
Oct. 1, 2020
SR-OCC-2020-011
Notice of Filing of Proposed Rule Change To Adopt a New Second Amended and Restated Cross-Margining Agreement Between The Options Clearing Corporation and The Chicago Mercantile Exchange Comments Due: Federal Register version (85 FR 63305)
34-90070
Oct. 1, 2020
4-518
Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS To Add MIAX PEARL, LLC as a Participant Comments Due: Federal Register version (85 FR 63324)
34-90073
Oct. 1, 2020
4-533
Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add MIAX PEARL LLC as a Party Thereto Comments Due: Federal Register. View Received Comments Federal Register version (85 FR 63313)
34-90068
Oct. 1, 2020
4-631
Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Address Extraordinary Market Volatility To Add MIAX PEARL LLC as a Participant Comments Due: View Received Comments Federal Register version (85 FR 63322)
34-90072
Oct. 1, 2020
S7-24-89
Notice of Filing and Immediate Effectiveness of the Forty-Ninth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Comments Due: Federal Register version (85 FR 63613)
34-90071
Oct. 1, 2020
SR-CTA/CQ-2020-02
Notice of Filing and Immediate Effectiveness of the Thirty-Fifth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Sixth Substantive Amendment to the Restated CQ Plan Comments Due: Federal Register version (85 FR 63606)
34-90066
Oct. 1, 2020
SR-MSRB-2020-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to the By-Laws of the Municipal Securities Rulemaking Board To Reflect Recent Changes To MSRB Rules A-3, A-4, and A-6 Comments Due: Exhibit 5 Federal Register version (85 FR 63323)
34-90067
Oct. 1, 2020
SR-FINRA-2020-031
Notice of Filing of 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 Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 63314)
34-90062
Oct. 1, 2020
SR-CBOE-2020-075
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Make Qualified Contingent Cross Orders Available for FLEX Trading Comments Due: View Received Comments Federal Register version (85 FR 63312)
34-90020
Sept. 28, 2020
SR-NYSE-2020-79
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 December 31, 2020 Subject to Certain Conditions Comments Due: Federal Register version (85 FR 62357)
34-90023
Sept. 28, 2020
SR-NYSE-2020-67
Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Article IV, Section 4.05 of the Thirteenth Amended and Restated Operating Agreement of the Exchange Comments Due: Federal Register version (85 FR 62362)
34-90024
Sept. 28, 2020
SR-NYSE-2020-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Rules 9261 and 9830 with Recent Changes by the Financial Industry Regulatory Authority, Inc. Comments Due: Exhibit 5 Federal Register version (85 FR 62353)
34-90034
Sept. 28, 2020
SR-NSCC-2020-804
Notice of Filing of Amendment No. 2 and Notice of No Objection to Advance Notice, as Modified by Amendment Nos. 1 and 2, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge Comments Due: View Received Comments Federal Register version (85 FR 62342)
34-90022
Sept. 28, 2020
SR-MEMX-2020-09
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to MEMX Rule 11.15, Clearly Erroneous Executions Comments Due: Exhibit 5 Federal Register version (85 FR 62340)
34-90033
Sept. 28, 2020
SR-FICC-2020-802
Notice of Filing of Amendment No. 2 and Notice of No Objection to Advance Notice, as Modified by Amendment Nos. 1 and 2, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Charge in the VaR Charges Comments Due: Federal Register version (85 FR 62348)
34-90005
Sept. 25, 2020
SR-NYSE-2020-78
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 61999)
34-89998
Sept. 25, 2020
SR-MSRB-2020-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-4 Relating to Board Quorum, Meeting, and Voting Requirements Comments Due: Exhibit 5 Federal Register version (85 FR 62001)
34-90000
Sept. 25, 2020
SR-FINRA-2020-030
Notice of Filing of a Proposed Rule Change 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: View Received Comments Federal Register version (85 FR 62142)
34-90007
Sept. 25, 2020
SR-CBOE-2020-072
