34-88894
May 18, 2020
SR-BOX-2020-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-3120-2 to BOX Rule 3120 ("Position Limits") To Increase Position Limits for Options on Certain Exchange-Traded Funds ("ETFs"), and Thereby Similarly Increase Exercise Limits Under IM-3140-1 for Certain ETFs Comments Due: Exhibit 5 Federal Register version (85 FR 31267)
34-88881
May 15, 2020
SR-NYSECHX-2020-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Relief Granted to Institutional Brokers to Report Non-Tape, Clearing-Only Submissions Into the Exchange's Systems to June 30, 2020 (or Earlier) Comments Due: Exhibit 5 Federal Register version (85 FR 31014)
34-88891
May 15, 2020
SR-NYSE-2020-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Commentaries to Rules 7.35, 7.35A, 7.35B, and 7.35C Comments Due: Exhibit 5 Federal Register version (85 FR 31017)
34-88885
May 15, 2020
SR-NSCC-2020-003
Notice of Designation of Longer Period for Commission Action on 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 31007)
34-88887
May 15, 2020
SR-CboeBZX-2019-107
Notice of Filing of Amendment No. 5 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 5, To Adopt Rule 14.11(m), Tracking Fund Shares, and To List and Trade Shares of the Fidelity Blue Chip Value ETF, Fidelity Blue Chip Growth ETF, and Fidelity New Millennium ETF Comments Due: View Received Comments Federal Register version (85 FR 30990)
34-88888
May 15, 2020
SR-CboeBZX-2020-029
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the JPMorgan Large Cap Growth ETF Under BZX Rule 14.11(k), Managed Portfolio Shares Comments Due: View Received Comments Federal Register version (85 FR 31016)
34-88883
May 15, 2020
SR-CBOE-2020-045
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 31012)
34-88886
May 15, 2020
SR-CBOE-2020-047
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.24 Comments Due: Federal Register version (85 FR 31008)
34-88882
May 15, 2020
SR-BOX-2020-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility To Amend Section I.D., Qualified Contingent Cross Transactions Comments Due: Exhibit 5 Federal Register version (85 FR 31005)
34-88889
May 15, 2020
SR-BOX-2020-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility To Remove the Pricing Changes That Were in Effect While the Trading Floor Was Inoperable Comments Due: Exhibit 5 Federal Register version (85 FR 31010)
34-88869
May 14, 2020
SR-NYSEAMER-2020-35
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Price List To Offer New Credits Comments Due: Exhibit 5 Federal Register version (85 FR 30751)
34-88878
May 14, 2020
SR-NYSEAMER-2020-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.19E Comments Due: Exhibit 5 Federal Register version (85 FR 30770)
34-88873
May 14, 2020
SR-NYSEArca-2020-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule Regarding Pricing Incentives for Certain Posted Volume Comments Due: Exhibit 5 Federal Register version (85 FR 30763)
34-88874
May 14, 2020
SR-NYSE-2020-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List Comments Due: Exhibit 5 Federal Register version (85 FR 30743)
34-88875
May 14, 2020
SR-NYSE-2020-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Section 312.03T of the NYSE Listed Company Manual To Provide a Temporary Exception Through June 30, 2020 From the Application of Certain Shareholder Approval Requirements Set Forth in Sections 312.03 and 303A.08 of the Manual Comments Due: Exhibit 5 Federal Register version (85 FR 30755)
34-88868
May 14, 2020
SR-NASDAQ-2020-024
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Implementation Date for a Recent Rule Change Modifying the Delisting Process for Certain Securities With a Bid Price at or Below $0.10 or That Have Had Reverse Stock Splits With a Cumulative Ratio of 250 or More to One Over the Prior Two-Year Period Comments Due: View Received Comments Federal Register version (85 FR 30775)
34-88872
May 14, 2020
SR-MIAX-2020-11
Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders, To Adopt New Interpretation and Policy .08, Related Futures Cross ("RFC") Order Type Comments Due: Exhibit 5 Federal Register version (85 FR 30779)
34-88870
May 14, 2020
SR-FINRA-2020-013
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) to FINRA's Minor Rule Violation Plan ("MRVP") Comments Due: Exhibit 5 Federal Register version (85 FR 30768)
34-88876
May 14, 2020
SR-CboeEDGX-2020-020
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 30777)
34-88877
