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)
34-89045
June 11, 2020
SR-NYSEAMER-2020-45
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the NYSE American Options Fee Schedule To Adopt a New Incentive Program for Floor Brokers Comments Due: Exhibit 5 Federal Register version (85 FR 36644)
34-89049
June 11, 2020
SR-NYSEAMER-2020-44
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Modifying the NYSE American Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 36649)
34-89050
June 11, 2020
SR-NYSE-2020-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Comments Due: Exhibit 5 Federal Register version (85 FR 36637)
34-89052
June 11, 2020
4-698
Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Options Exchange LLC, Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Options Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC, Long-Term Stock Exchange LLC, Miami International Securities Exchange, LLC, MIAX EMERALD, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE American, LLC, NYSE Chicago, Inc. and NYSE National, Inc. Comments Due: View Received Comments Federal Register version (85 FR 36623)
34-89048
June 11, 2020
SR-GEMX-2020-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Pricing Schedule at Options 7, Sections 3 and 4 Comments Due: Exhibit 5 Federal Register version (85 FR 36653)
34-89046
June 11, 2020
SR-MRX-2020-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Pricing Schedule at Options 7 Comments Due: Exhibit 5 Federal Register version (85 FR 36633)
34-89047
June 11, 2020
SR-CboeBZX-2020-048
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 36627)
34-89043
June 11, 2020
SR-BOX-2020-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Section II of the Fee Schedule (Manual Transaction Fees) on the BOX Options Market LLC Facility Comments Due: Exhibit 5 Federal Register version (85 FR 36647)
34-89040
June 10, 2020
SR-Phlx-2020-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Options 5, Section 4 Comments Due: Exhibit 5 Federal Register version (85 FR 36456)
34-89041
June 10, 2020
SR-Phlx-2020-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Pricing Schedule at Options 7, Section 8, Membership Fees and Options 7, Section 9, Other Member Fees Comments Due: Exhibit 5 Federal Register version (85 FR 36438)
34-89037
June 10, 2020
SR-OCC-2020-006
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Administrative Updates to The Options Clearing Corporation's Risk Management Policies Comments Due: View Received Comments Federal Register version (85 FR 36442)
34-89039
June 10, 2020
SR-OCC-2020-803
Notice of No Objection to Advance Notice Related to Changes to The Options Clearing Corporation's Non-Bank Repo Facility Program as Part of Its Overall Liquidity Plan Comments Due: Federal Register version (85 FR 36444)
34-89038
June 10, 2020
SR-NYSEArca-2020-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 36447)
34-89036
June 10, 2020
SR-FINRA-2020-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) Comments Due: View Received Comments Federal Register version (85 FR 36458)
34-89042
June 10, 2020
4-618
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Cboe BZX Exchange, Inc., Cboe BYX Comments Due: View Received Comments Federal Register version (85 FR 36450)
34-89035
June 9, 2020
SR-MIAX-2020-12
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 36249)
34-89032
June 9, 2020
SR-CboeBZX-2020-044
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Members and Clearing Members To Establish or Adjust the Risk Settings Set Forth in Interpretation and Policy .03 of Exchange Rule 11.13 on a Risk Group Identifier Basis Comments Due: Exhibit 5 Federal Register version (85 FR 36246)
34-89031
June 9, 2020
SR-CboeBYX-2020-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Members and Clearing Members To Establish or Adjust the Risk Settings Set Forth in Interpretation and Policy .03 of Exchange Rule 11.13 on a Risk Group Identifier Basis Comments Due: Exhibit 5 Federal Register version (85 FR 36252)
34-89030
June 8, 2020
SR-GEMX-2020-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 7, Types of Orders, To Add Other Existing Order Types to the List of Order Types Comments Due: Exhibit 5 Federal Register version (85 FR 35969)
34-89027
June 8, 2020
SR-NASDAQ-2020-027
Notice of Filing of Proposed Rule Change To Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 35962)
34-89028
June 8, 2020
SR-NASDAQ-2020-026
Notice of Filing of Proposed Rule Change To Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 35967)
34-89026
June 5, 2020
SR-NASDAQ-2019-091
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a New Rule Concerning Nasdaq's Ability To Request Information From a Listed Company Regarding the Number of Unrestricted Publicly Held Shares in Certain Circumstances and Halt Trading in the Company's Security Upon the Request, and in Certain Circumstances Request a Plan To Increase the Number of Unrestricted Publicly Held Shares To an Amount That is Higher Than the Applicable Publicly Held Shares Requirement Comments Due: View Received Comments Federal Register version (85 FR 35687)