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules Relating to the Processing of Auction Responses Comments Due: View Received Comments Federal Register version (85 FR 62004)
34-89994
Sept. 24, 2020
SR-MSRB-2020-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation Comments Due: Exhibit 5 Federal Register version (85 FR 61780)
34-89991
Sept. 24, 2020
SR-MIAX-2020-31
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A, MIAX Price Improvement Mechanism ("PRIME") and PRIME Solicitation Mechanism To Adopt a New ISO Prime Order Type Comments Due: Exhibit 5 Federal Register version (85 FR 61782)
34-89969
Sept. 23, 2020
SR-PEARL-2020-15
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Exchange Rule 1014, Imposition of Fines for Minor Rule Violations Comments Due: Exhibit 5 Federal Register version (85 FR 61051)
34-89971
Sept. 23, 2020
SR-PEARL-2020-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2618, Risk Settings and Trading Risk Metrics Comments Due: Exhibit 5 Federal Register version (85 FR 61053)
34-89968
Sept. 23, 2020
SR-IEX-2020-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction Fees Pursuant to IEX Rule 15.110 Concerning the CQ Remove Fee Comments Due: Exhibit 5 Federal Register version (85 FR 61048)
34-89967
Sept. 23, 2020
SR-IEX-2020-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction Fees Pursuant to IEX Rule 15.110 Concerning D-Limit Orders Comments Due: Exhibit 5 Federal Register version (85 FR 63616)
34-89973
Sept. 23, 2020
SR-FINRA-2020-029
Notice of Filing of Proposed Rule Change Relating to Granularity of Timestamps in Trade Reports Submitted to FINRA's Equity Trade Reporting Facilities Comments Due: Exhibit 5 Federal Register version (85 FR 61044)
34-89970
Sept. 23, 2020
SR-CboeEDGX-2020-045
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 61039)
34-89974
Sept. 23, 2020
SR-CboeBZX-2020-071
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 61071)
34-89972
Sept. 23, 2020
4-566
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., MEMX LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., Investors' Exchange LLC, and Long-Term Stock Exchange, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules Comments Due: Federal Register version (85 FR 61062)
34-89962
Sept. 22, 2020
SR-NYSE-2020-66
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend NYSE Rule 122 Comments Due: View Received Comments Federal Register version (85 FR 60854)
34-89949
Sept. 22, 2020
SR-NSCC-2020-003
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV Comments Due: View Received Comments Federal Register version (85 FR 60854)
34-89952
Sept. 22, 2020
SR-DTC-2020-011
Notice of Filing of Proposed Rule Change To Amend Rule 4 Comments Due: Exhibit 5 Federal Register version (85 FR 60847)
34-89927
Sept. 21, 2020
SR-EMERALD-2020-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 60498)
34-89931
Sept. 21, 2020
SR-CBOE-2020-055
Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rule 5.24 Comments Due: View Received Comments Federal Register version (85 FR 60504)
34-89925
Sept. 18, 2020
SR-NYSE-2020-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .02 to Rule 7.35 Comments Due: Exhibit 5 Federal Register version (85 FR 60276)
34-89924
Sept. 18, 2020
SR-MEMX-2020-08
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 13.4(a) To Add the Sources of Data for MIAX PEARL, LLC and Long-Term Stock Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (85 FR 60274)
34-89913
Sept. 17, 2020
SR-Phlx-2020-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits at Equity 7, Section 3 Comments Due: Exhibit 5 Federal Register version (85 FR 59834)
34-89901
Sept. 17, 2020
SR-CboeBZX-2020-070
Notice of Filing of a Proposed Rule Change To List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) ("Trust Issued Receipts") View Received Comments Federal Register version (85 FR 59836)
34-89884
Sept. 16, 2020
SR-NYSENAT-2020-28
Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 59576)
34-89886
Sept. 16, 2020
SR-NYSECHX-2020-26
Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 59582)
34-89883
Sept. 16, 2020
SR-NYSEArca-2020-82
Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 59568)
34-89897
Sept. 16, 2020
SR-NASDAQ-2020-062
