34-89219
July 2, 2020
SR-NYSE-2020-58
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 September 30, 2020 Subject to Certain Conditions Comments Due: Federal Register version (85 FR 41640)
34-89216
July 2, 2020
SR-LTSE-2020-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Designation of Members for Mandatory Disaster Recovery Testing Pursuant to Regulation SCI for Calendar Year 2020 Comments Due: Exhibit 5 Federal Register version (85 FR 41259)
34-89218
July 2, 2020
SR-FINRA-2020-020
Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 3241 (Registered Person Being Named a Customer's Beneficiary or Holding a Position of Trust for a Customer) Comments Due: View Received Comments Federal Register version (85 FR 41249)
34-89206
July 1, 2020
SR-MIAX-2020-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders and Exchange Rule 515A, MIAX Price Improvement Mechanism ("PRIME") and PRIME Solicitation Mechanism Comments Due: Exhibit 5 Federal Register version (85 FR 41079)
34-89212
July 1, 2020
SR-MIAX-2020-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders Comments Due: Federal Register version (85 FR 41075)
34-89211
July 1, 2020
SR-ICEEU-2020-002
Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Investment Management Procedures and Treasury and Banking Services Policy Comments Due: Exhibit 5 Federal Register version (85 FR 41082)
34-89191
June 30, 2020
SR-NYSEArca-2019-92
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Four Series of Active Proxy Portfolio Shares Issued by T. Rowe Price Exchange-Traded Funds, Inc. Under NYSE Arca Rule 8.601-E Comments Due: View Received Comments Federal Register version (85 FR 40358)
34-89192
June 30, 2020
SR-NYSEArca-2019-96
Notice of Filing of Amendment No. 5 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 5, To List and Trade Two Series of Active Proxy Portfolio Shares Issued by the American Century ETF Trust Under NYSE Arca Rule 8.601-E Comments Due: View Received Comments Federal Register version (85 FR 40699)
34-89197
June 30, 2020
SR-NYSEArca-2020-56
Notice of Filing of 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 Exhibit 5 Federal Register version (85 FR 40720)
34-89199
June 30, 2020
SR-NYSE-2020-56
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 Comments Due: Exhibit 5 Federal Register version (85 FR 40718)
34-89205
June 30, 2020
SR-NYSE-2020-55
Notice of Filing of Proposed Rule Change To Amend Rules 7.36 and 7.37 Comments Due: Exhibit 5 Federal Register version (85 FR 40715)
34-89188
June 30, 2020
SR-FINRA-2020-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Extend the Time To Complete Office Inspections Under FINRA Rule 3110 (Supervision) Comments Due: View Received Comments Federal Register version (85 FR 40713)
34-89193
June 30, 2020
SR-FICC-2020-006
Notice of Filing of Proposed Rule Change To Provide for a Passive Acknowledgement Process and Make Other Changes Comments Due: Exhibit 5 Federal Register version (85 FR 40723)
34-89189
June 30, 2020
SR-CBOE-2020-058
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 40344)
34-89194
June 30, 2020
SR-BOX-2020-22
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Establish Section I.C.2 (Strategy Order Facilitation and Solicitation Transactions) Comments Due: Exhibit 5 Federal Register version (85 FR 40709)
34-89196
June 30, 2020
SR-BOX-2020-25
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 40342)
34-89173
June 29, 2020
SR-NYSEAMER-2020-46
Notice of Filing and Immediate Effectiveness of Proposed Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee Comments Due: Exhibit 5 Federal Register version (85 FR 40352)
34-89175
June 29, 2020
SR-NYSENAT-2020-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Waiver of the Co-location Hot Hands Fee Comments Due: Exhibit 5 Federal Register version (85 FR 40354)
34-89176
June 29, 2020
SR-NYSECHX-2020-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-location Hot Hands Fee Comments Due: Exhibit 5 Federal Register version (85 FR 40377)
34-89174
June 29, 2020
SR-NYSEARCA-2020-58
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-location Hot Hands Fee Comments Due: Exhibit 5 Federal Register version (85 FR 40349)
34-89185
June 29, 2020
SR-NYSEArca-2019-95