34-89004
June 4, 2020
SR-OCC-2020-802
Notice of No Objection to Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management Comments Due: Federal Register version (85 FR 35474)
34-89007
June 4, 2020
SR-CboeEDGX-2020-010
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 Rule Relating to MidPoint Discretionary Orders To Allow Optional Offset or Quote Depletion Protection Instructions Comments Due: View Received Comments Federal Register version (85 FR 35454)
34-89020
June 4, 2020
SR-CboeEDGX-2020-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.13 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Tracking Fund Shares Comments Due: Exhibit 5 Federal Register version (85 FR 35482)
34-89016
June 4, 2020
SR-CboeEDGA-2020-005
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 Rule Relating to MidPoint Discretionary Orders To Allow Optional Offset or Quote Depletion Protection Instructions Comments Due: View Received Comments Federal Register version (85 FR 35488)
34-89019
June 4, 2020
SR-CboeEDGA-2020-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.13 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Tracking Fund Shares Comments Due: Exhibit 5 Federal Register version (85 FR 35461)
34-89011
June 4, 2020
SR-CboeBZX-2020-049
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Exempt Tracking Fund Shares Listed Pursuant to Rule 14.11(m) From Certain Governance Requirements Comments Due: Exhibit 5 Federal Register version (85 FR 35490)
34-89012
June 4, 2020
SR-CboeBYX-2020-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.13 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Tracking Fund Shares Comments Due: Exhibit 5 Federal Register version (85 FR 35467)
34-89017
June 4, 2020
SR-BOX-2019-37
Notice of Withdrawal of a Proposed Rule Change in Connection With the Proposed Commencement of Operations of Boston Security Token Exchange LLC as a Facility of the Exchange Comments Due: View Received Comments Federal Register version (85 FR 35473)
34-89018
June 4, 2020
SR-BOX-2019-19
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC Comments Due: View Received Comments Federal Register version (85 FR 35458)
34-88999
June 3, 2020
SR-NYSE-2020-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.02 of the NYSE Listed Company Manual Concerning Pre-Revenue Companies That Can Qualify for Reduced Listing and Annual Fees Comments Due: Exhibit 5 Federal Register version (85 FR 35358)
34-89000
June 3, 2020
SR-CboeEDGX-2020-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Members and Clearing Members To Establish or Adjust the Risk Settings Set Forth in Interpretation and Policy .03 of Exchange Rule 11.10 on a Risk Group Identifier Basis Comments Due: Exhibit 5 Federal Register version (85 FR 35344)
34-89001
June 3, 2020
SR-CboeEDGA-2020-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Members and Clearing Members To Establish or Adjust the Risk Settings Set Forth in Interpretation and Policy .03 of Exchange Rule 11.10 on a Risk Group Identifier Basis Comments Due: Exhibit 5 Federal Register version (85 FR 35341)
34-88997
June 3, 2020
SR-CBOE-2020-014
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 a Delta-Adjusted at Close Order Instruction Comments Due: View Received Comments Federal Register version (85 FR 35351)
34-88993
June 2, 2020
SR-EMERALD-2020-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments, 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 35145)
34-88995
June 2, 2020
SR-Phlx-2020-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Further Extend the Deadline for Certain Written Supervisory-Related Reports Pursuant to Options 10, Section 7 (Supervision of Accounts) Comments Due: Exhibit 5 Federal Register version (85 FR 35149)
34-88990
June 2, 2020
SR-NYSECHX-2020-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc. Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (85 FR 35138)
34-88987
June 2, 2020
SR-NASDAQ-2020-028
Notice of Filing of Proposed Rule Change To Amend IM-5101-1 (Use of Discretionary Authority) To Deny Listing or Continued Listing or To Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 35134)
34-88992
June 2, 2020
SR-PEARL-2020-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading, and Rule 510, Minimum Price Variations and Minimum Trading Increments, To Conform the Rules 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 35142)
34-88988
June 2, 2020
SR-MIAX-2020-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading, Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments, and Exchange Rule 516, Order Types Defined, To Conform the Rules 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 35153)