Notice of Filing of Proposed Rule Change To Amend Listing Rules Applicable to Special Purpose Acquisition Companies Whose Business Plan Is To Complete One or More Business Combinations Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 59574)
34-89899
Sept. 16, 2020
SR-MEMX-2020-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Manner in Which the Exchange Will Designate Members To Participate in Its Mandatory Disaster Recovery Testing for Calendar Year 2020 Comments Due: Exhibit 5 Federal Register version (85 FR 59580)
34-89880
Sept. 15, 2020
SR-NYSEAMER-2020-66
Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users View Received Comments Exhibit 5 Federal Register version (85 FR 59365)
34-89870
Sept. 15, 2020
SR-Phlx-2020-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3304 Comments Due: Exhibit 5 Federal Register version (85 FR 59353)
34-89869
Sept. 15, 2020
SR-NYSEArca-2020-80
Notice of Filing of Proposed Rule Change To List and Trade Shares of the Alger Mid Cap 40 ETF and Alger 25 ETF Under Rule 8.900-E, Managed Portfolio Shares Comments Due: View Received Comments Federal Register version (85 FR 59354)
34-89874
Sept. 15, 2020
SR-NYSEArca-2020-77
Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 8.601-E To Adopt Generic Listing Standards for Active Proxy Portfolio Shares Comments Due: Exhibit 5 Federal Register version (85 FR 59338)
34-89879
Sept. 15, 2020
SR-NYSE-2020-73
Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Cabinets to its Co-Located Users Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 59361)
34-89871
Sept. 15, 2020
SR-BX-2020-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4759. Comments Due: Exhibit 5 Federal Register version (85 FR 59344)
34-89875
Sept. 15, 2020
SR-NASDAQ-2020-060
Notice of Filing of Proposed Rule Change, As Modified by Amendment No. 1, To Treat as an Eligible Switch, for Purposes of IM-5900-7, an Acquisition Company That Switches From NYSE to Nasdaq After Announcing a Business Combination Comments Due: Exhibit 5 Federal Register version (85 FR 59346)
34-89878
Sept. 15, 2020
SR-NASDAQ-2020-057
Notice of Filing of Proposed Rule Change To Allow Companies To List in Connection With a Direct Listing With a Primary Offering in Which the Company Will Sell Shares Itself in the Opening Auction on the First Day of Trading on Nasdaq and To Explain How the Opening Transaction for Such a Listing Will Be Effected Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 59349)
34-89877
Sept. 15, 2020
SR-LTSE-2020-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.410(a). Comments Due: Exhibit 5 Federal Register version (85 FR 59336)
34-89867
Sept. 15, 2020
SR-FINRA-2020-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Standardized Membership Application Forms-Form NMA and Form CMA-To Conform to Amendments to the Membership Application Program Rules as Described in SR-FINRA-2019-030 Comments Due: Federal Register version (85 FR 58404)
34-89865
Sept. 14, 2020
SR-NYSECHX-2020-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Update the Exchange's Source of Data Feeds From MIAX PEARL, LLC Comments Due: Exhibit 5 Federal Register version (85 FR 58410)
34-89860
Sept. 14, 2020
SR-BX-2020-025
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees, at Equity 7, Section 118(a) Comments Due: Exhibit 5 Federal Register version (85 FR 58415)
34-89862
Sept. 14, 2020
SR-ICEEU-2020-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Clearing Rules (the "Rules") Comments Due: Exhibit 5 Federal Register version (85 FR 58412)
34-89833
Sept. 11, 2020
SR-NYSEAMER-2020-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37E To Specify the Exchange's Source of Data Feeds From MIAX PEARL, LLC Comments Due: Exhibit 5 Federal Register version (85 FR 58099)
34-89834
Sept. 11, 2020
SR-NYSEArca-2020-54
Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 5.3-E to Exempt Issuers of Certain Derivative and Special Purpose Securities From Having To Obtain Shareholder Approval Prior to the Issuance of Securities in Connection With Certain Acquisitions of the Stock or Assets of an Affiliated Company Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 58090)