Notice of Filing of Amendment No. 6 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 6, To Adopt NYSE Arca Rule 8.601-E To Permit the Listing and Trading of Active Proxy Portfolio Shares and To List and Trade Shares of the Natixis U.S. Equity Opportunities ETF Under Proposed NYSE Arca Rule 8.601-E Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 40328)
34-89172
June 29, 2020
SR-NYSE-2020-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee Comments Due: Exhibit 5 Federal Register version (85 FR 40347)
34-89164
June 26, 2020
SR-Phlx-2020-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Implementation Date of the Proposed Rule Change To Amend Exchange Rules 3301A and 3301B Comments Due: Federal Register version (85 FR 39964)
34-89168
June 26, 2020
SR-Phlx-2020-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options Comments Due: Exhibit 5 Federal Register version (85 FR 39956)
34-89162
June 26, 2020
SR-GEMX-2020-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 to Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options Comments Due: Exhibit 5 Federal Register version (85 FR 39961)
34-89169
June 26, 2020
SR-BX-2020-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options Comments Due: Exhibit 5 Federal Register version (85 FR 39949)
34-89167
June 26, 2020
SR-NASDAQ-2020-036
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options Comments Due: Exhibit 5 Federal Register version (85 FR 39953)
34-89163
June 26, 2020
SR-MRX-2020-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options Comments Due: Exhibit 5 Federal Register version (85 FR 39946)
34-89166
June 26, 2020
SR-PEARL-2020-07
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, As Modified by Amendment No. 1, To Add the Consolidated Audit Trail Industry Member Compliance Rules to Exchange Rule 1014, Imposition of Fines for Minor Rule Violations Comments Due: Amendment 1 Federal Register version (85 FR 39943)
34-89165
June 26, 2020
SR-IEX-2019-15
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Add a New Discretionary Limit Order Type Called D-Limit Comments Due: View Received Comments Federal Register version (85 FR 39959)
34-89153
June 25, 2020
SR-Phlx-2020-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 13 To Increase the Position Limits for Options on Certain Exchange-Traded Funds Comments Due: Exhibit 5 Federal Register version (85 FR 39619)
34-89150
June 25, 2020
SR-BX-2020-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Sections 13 and 15 To Increase the Position and Exercise Limits for Options on the SPDR S&P 500 ETF Trust Comments Due: Exhibit 5 Federal Register version (85 FR 39640)
34-89151
June 25, 2020
SR-NASDAQ-2020-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Sections 13 and 15 To Increase the Position and Exercise Limits for Options on the SPDR S&P 500 ETF Trust Comments Due: Exhibit 5 Federal Register version (85 FR 39645)
34-89152
June 25, 2020
SR-ISE-2020-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Sections 13 and 15 To Increase the Position and Exercise Limits for Options on Certain Exchange-Traded Funds Comments Due: Exhibit 5 Federal Register version (85 FR 39607)
34-89158
June 25, 2020
SR-ISE-2020-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options Comments Due: Exhibit 5 Federal Register version (85 FR 39603)
34-89155
June 25, 2020
SR-IEX-2020-09
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations Comments Due: Exhibit 5 Federal Register version (85 FR 39649)
34-89156
June 25, 2020
SR-CBOE-2020-059
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Chapter 7, Section B of the Rules, Which Contains the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan") Comments Due: Exhibit 5 Federal Register version (85 FR 39625)
34-89147
June 24, 2020
SR-NYSE-2019-67
Notice of Designation of 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 Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings Comments Due: View Received Comments Federal Register version (85 FR 39226)
34-89148
June 24, 2020
SR-NYSE-2019-67
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (85 FR 39246)
34-89141
June 24, 2020
SR-NSCC-2020-011
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Clearing Fund Maintenance Fee Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (85 FR 39253)
