34-88540
April 1, 2020
SR-NYSEArca-2020-08
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services File Nos.: View Received Comments Federal Register version (85 FR 19562)
34-88540
April 1, 2020
SR-NYSENAT-2020-08
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 19562)
34-88537
April 1, 2020
SR-ICC-2020-003
Notice of Filing of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts Comments Due: Exhibit 5 Federal Register version (85 FR 19551)
34-88523
March 31, 2020
SR-NYSEAMER-2020-23
Notice of Filing and Immediate Effectiveness of Proposed Change for an Extension of the Temporary Waiver of the Co-Location "Hot Hands" Fee Comments Due: Exhibit 5 Federal Register version (85 FR 19179)
34-88519
March 31, 2020
SR-Phlx-2020-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Phlx Series 8000 and 9000 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 19203)
34-88525
March 31, 2020
SR-Phlx-2020-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive Certain Trading Floor Fees as Well as Adopt a Trading Floor Credit Comments Due: Exhibit 5 Federal Register version (85 FR 19185)
34-88527
March 31, 2020
SR-Phlx-2020-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Extend Certain Filing Requirements Comments Due: Exhibit 5 Federal Register version (85 FR 19190)
34-88521
March 31, 2020
SR-NYSENAT-2020-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for an Extension of the Temporary Waiver of the Co-location "Hot Hands" Fee Comments Due: Exhibit 5 Federal Register version (85 FR 19194)
34-88522
March 31, 2020
SR-NYSECHX-2020-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for an Extension of the Temporary Waiver of the Co-location "Hot Hands" Fee Comments Due: Exhibit 5 Federal Register version (85 FR 19191)
34-88520
March 31, 2020
SR-NYSEARCA-2020-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for an Extension of the Temporary Waiver of the Co-Location "Hot Hands" Fee Comments Due: Exhibit 5 Federal Register version (85 FR 19208)
34-88518
March 31, 2020
SR-NYSE-2020-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for an Extension of the Temporary Waiver of the Co-Location "Hot Hands" Fee Comments Due: Exhibit 5 Federal Register version (85 FR 19187)
34-88524
March 31, 2020
SR-ISE-2020-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Extend the Filing Requirements for Certain Written Reports, Currently Due April 1, 2020 Pursuant to Options 10, Section 7, to June 1, 2020 Comments Due: Exhibit 5 Federal Register version (85 FR 19198)
34-88526
March 31, 2020
SR-CBOE-2020-024
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 19200)
34-88528
March 31, 2020
SR-CBOE-2020-029
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 Requirements for Certain Supervision-Related Reports, Currently Due April 1, 2020 to June 1, 2020 Comments Due: Exhibit 5 Federal Register version (85 FR 19196)
34-88530
March 31, 2020
SR-CBOE-2020-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.24 Comments Due: Exhibit 5 Federal Register version (85 FR 19182)
34-88511
March 30, 2020
SR-OCC-2020-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update The Options Clearing Corporation's Operational Loss Fee in OCC's Schedule of Fees Comments Due: Exhibit 5 , Exhibit 5 Federal Register version (85 FR 19040)
34-88514
March 30, 2020
SR-NSCC-2020-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Investment Policy Comments Due: Exhibit 5 Federal Register version (85 FR 19037)
34-88516
March 30, 2020
SR-NASDAQ-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 Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA Under the Exchanges Authority and Supervision Comments Due: View Received Comments Federal Register version (85 FR 19042)
34-88515
March 30, 2020
SR-LTSE-2020-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pre-Market Session and Regular Market Session Opening Process for Non-LTSE-Primary-Listed Securities Comments Due: Exhibit 5 Federal Register version (85 FR 19033)
34-88512
March 30, 2020
SR-FICC-2020-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Investment Policy Comments Due: Exhibit 5 Federal Register version (85 FR 19044)
34-88513
March 30, 2020
SR-DTC-2020-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Investment Policy Comments Due: Exhibit 5 Federal Register version (85 FR 19047)
34-88503
March 27, 2020
SR-Phlx-2020-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Phlx Rule 3312 Comments Due: Exhibit 5 Federal Register version (85 FR 18606)
34-88505
March 27, 2020
SR-BX-2020-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to BX Rule 11890 Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 18626)
34-88504
March 27, 2020
SR-NASDAQ-2020-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Nasdaq Rule 11890 by Six Months Comments Due: Exhibit 5 Federal Register version (85 FR 18598)
34-88495
March 27, 2020
SR-FINRA-2020-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) Comments Due: Exhibit 5 Federal Register version (85 FR 18608)
34-88500
March 27, 2020
SR-CboeEDGX-2020-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions, to the Close of Business on October 20, 2020 Comments Due: Exhibit 5 Federal Register version (85 FR 18628)