May 14, 2020
SR-CBOE-2020-043
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Silexx Trading Platform Fees Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 30761)
34-88863
May 13, 2020
SR-NYSE-2019-54
Notice of Withdrawal of a Proposed Rule Change To Permit the Exchange To List and Trade Exchange Traded Products Comments Due: Federal Register version (85 FR 29993)
34-88858
May 12, 2020
SR-Phlx-2020-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Phlx's Pricing Schedule at Options 7, Section 4 Comments Due: Exhibit 5 Federal Register version (85 FR 29770)
34-88857
May 12, 2020
SR-BX-2020-008
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits and Fees, at Equity 7, Section 118(a) Comments Due: Exhibit 5 Federal Register version (85 FR 29766)
34-88859
May 12, 2020
SR-PEARL-2020-03
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 Establish Rules Governing the Trading of Equity Securities View Received Comments Federal Register version (85 FR 29759)
34-88852
May 11, 2020
SR-NASDAQ-2020-022
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Internal Cross-References in General 5, Discipline Comments Due: Exhibit 5 Federal Register version (85 FR 29499)
34-88850
May 11, 2020
SR-MIAX-2020-09
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 29497)
34-88840
May 8, 2020
SR-NYSEAMER-2020-37
Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE American Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 28992)
34-88838
May 8, 2020
SR-NASDAQ-2020-018
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate a Transitional Rule That Has Expired Related to Nasdaq Global and Global Select Markets Entry Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 29013)
34-88839
May 8, 2020
SR-FINRA-2020-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 9231 To Provide for the Compensation of All Panelists That Serve in Connection With a FINRA Disciplinary Hearing Comments Due: Federal Register version (85 FR 29005)
34-88843
May 8, 2020
SR-CboeEDGX-2020-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Adopting Rule 14.12 Governing the Trading, Pursuant to Unlisted Trading Privileges, of Exchange-Traded Fund Shares Comments Due: Exhibit 5 Federal Register version (85 FR 28996)
34-88844
May 8, 2020
SR-CboeEDGA-2020-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Adopting Rule 14.12 Governing the Trading, Pursuant to Unlisted Trading Privileges, of Exchange-Traded Fund Shares Comments Due: Exhibit 5 Federal Register version (85 FR 29000)
34-88845
May 8, 2020
SR-CboeBYX-2020-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Adopting Rule 14.12 Governing the Trading, Pursuant to Unlisted Trading Privileges, of Exchange-Traded Fund Shares Comments Due: Exhibit 5 Federal Register version (85 FR 29009)
34-88834
May 7, 2020
SR-NYSEAMER-2020-34
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 28686)
34-88833
May 7, 2020
SR-NYSEARCA-2020-39
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 28676)
34-88836
May 7, 2020
SR-CBOE-2020-044
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 28669)
34-88822
May 6, 2020
SR-NYSEArca-2020-37
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Investments of the PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund Comments Due: View Received Comments Federal Register version (85 FR 28061)
34-88829
May 6, 2020
SR-NYSE-2020-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .02 to Rule 7.35B Comments Due: Exhibit 5 Federal Register version (85 FR 28115)
34-88828
May 6, 2020
SR-MSRB-2020-02
Notice of Filing of a Proposed Rule Change To Align Certain MSRB Rules to Securities Exchange Act Rule 15l-1, Regulation Best Interest Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 28082)
34-88819
May 6, 2020
SR-IEX-2020-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the IEX Fee Schedule, Pursuant to IEX Rule 15.110(a) and (c), To Clarify the Circumstances in Which IEX Offers Certain Physical Port Connections Comments Due: Exhibit 5 Federal Register version (85 FR 28059)
34-88818
May 6, 2020
SR-CboeEDGX-2020-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Definition of Bulk Messages in Rule 16.1 and Amend Rule 21.1(j)(3) Comments Due: Exhibit 5 Federal Register version (85 FR 28109)
34-88817
May 6, 2020
SR-CboeBZX-2020-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Definition of Bulk Messages in Rule 16.1 and Amend Rule 21.1(l)(3) Comments Due: Exhibit 5 Federal Register version (85 FR 28112)