34-89140
June 24, 2020
SR-MEMX-2020-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Compliance Rules Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: Exhibit 5 Federal Register version (85 FR 39230)
34-89146
June 24, 2020
SR-IEX-2020-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.190(b)(13) To Discontinue the Market Maker Peg Order and Make Conforming Changes Comments Due: Exhibit 5 Federal Register version (85 FR 39251)
34-89127
June 23, 2020
SR-NYSEArca-2020-51
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Relating to the Listing and Trading of the Shares of Natixis Vaughan Nelson Select ETF and Natixis Vaughan Nelson MidCap ETF Under Proposed NYSE Arca Rule 8.601-E Comments Due: View Received Comments Federal Register version (85 FR 39000)
34-89129
June 23, 2020
SR-NYSEArca-2020-57
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Permit the Continued Listing and Trading of the WisdomTree Mortgage Plus Bond Fund Comments Due: Federal Register version (85 FR 39008)
34-89123
June 23, 2020
SR-NYSE-2020-51
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations Comments Due: Exhibit 5 Federal Register version (85 FR 39016)
34-89137
June 23, 2020
SR-NASDAQ-2020-035
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq General 7 (Consolidated Audit Trail Compliance) Comments Due: Exhibit 5 Federal Register version (85 FR 38937)
34-89136
June 23, 2020
SR-MIAX-2020-17
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules to Exchange Rule 1014, Imposition of Fines for Minor Rule Violations Comments Due: Exhibit 5 Federal Register version (85 FR 39013)
34-89132
June 23, 2020
SR-CboeEDGX-2020-030
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan") Comments Due: Exhibit 5 Federal Register version (85 FR 38973)
34-89130
June 23, 2020
SR-CboeEDGA-2020-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan") Comments Due: Exhibit 5 Federal Register version (85 FR 38960)
34-89126
June 23, 2020
SR-CboeBZX-2020-050
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 11.22(j) to Identify the Primary Listing Market's Official Opening and Closing Price Comments Due: Exhibit 5 Federal Register version (85 FR 38958)
34-89134
June 23, 2020
SR-CboeBZX-2020-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan") Comments Due: Exhibit 5 Federal Register version (85 FR 39021)
34-89125
June 23, 2020
SR-CboeBYX-2020-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 11.22(i) to Identify the Primary Listing Market's Official Opening and Closing Price Comments Due: Exhibit 5 Federal Register version (85 FR 38956)
34-89138
June 23, 2020
SR-CboeBYX-2020-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan") Comments Due: Exhibit 5 Federal Register version (85 FR 38987)
34-89128
June 23, 2020
SR-CBOE-2020-053
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.1 in Order To Provide for a Consistent Documentation of Open Outcry Execution Information in the Event of an Exchange System Malfunction or Disruption Comments Due: Exhibit 5 Federal Register version (85 FR 39019)
34-89131
June 23, 2020
SR-CBOE-2020-055
Notice of Filing of a Proposed Rule Change To Amend Rule 5.24 Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 38951)
34-89114
June 22, 2020
SR-BX-2020-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118 Comments Due: Exhibit 5 Federal Register version (85 FR 38418)
34-89110
June 22, 2020
SR-NASDAQ-2020-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Nasdaq Rule 5750 To List and Trade Proxy Portfolio Shares Comments Due: Exhibit 5 Federal Register version (85 FR 38461)
34-89115
June 22, 2020
SR-NASDAQ-2020-030
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 114 and Equity 7, Section 118(a) of the Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 38414)
34-89117
June 22, 2020
SR-MIAX-2020-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter XVII, Consolidated Audit Trail Compliance Rule Comments Due: Exhibit 5 Federal Register version (85 FR 38434)
34-89120
June 22, 2020
SR-LTSE-2020-09
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the LTSE Rule 11.600 Series (Consolidated Audit Trail Compliance Rule) Comments Due: Exhibit 5 Federal Register version (85 FR 38447)
34-89118
June 22, 2020