34-88994
June 2, 2020
SR-ISE-2020-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Further Extend the Deadline for Certain Written Supervisory-Related Reports Pursuant to Options 10, Section 7 (Supervision of Accounts) Comments Due: Exhibit 5 Federal Register version (85 FR 35131)
34-88979
June 1, 2020
SR-NYSEAMER-2020-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (85 FR 34663)
34-88981
June 1, 2020
SR-NYSENAT-2020-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (85 FR 34690)
34-88980
June 1, 2020
SR-NYSEARCA-2020-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services Comments Due: Exhibit 5 Federal Register version (85 FR 34697)
34-88985
June 1, 2020
SR-NYSE-2020-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (85 FR 34666)
34-88986
June 1, 2020
SR-MSRB-2020-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Waive MSRB Market Activity Fees Related to Transactions With the Municipal Liquidity Facility Established by the Board of Governors of the Federal Reserve System Comments Due: Exhibit 5 Federal Register version (85 FR 34661)
34-88983
June 1, 2020
SR-CboeBZX-2020-043
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 34693)
34-88978
June 1, 2020
SR-CBOE-2020-049
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.16 and Rule 9.2 To Temporarily Extend the Filing Deadline for Certain Supervision-Related Reports Comments Due: Exhibit 5 Federal Register version (85 FR 34688)
34-88984
June 1, 2020
SR-CBOE-2020-048
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule in Connection With Migration Comments Due: View Received Comments Exhibit 5a , Exhibit 5b Federal Register version (85 FR 34670)
34-88974
May 29, 2020
SR-OCC-2020-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Deadline for Clearing Members To Provide an Actionable Identifier on Customer and Non-Customer Securities Options Trades Other Than Market Maker Trades Comments Due: Exhibit 5 , Exhibit 5 Federal Register version (85 FR 34468)
34-88972
May 29, 2020
SR-NYSECHX-2020-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Services Available to Users That Use Co-location Services in the Mahwah, New Jersey Data Center Comments Due: Exhibit 5 Federal Register version (85 FR 34472)
34-88971
May 28, 2020
SR-OCC-2020-804
Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal to Enter Into a New Credit Facility Agreement Comments Due: Federal Register version (85 FR 34257)
34-88970
May 28, 2020
SR-NYSEArca-2020-48
Notice of Filing of Proposed Rule Change To List and Trade Shares of Gabelli ETFs Under Rule 8.900-E, Managed Portfolio Shares Comments Due: View Received Comments Federal Register version (85 FR 34262)
34-88968
May 28, 2020
SR-CboeBZX-2020-042
Notice of Filing of a Proposed Rule Change To Accommodate Exchange Listing and Trading of Options-Linked Securities Comments Due: Exhibit 5 Federal Register version (85 FR 34270)
34-88956
May 27, 2020
SR-NYSEAMER-2020-39
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 33760)
34-88958
May 27, 2020
SR-NYSENAT-2020-18
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 33764)
34-88957
May 27, 2020
SR-NYSECHX-2020-15
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 33766)
34-88961
May 27, 2020
SR-NYSEArca-2020-47
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 33755)
34-88955
May 27, 2020
SR-NYSE-2020-44
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 33758)
34-88959
May 27, 2020
SR-BOX-2020-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Replace BOX Rule 7260 (Penny Pilot Program) 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 Make Other Non Substantive Changes to References to the Penny Pilot Program Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 33769)
34-88947
May 26, 2020
SR-NYSEAMER-2020-41
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 960NY 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 33249)
34-88943
May 26, 2020
SR-NYSEArca-2020-50
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.72-O 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 33255)
34-88950
May 26, 2020
SR-NYSE-2020-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To add Commentary .05 to Rule 7.35A Comments Due: Exhibit 5 Federal Register version (85 FR 33252)
34-88940
May 26, 2020
SR-GEMX-2020-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Pricing Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 33224)
34-88938
May 26, 2020
SR-BX-2020-009
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the BX Disciplinary Rules and Incorporate by Reference the Disciplinary Rules of The Nasdaq Stock Market LLC Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 33235)
34-88939
May 26, 2020
SR-ISE-2020-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Options 7 Comments Due: Exhibit 5 Federal Register version (85 FR 33231)
34-88946
May 26, 2020
SR-BOX-2020-14