34-88820
May 6, 2020
SR-CboeBYX-2020-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.13 Comments Due: Exhibit 5 Federal Register version (85 FR 28106)
34-88816
May 6, 2020
SR-CBOE-2020-041
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Definition of Bulk Messages in Rule 1.1 and Amend Rule 5.5(c)(3) Comments Due: Exhibit 5 Federal Register version (85 FR 28131)
34-88812
May 5, 2020
SR-NYSEArca-2020-38
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 27787)
34-88813
May 5, 2020
SR-NASDAQ-2020-023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Operative Date of SR-NASDAQ-2020-012 Comments Due: View Received Comments Federal Register version (85 FR 27789)
34-88814
May 5, 2020
SR-C2-2020-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend its Definition of Bulk Messages in Rule 1.1 and Amend Rule 6.8(c)(3) Comments Due: Exhibit 5 Federal Register version (85 FR 27779)
34-88810
May 5, 2020
SR-BOX-2020-09
Notice of Filing of Proposed Rule Change To Adopt New Rule Regarding Transfer of Positions Comments Due: Exhibit 5 Federal Register version (85 FR 27782)
34-88805
May 4, 2020
SR-NASDAQ-2020-025
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Listed Companies With a Temporary Limited Exception From Certain Shareholder Approval Requirements in Nasdaq Rules 5635(c) and (d) Comments Due: Exhibit 5 Federal Register version (85 FR 27464)
34-88792
May 1, 2020
SR-OCC-2020-802
Notice of Filing of Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management Comments Due: Federal Register version (85 FR 27470)
34-88795
May 1, 2020
SR-CboeBZX-2020-036
Notice of Filing of a Proposed Rule Change To Amend Rule 14.11, Other Securities Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 27254)
34-88783
April 30, 2020
SR-CboeEDGX-2020-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.10 Comments Due: Exhibit 5 Federal Register version (85 FR 26991)
34-88787
April 30, 2020
SR-CboeEDGX-2020-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options Comments Due: Exhibit 5 Federal Register version (85 FR 26995)
34-88778
April 30, 2020
SR-CboeBZX-2020-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Securities Listed on the Exchange, Which Are Set Forth in BZX Rule 14.13 (Company Listing Fees) Comments Due: Exhibit 5 Federal Register version (85 FR 27002)
34-88788
April 30, 2020
SR-CboeBZX-2020-038
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options Comments Due: Exhibit 5 Federal Register version (85 FR 27008)
34-88782
April 30, 2020
SR-CBOE-2020-039
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options ("FLEX Options") PM Exercise Settlement Pilot Program for FLEX Index Options Comments Due: Federal Register version (85 FR 27004)
34-88786
April 30, 2020
SR-CBOE-2020-042
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.9 To Permit In-Kind Transfers of Positions Off of the Exchange in Connection With Unit Investment Trusts ("UITs") Comments Due: Federal Register version (85 FR 26998)
34-88765
April 29, 2020
SR-NYSE-2020-03
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add New Exchange Rule 46B To Permit the Appointment of Regulatory Trading Officials and Amend Exchange Rule 47 To Permit Regulatory Trading Officials To Review Whether a Bid or Offer Is Eligible for Inclusion in the Closing Auction Comments Due: Federal Register version (85 FR 26771)
34-88767
April 29, 2020
SR-MIAX-2020-08
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Options That Overlie Five Advanced Fundamentals LLC Commercial Real Estate Indexes Comments Due: Exhibit 5 Federal Register version (85 FR 26743)
34-88766
April 29, 2020
SR-FICC-2020-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Government Securities Division Rulebook, Mortgage-Backed Securities Division Clearing Rules, and Mortgage-Backed Securities Division EPN Rules Comments Due: Exhibit 5 Federal Register version (85 FR 26747)
34-88768
April 29, 2020
SR-CBOE-2020-015
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Increase Position Limits for Options on Certain Exchange-Traded Funds and Indexes Comments Due: View Received Comments Federal Register version (85 FR 26736)
34-88761
April 28, 2020
SR-NYSEArca-2020-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Modify the Definition of "UTP Derivative Securities Product" and Rule 5.1-E(a) To Incorporate the Modified Definition of "UTP Exchange Traded Product" Comments Due: Exhibit 5 Federal Register version (85 FR 26508)