SR-IEX-2020-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule Series 11.600 (Consolidated Audit Trail Compliance Rule) Comments Due: Exhibit 5 Federal Register version (85 FR 38421)
34-89119
June 22, 2020
SR-FINRA-2020-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) Comments Due: Exhibit 5 Federal Register version (85 FR 38468)
34-89116
June 22, 2020
SR-BOX-2020-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 16000 Series (Consolidated Audit Trail Compliance Rule) Comments Due: Exhibit 5 Federal Register version (85 FR 38401)
34-89103
June 19, 2020
SR-NYSEAMER-2020-03
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Amend Consolidated Audit Trail Compliance Rules Comments Due: Federal Register version (85 FR 38207)
34-89104
June 19, 2020
SR-NYSENAT-2020-01
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Amend Consolidated Audit Trail Compliance Rules Comments Due: View Received Comments Federal Register version (85 FR 38178)
34-89106
June 19, 2020
SR-NYSECHX-2020-01
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, To Amend Consolidated Audit Trail Compliance Rules Comments Due: View Received Comments Federal Register version (85 FR 38193)
34-89107
June 19, 2020
SR-NYSEARCA-2020-01
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Amend Consolidated Audit Trail Compliance Rules Comments Due: View Received Comments Federal Register version (85 FR 38222)
34-89108
June 19, 2020
SR-NYSE-2020-01
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Amend Consolidated Audit Trail Compliance Rules Comments Due: View Received Comments Federal Register version (85 FR 38164)
34-89088
June 18, 2020
SR-NSCC-2020-010
Notice of Filing of and Immediate Effectiveness of a Proposed Rule Change To Amend Rules With Respect to Index Receipts Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 37988)
34-89092
June 18, 2020
SR-MSRB-2020-04
Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-6 That Are Designed To Improve Board Governance Comments Due: View Received Comments Exhibit 2 , Exhibit 5 Federal Register version (85 FR 37974)
34-89093
June 18, 2020
SR-MIAX-2020-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Extend Filing Deadlines for Certain Supervision-Related Reports Comments Due: Exhibit 5 Federal Register version (85 FR 37986)
34-89090
June 18, 2020
SR-ICEEU-2020-009
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Model Risk Governance Framework Comments Due: Federal Register version (85 FR 37992)
34-89091
June 18, 2020
SR-FINRA-2020-007
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to FINRA's Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest Comments Due: Federal Register version (85 FR 37970)
34-89086
June 17, 2020
SR-NYSE-2020-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add, for a Temporary Period That Begins on June 17, 2020, Commentary .06 to Rule 7.35A; Commentary .03 to Rule 7.35B; Supplementary Material .20 to Rule 76; and an Amendment to Supplementary Material .30 to Rule 36 To Support the Partial Return of Designated Market Makers to the Trading Floor Comments Due: Exhibit 5 Federal Register version (85 FR 37712)
34-89085
June 17, 2020
SR-MIAX-2020-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders Comments Due: Exhibit 5 Federal Register version (85 FR 37719)
34-89080
June 17, 2020
SR-CboeEDGX-2020-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.5 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options and Add New Rule 21.5(e) Comments Due: Exhibit 5 Federal Register version (85 FR 37722)
34-89083
June 17, 2020
SR-CboeEDGX-2020-029
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 13.8(b) To Identify the Primary Listing Market's Official Opening and Closing Price Comments Due: Exhibit 5 Federal Register version (85 FR 37706)
34-89082
June 17, 2020
SR-CboeEDGA-2020-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 13.8(b) To Identify the Primary Listing Market's Official Opening and Closing Price Comments Due: Exhibit 5 Federal Register version (85 FR 37699)
34-89079
June 17, 2020
SR-CboeBZX-2020-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.5 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options and Add New Rule 21.5(d) Comments Due: Exhibit 5 Federal Register version (85 FR 37708)
34-89081
June 17, 2020