Notice of Filing of Proposed Rule Change To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC Comments Due: View Received Comments Exhibit 3a , Exhibit 3b , Exhibit 3c , Exhibit 3d , Exhibit 3e , Exhibit 3f , Exhibit 3g , Exhibit 3h , Exhibit 3i , Exhibit 3j , Exhibit 3k , Exhibit 3l , Exhibit 3m , Exhibit 3n , Exhibit 5a , Exhibit 5b Federal Register version (85 FR 33454)
34-88949
May 26, 2020
SR-BOX-2020-16
Notice of Filing of Proposed Rule Change in Connection With the Proposed Commencement of Operations of Boston Security Token Exchange LLC ("BSTX") as a Facility of the Exchange Comments Due: View Received Comments Exhibit 5a , Exhibit 5b Federal Register version (85 FR 33258)
34-88948
May 26, 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, 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 33239)
34-88933
May 22, 2020
SR-NYSE-2020-47
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 32059)
34-88932
May 22, 2020
SR-NASDAQ-2020-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Amendments To Eliminate the Requirement That the Intraday Indicative Value Be Disseminated for Certain Series of Index Fund Shares and All Series of Managed Fund Shares Comments Due: Exhibit 5 Federal Register version (85 FR 32082)
34-88924
May 21, 2020
SR-NYSEArca-2020-07
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (85 FR 32062)
34-88928
May 21, 2020
SR-ICEEU-2020-007
Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Auction Terms for CDS Default Auctions and CDS Default Management Policy (formerly the CDS Default Management Framework). Comments Due: Exhibit 5 Federal Register version (85 FR 32075)
34-88923
May 21, 2020
SR-CBOE-2020-046
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Debit/Credit Price Reasonability Check Comments Due: Federal Register version (85 FR 32086)
34-88912
May 20, 2020
SR-NYSEArca-2020-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Representations Relating to the Redemption Procedures Applicable to the Sprott Physical Gold Trust and the Sprott Physical Silver Trust Comments Due: Federal Register version (85 FR 31826)
34-88917
May 20, 2020
SR-FINRA-2020-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Amend Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules During the Outbreak of the Coronavirus Disease (COVID-19) Comments Due: Federal Register version (85 FR 31832)
34-88918
May 20, 2020
4-762
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and MEMX LLC Comments Due: Federal Register version (85 FR 31838)
34-88906
May 19, 2020
SR-OCC-2020-803
Notice of Filing of Advance Notice Concerning Changes to The Options Clearing Corporation's Non-Bank Liquidity Facility Program as Part of Its Overall Liquidity Plan Comments Due: Federal Register version (85 FR 31235)
34-88905
May 19, 2020
SR-NYSENAT-2020-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.19 Comments Due: Exhibit 5 Federal Register version (85 FR 31582)
34-88903
May 19, 2020
SR-NYSECHX-2020-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.19 Comments Due: Exhibit 5 Federal Register version (85 FR 31578)
34-88904
May 19, 2020
SR-NYSEArca-2020-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.19-E Comments Due: Exhibit 5 Federal Register version (85 FR 31560)
34-88907
May 19, 2020
SR-ICEEU-2020-002
Notice Relating to the ICE Clear Europe Investment Management Procedures and Treasury and Banking Services Policy (To Be Renamed Liquidity and Investment Management Policy) Comments Due: Federal Register version (85 FR 31571)
34-88909
May 19, 2020
SR-ICEEU-2020-006
Notice Relating to Amendments to the ICE Clear Europe Auction Terms for F&O Default Auctions and F&O Default Management Policy (Formerly the F&O Default Management Framework) Comments Due: Federal Register version (85 FR 31564)
34-88902
May 19, 2020
SR-CboeBYX-2020-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process Comments Due: Exhibit 5 Federal Register version (85 FR 31556)
34-88893
May 18, 2020
SR-MIAX-2020-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 307, Position Limits, and Exchange Rule 309, Exercise Limits, To Increase the Position and Exercise Limits on Certain Exchange-Traded Funds Comments Due: Exhibit 5 Federal Register version (85 FR 31239)
34-88900
May 18, 2020
SR-CboeEDGX-2020-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process Comments Due: Exhibit 5 Federal Register version (85 FR 31253)
34-88899
May 18, 2020
SR-CboeEDGA-2020-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process Comments Due: Exhibit 5 Federal Register version (85 FR 31250)
34-88898
May 18, 2020
SR-CboeBZX-2020-040
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process Comments Due: Exhibit 5 Federal Register version (85 FR 31246)
34-88892
May 18, 2020
SR-BOX-2020-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7270 (Block Trades) To Add an Automatic Matching Feature to the Facilitation Auction Mechanism Comments Due: Exhibit 5 Federal Register version (85 FR 31265)