34-88499
March 27, 2020
SR-CboeEDGA-2020-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGA Rule 11.15, Clearly Erroneous Executions, to the Close of Business on October 20, 2020 Comments Due: Exhibit 5 Federal Register version (85 FR 18604)
34-88497
March 27, 2020
SR-CboeBZX-2020-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on October 20, 2020 Comments Due: Exhibit 5 Federal Register version (85 FR 18602)
34-88496
March 27, 2020
SR-CboeBYX-2020-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on October 20, 2020 Comments Due: Exhibit 5 Federal Register version (85 FR 18600)
34-88502
March 27, 2020
SR-CBOE-2020-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.6 in Connection With Updates Permitted Through the Clearing Editor Comments Due: Exhibit 5 Federal Register version (85 FR 18610)
34-88488
March 26, 2020
SR-NYSE-2020-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.35A To Allow the Exchange, for a Temporary Period, To Publish Trader Updates With Auction Imbalance Information for IPO Auctions Comments Due: Exhibit 5 Federal Register version (85 FR 18286)
34-88483
March 26, 2020
SR-MIAX-2020-02
Notice of Withdrawal of a Proposed Rule Change To Amend MIAX Chapter XVII, Consolidated Audit Trail Compliance Rule Comments Due: Federal Register version (85 FR 18304)
34-88484
March 26, 2020
SR-ISE-2020-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 8, Opening Comments Due: Exhibit 5 Federal Register version (85 FR 18297)
34-88481
March 26, 2020
SR-CboeBZX-2019-107
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 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 18304)
34-88487
March 26, 2020
SR-CboeBZX-2020-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule To Institute a Fee Code Applicable to the Cboe Market Close Comments Due: Exhibit 5 Federal Register version (85 FR 18290)
34-88486
March 26, 2020
SR-CBOE-2020-022
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 18317)
34-88490
March 26, 2020
SR-CBOE-2020-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.24 Comments Due: Exhibit 5 Federal Register version (85 FR 18318)
34-88473
March 25, 2020
SR-Phlx-92020-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 8, Openings in Options Comments Due: Exhibit 5 Federal Register version (85 FR 17932)
34-88469
March 25, 2020
SR-NSCC-2020-801
Notice of No Objection to Advance Notice to Enhance the Calculation of the Family-Issued Securities Charge Comments Due: Federal Register version (85 FR 17929)
34-88474
March 25, 2020
SR-NSCC-2020-003
Notice of Filing of 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 Exhibit 5 Federal Register version (85 FR 17910)
34-88472
March 25, 2020
SR-GEMX-2020-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 8, Opening Comments Due: Exhibit 5 Federal Register version (85 FR 17921)
34-88471
March 25, 2020
SR-MRX-2020-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 8, Opening Comments Due: Exhibit 5 Federal Register version (85 FR 17934)
34-88476
March 25, 2020
SR-PEARL-2020-03
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt Rules Governing the Trading of Equity Securities View Received Comments Federal Register version (85 FR 17929)
34-88467
March 25, 2020
SR-DTC-2020-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Operational Arrangements With Respect to Notices Submitted to DTC for Posting to LENS Comments Due: Exhibit 5 Federal Register version (85 FR 17923)
34-88468
March 25, 2020
SR-CboeBZX-2020-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Trading Hours Applicable to Managed Portfolio Shares To Include all Trading Sessions Comments Due: Exhibit 5 Federal Register version (85 FR 17908)
34-88475
March 25, 2020
SR-CBOE-2020-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the Silexx Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 17925)
34-88460
March 23, 2020
SR-Phlx-2020-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 4A, Section 12, Terms of Option Contracts Comments Due: Exhibit 5 Federal Register version (85 FR 17146)
34-88457
March 23, 2020
SR-GEMX-2020-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Removal of Obsolete Listing Rules Comments Due: Exhibit 5 Federal Register version (85 FR 17134)
34-88458
March 23, 2020
SR-MRX-2020-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Removal of Obsolete Listing Rules Comments Due: Exhibit 5 Federal Register version (85 FR 17372)
34-88455
March 23, 2020
SR-MIAX-2020-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions and Exchange Rule 503, Openings on the Exchange Comments Due: Exhibit 5 Federal Register version (85 FR 17105)
34-88456
March 23, 2020
SR-ISE-2020-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Removal of Obsolete Listing Rules Comments Due: Exhibit 5 Federal Register version (85 FR 17126)
34-88459
March 23, 2020
SR-CBOE-2020-010
Notice of Withdrawal of Proposed Rule Change To Adopt Flexible Exchange Options ("FLEX Options") With a Contract Multiplier of One ("FLEX Micro Options") Comments Due: Federal Register version (85 FR 17123)
34-88436
March 20, 2020
SR-NYSEArca-2020-21
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 17112)