SR-C2-2020-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.4 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options and Add New Rule 6.4(c) Comments Due: Exhibit 5 Federal Register version (85 FR 37715)
34-89073
June 16, 2020
SR-NYSEArca-2020-46
Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities Comments Due: Exhibit 5 Federal Register version (85 FR 37488)
34-89077
June 16, 2020
SR-NASDAQ-2020-031
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Protocol "Ouch To Trade Options" or "OTTO" Comments Due: Exhibit 5 Federal Register version (85 FR 37486)
34-89072
June 16, 2020
SR-ICC-2020-008
Notice Relating to the ICC Exercise Procedures and ICC Clearing Rules Comments Due: Exhibit 5 Federal Register version (85 FR 37483)
34-89076
June 16, 2020
SR-CboeBZX-2020-036
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 14.11, Other Securities Comments Due: View Received Comments Federal Register version (85 FR 37488)
34-89075
June 16, 2020
SR-CBOE-2020-054
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.4 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options and Add New Rule 5.4(d) Comments Due: Exhibit 5 Federal Register version (85 FR 37479)
34-89071
June 15, 2020
SR-GEMX-2020-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the GEMX Disciplinary Rules in General 5 To Incorporate by Reference The Nasdaq Stock Market LLC's Series 8000 and 9000 Rules Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 37129)
34-89070
June 15, 2020
SR-MRX-2020-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the MRX Disciplinary Rules in General 5 To Incorporate by Reference The Nasdaq Stock Market LLC's Series 8000 and 9000 Rules Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 37142)
34-89069
June 15, 2020
SR-ISE-2020-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the ISE Disciplinary Rules in General 5 To Incorporate by Reference The Nasdaq Stock Market LLC's Series 8000 and 9000 Rules Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 37120)
34-89067
June 15, 2020
SR-CboeBZX-2020-047
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 37136)
34-89065
June 12, 2020
SR-NYSENAT-2020-05
Request for Information and Additional Comment on a Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed Comments Due: View Received Comments Federal Register version (85 FR 37123)
34-89061
June 12, 2020
SR-NYSEArca-2020-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Regarding Pricing Incentives for Certain Posted Volume Comments Due: Exhibit 5 Federal Register version (85 FR 36914)
34-89057
June 12, 2020
SR-NYSEArca-2019-77
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the AdvisorShares Pure U.S. Cannabis ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (85 FR 36910)
34-89059
June 12, 2020
SR-NYSE-2020-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Temporarily the Auction Collars for Exchange-Facilitated Core Open Auctions Under Rule 7.35C Comments Due: Exhibit 5 Federal Register version (85 FR 36911)
34-89060
June 12, 2020
SR-ICEEU-2020-005
Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Clearing Rules Comments Due: Exhibit 2A , Exhibit 5 Federal Register version (85 FR 36904)
34-89055
June 12, 2020
SR-FINRA-2020-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 Comments Due: Federal Register version (85 FR 36928)
34-89064
June 12, 2020
SR-CboeEDGX-2020-025
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 36899)
34-89058
June 12, 2020
SR-CBOE-2020-051
Notice of Filing of a Proposed Rule Change To Amend Its Automated Price Improvement Auction Rules in Connection With Agency Order Size Requirements Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 36918)
34-89062
June 12, 2020
SR-CBOE-2020-050
Notice of Filing of a Proposed Rule Change To Amend Rules 5.37 and 5.73 Comments Due: View Received Comments Federal Register version (85 FR 36907)
34-89063
June 12, 2020
SR-CBOE-2020-052
Notice of Filing of a Proposed Rule Change Relating To Amend Rules 5.37, 5.38 and Rule 5.73 Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 36923)
34-89056
June 12, 2020
SR-C2-2020-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Chapter 6, Section G Regarding Off-Floor Transactions and Transfers Comments Due: Exhibit 5 Federal Register version (85 FR 36888)