34-88764
April 28, 2020
SR-NYSEARCA-2020-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Charges Comments Due: Exhibit 5 Federal Register version (85 FR 26510)
34-88760
April 28, 2020
SR-FINRA-2020-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Allow the Dissemination of IAPD Information Through BrokerCheck Comments Due: View Received Comments Federal Register version (85 FR 26502)
34-88756
April 27, 2020
SR-NYSEAMER-2020-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1E To Modify the Definition of "UTP Exchange Traded Product" and Rule 5.1E To Incorporate the Modified Definition of "UTP Exchange Traded Product" Comments Due: Exhibit 5 Federal Register version (85 FR 25497)
34-88757
April 27, 2020
SR-NYSEAMER-2020-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 928NY Relating to the Risk Limitation Mechanism Comments Due: Exhibit 5 Federal Register version (85 FR 25482)
34-88753
April 27, 2020
SR-Phlx-2020-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Phlx Rules Related to Routing, Remote Specialist, and Assistant Lead Market Maker Comments Due: Exhibit 5 Federal Register version (85 FR 25500)
34-88755
April 27, 2020
SR-NYSEArca-2020-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40-O Relating to the Risk Limitation Mechanism Comments Due: Exhibit 5 Federal Register version (85 FR 25493)
34-88754
April 27, 2020
SR-NYSE-2020-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Modify the Definition of "UTP Exchange Traded Product" and Rule 5.1 To Incorporate the Modified Definition of "UTP Exchange Traded Product" Comments Due: Exhibit 5 Federal Register version (85 FR 25487)
34-88752
April 27, 2020
SR-CboeBZX-2020-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Listing Rule of the Hartford Core Bond ETF Comments Due: Federal Register version (85 FR 25490)
34-88740
April 24, 2020
SR-NYSEAMER-2020-29
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Modify Rule 967NY Regarding the Treatment of Orders Subject to Trade Collar Protection View Received Comments Exhibit 5 Federal Register version (85 FR 24057)
34-88737
April 24, 2020
SR-NYSEArca-2020-31
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Modify Rule 6.60-O Regarding the Treatment of Orders Subject to Trade Collar Protection Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 24069)
34-88738
April 24, 2020
SR-NYSEArca-2020-07
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 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 24050)
34-88746
April 24, 2020
SR-BX-2020-007
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA Under the Exchange's Authority and Supervision Comments Due: Federal Register version (85 FR 24064)
34-88741
April 24, 2020
SR-CBOE-2020-040
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a New Version of the Silexx Platform Comments Due: Exhibit 5 Federal Register version (85 FR 24045)
34-88734
April 23, 2020
SR-NYSE-2020-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.02 of the NYSE Listed Company Manual To Waive Initial Listing Fees and First Partial Year Annual Fees for Certain Companies Listing Upon Closing of an Acquisition of a Special Purpose Acquisition Company Comments Due: Exhibit 5 Federal Register version (85 FR 23872)
34-88736
April 23, 2020
SR-NYSE-2020-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Application of the Proxy Delivery Requirements of NYSE Rule 451(b)(1) Through and Including May 31, 2020 Comments Due: View Received Comments Federal Register version (85 FR 23875)
34-88728
April 22, 2020
SR-Phlx-2020-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rules at Options 3, Section 8, Titled Options Opening Process Comments Due: Exhibit 5 Federal Register version (85 FR 23564)
34-88725
April 22, 2020
SR-NYSE-2020-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .01 to Rule 7.35 Comments Due: Exhibit 5 Federal Register version (85 FR 23583)
34-88730
April 22, 2020
SR-GEMX-2020-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX Rules at Options 3, Section 8, Titled Options Opening Process Comments Due: Exhibit 5 Federal Register version (85 FR 23545)
34-88729
April 22, 2020
SR-ISE-2020-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rules at Options 3, Section 8, Titled Options Opening Process Comments Due: Exhibit 5 Federal Register version (85 FR 23573)
34-88727
April 22, 2020
SR-CboeEDGA-2020-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.10 Comments Due: Exhibit 5 Federal Register version (85 FR 23560)