34-88441
March 20, 2020
SR-NYSE-2020-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Suspend Until June 30, 2020 the Application of Its Continued Listing Requirement With Respect to Global Market Capitalization Comments Due: Federal Register version (85 FR 17136)
34-88444
March 20, 2020
SR-NYSE-2020-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7.35A, 7.35B, and 7.35C for a Temporary Period Comments Due: Exhibit 5 Federal Register version (85 FR 17141)
34-88435
March 20, 2020
SR-MRX-2020-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Complex Orders Comments Due: Exhibit 5 Federal Register version (85 FR 17152)
34-88439
March 20, 2020
SR-LTSE-2020-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trading of Exchange Traded Products on an Unlisted Trading Privileges Basis Comments Due: Exhibit 5 Federal Register version (85 FR 17148)
34-88434
March 20, 2020
SR-ISE-2020-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Complex Orders Comments Due: Exhibit 5 Federal Register version (85 FR 17119)
34-88443
March 20, 2020
SR-ISE-2020-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchanges Pricing Schedule at Options 7, Section 4, Titled Complex Order Fees and Rebates Comments Due: Exhibit 5 Federal Register version (85 FR 17123)
34-88433
March 20, 2020
SR-ICEEU-2020-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Finance Procedures (the "Finance Procedures") Comments Due: Exhibit 5 Federal Register version (85 FR 17139)
34-88445
March 20, 2020
SR-CboeEDGX-2020-005
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, 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"), To Be Consistent With Certain Proposed Amendments To and Exemptions From the CAT NMS Plan as Well as to Facilitate the Retirement of Certain Existing Regulatory Systems Comments Due: Federal Register version (85 FR 17140)
34-88446
March 20, 2020
SR-CboeEDGA-2020-003
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, 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"), To Be Consistent With Certain Proposed Amendments To and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems Comments Due: Federal Register version (85 FR 17151)
34-88440
March 20, 2020
SR-CboeBZX-2020-011
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, 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"), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems Comments Due: Federal Register version (85 FR 17141)
34-88438
March 20, 2020
SR-CboeBYX-2020-005
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, 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"), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems Comments Due: Federal Register version (85 FR 17138)
34-88437
March 20, 2020
SR-CBOE-2020-004
Notice of Designation of Longer Period for Commission Action on 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"), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems Comments Due: Federal Register version (85 FR 17129)
34-88447
March 20, 2020
SR-CBOE-2020-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.24 Comments Due: Federal Register version (85 FR 17129)
34-88431
March 19, 2020
SR-Phlx-2020-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 3101(b) Comments Due: Exhibit 5 Federal Register version (85 FR 16968)
34-88428
March 19, 2020
SR-BX-2020-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 4121(b) Comments Due: Exhibit 5 Federal Register version (85 FR 16965)
34-88427
March 19, 2020
SR-LTSE-2020-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 11.280 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt Comments Due: Exhibit 5 Federal Register version (85 FR 16985)
34-88422
March 19, 2020
SR-FINRA-2020-007
Notice of Filing of a Proposed Rule Change to FINRA's Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest Comments Due: View Received Comments Federal Register version (85 FR 16974)
34-88425
March 19, 2020
SR-FINRA-2020-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks) Comments Due: Exhibit 5 Federal Register version (85 FR 16971)
34-88424
March 19, 2020
SR-CBOE-2019-035
Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Regarding Off-Floor Position Transfers Comments Due: View Received Comments Federal Register version (85 FR 16981)
34-88426
March 19, 2020
SR-CBOE-2020-021
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 16978)
34-88407
March 18, 2020
SR-NYSEAMER-2020-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.12E Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt Comments Due: Exhibit 5 Federal Register version (85 FR 16690)
34-88411
March 18, 2020
SR-NYSENAT-2020-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.12 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt Comments Due: Exhibit 5 Federal Register version (85 FR 16710)
34-88410
March 18, 2020
SR-NYSECHX-2020-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.12 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt Comments Due: Exhibit 5 Federal Register version (85 FR 16693)
34-88414
March 18, 2020
SR-NYSEARCA-2020-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.12-E Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt Comments Due: Exhibit 5 Federal Register version (85 FR 16707)