34-88726
April 22, 2020
SR-CboeBZX-2020-003
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 List and Trade Shares of the "1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts Comments Due: View Received Comments Federal Register version (85 FR 23581)
34-88722
April 22, 2020
SR-CBOE-2020-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Its Optional Daily Risk Limits Pursuant to Rule 5.34 Comments Due: Exhibit 5 Federal Register version (85 FR 23557)
34-88721
April 22, 2020
SR-C2-2020-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Remove Its Optional Daily Risk Limits Pursuant to Rule 6.14 Comments Due: Exhibit 5 Federal Register version (85 FR 23571)
34-88708
April 21, 2020
SR-Phlx-2020-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Equity 7, Section 3 Comments Due: Exhibit 5 Federal Register version (85 FR 23404)
34-88714
April 21, 2020
SR-NYSECHX-2020-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Extend the Time Within Which Institutional Brokers Are Required To Report Non-Tape, Clearing-Only Submissions Into the Exchange's Systems Comments Due: Exhibit 5 Federal Register version (85 FR 23384)
34-88709
April 21, 2020
SR-NYSEARCA-2020-33
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 23418)
34-88705
April 21, 2020
SR-NYSE-2020-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .04 to Rule 7.35A To Provide DMMs, for a Temporary Period, With Limited Remote Access to Floor-Based Systems Comments Due: Exhibit 5 Federal Register version (85 FR 23413)
34-88717
April 21, 2020
SR-NYSE-2020-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide a Longer Period for Listed Companies To Regain Compliance With Its $50 Million Market Capitalization/Stockholders' Equity and $1.00 Price Continued Listing Requirements by Tolling the Compliance Periods Through and Including June 30, 2020 Comments Due: Federal Register version (85 FR 23389)
34-88706
April 21, 2020
SR-CboeEDGX-2020-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.4(a) To Add LTSE as a Source for Market Data for Certain Purposes Comments Due: Exhibit 5 Federal Register version (85 FR 23396)
34-88707
April 21, 2020
SR-CboeEDGA-2020-011
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.4(a) To Add LTSE as a Source for Market Data for Certain Purposes Comments Due: Exhibit 5 Federal Register version (85 FR 23411)
34-88711
April 21, 2020
SR-CboeBZX-2020-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.26(a) To Add LTSE as a Source for Market Data for Certain Purposes Comments Due: Exhibit 5 Federal Register version (85 FR 23417)
34-88715
April 21, 2020
SR-CboeBZX-2020-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the Agility Shares Managed Risk Equity ETF, a Series of the Northern Lights Fund Trust, Under Rule 14.11(i) Comments Due: Federal Register version (85 FR 23408)
34-88710
April 21, 2020
SR-CboeBYX-2020-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.26(a) To Add LTSE as a Source for Market Data for Certain Purposes Comments Due: Exhibit 5 Federal Register version (85 FR 23392)
34-88690
April 20, 2020
SR-OCC-2020-003
Notice of Filing of Proposed Rule Change Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management Comments Due: Exhibit 5a , Exhibit 5a Federal Register version (85 FR 23095)
34-88692
April 20, 2020
SR-NYSENAT-2020-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Include Managed Portfolio Shares in the Definition of "UTP Exchange Traded Product" Comments Due: Exhibit 5 Federal Register version (85 FR 23085)
34-88693
April 20, 2020
SR-NYSECHX-2020-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Include Managed Portfolio Shares in the Definition of "UTP Exchange Traded Product" Comments Due: Exhibit 5 Federal Register version (85 FR 23119)
34-88694
April 20, 2020
SR-MSRB-2020-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Dealers and Municipal Advisors Additional Time To Comply With Certain Obligations for a Temporary Period of Time and Temporarily Suspend Late Fees on Payments Owed to the MSRB Comments Due: Exhibit 5 Federal Register version (85 FR 23088)
34-88691
April 20, 2020
SR-MIAX-2020-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of an Amendment to Rule 518, Complex Orders, To Permit Legging Through the Simple Market Comments Due: Federal Register version (85 FR 23092)
34-88682
April 17, 2020
SR-NYSEAMER-2020-31
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 22772)