34-88408
March 18, 2020
SR-NYSE-2020-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.08 of the NYSE Listed Company Manual To Waive Initial Listing Fees and First Partial Year of Annual Listing Fees for NYSE Bonds Securities That List in Conjunction With Voluntary Delisting From a Regulated Foreign Exchange Comments Due: Exhibit 5 Federal Register version (85 FR 16705)
34-88413
March 18, 2020
SR-NYSE-2020-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.35C To Provide Temporarily, Until May 15, 2020, the Exchange With Discretion To Facilitate a Trading Halt Auction Following a Market-Wide Circuit Breaker Halt if a Security Has Not Reopened by 3:30 p.m. Eastern Time Comments Due: Exhibit 5 Federal Register version (85 FR 16713)
34-88421
March 18, 2020
SR-IEX-2020-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IEX Rule 11.280 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt Comments Due: Exhibit 5 Federal Register version (85 FR 16720)
34-88420
March 18, 2020
SR-CboeEDGX-2020-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.16(b)(2) Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt and Make Corresponding Changes to Rule 11.7(e) Comments Due: Exhibit 5 Federal Register version (85 FR 16696)
34-88419
March 18, 2020
SR-CboeEDGA-2020-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.16(b)(2) Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt and Make Corresponding Changes to Rule 11.7(e) Comments Due: Exhibit 5 Federal Register version (85 FR 16716)
34-88417
March 18, 2020
SR-CboeBZX-2020-025
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.18(b)(2) Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt and Make Corresponding Changes to Rules 11.23(d) and 11.24(e) Comments Due: Exhibit 5 Federal Register version (85 FR 16702)
34-88416
March 18, 2020
SR-CboeBYX-2020-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.18(b)(2) Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt and Make Corresponding Changes to Rule 11.23(e) Comments Due: Exhibit 5 Federal Register version (85 FR 16699)
34-88401
March 17, 2020
SR-NYSEAMER-2020-17
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Price List Comments Due: Exhibit 5 Federal Register version (85 FR 16430)
34-88403
March 17, 2020
SR-NYSEAMER-2020-19
Notice of Filing and Immediate Effectiveness of Proposed Change of a Temporary Waiver of the Co-Location Hot Hands Fee Comments Due: Exhibit 5 Federal Register version (85 FR 16400)
34-88405
March 17, 2020
SR-NYSEAMER-2020-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 16402)
34-88399
March 17, 2020
SR-NYSENAT-2020-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change of a Temporary Waiver of the Co-Location Hot Hands Fee Comments Due: Exhibit 5 Federal Register version (85 FR 16428)
34-88400
March 17, 2020
SR-NYSECHX-2020-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change of a Temporary Waiver of the Co-Location Hot Hands Fee Comments Due: Exhibit 5 Federal Register version (85 FR 16434)
34-88398
March 17, 2020
SR-NYSEARCA-2020-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change of a Temporary Waiver of the Co-Location Hot Hands Fee Comments Due: Exhibit 5 Federal Register version (85 FR 16398)
34-88404
March 17, 2020
SR-NYSEArca-2020-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of Shares of the First Trust TCW Securitized Plus ETF Under NYSE Arca Rule 8.600-E Comments Due: Federal Register version (85 FR 16439)
34-88402
March 17, 2020
SR-NYSE-2020-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.12 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt Comments Due: Exhibit 5 Federal Register version (85 FR 16436)
34-88397
March 17, 2020
SR-NYSE-2020-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change of a Temporary Waiver of the Co-Location Hot Hands Fee Comments Due: Exhibit 5 Federal Register version (85 FR 16406)
34-88406
March 17, 2020
4-631
Notice of Filing of the Twentieth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. Comments Due: View Received Comments Federal Register version (85 FR 16408)
34-88391
March 16, 2020
SR-NYSEAMER-2020-18
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 16172)
34-88390
March 16, 2020
SR-Phlx-2020-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amendments to Complex Orders Comments Due: Exhibit 5 Federal Register version (85 FR 16157)
34-88389
March 16, 2020
SR-NASDAQ-2019-089
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 5815 To Preclude Stay During Hearing Panel Review of Staff Delisting Determinations in Certain Circumstances Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (85 FR 16163)
34-88394
March 16, 2020
SR-LTSE-2020-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fingerprint-Based Background Checks Comments Due: Federal Register version (85 FR 16170)
34-88392
March 16, 2020
SR-CboeBZX-2020-023
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 16160)
34-88383
March 13, 2020
SR-NASDAQ-2020-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4121 (Trading Halts Due to Extraordinary Market Volatility) Comments Due: Exhibit 5 Federal Register version (85 FR 15819)
