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)
34-88379
March 13, 2020
SR-ICC-2020-002
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the ICC Risk Management Model Description, ICC Stress Testing Framework, ICC Liquidity Risk Management Framework, ICC Back-Testing Framework, and ICC Risk Parameter Setting and Review Policy Comments Due: Federal Register version (85 FR 15829)
34-88382
March 13, 2020
SR-FICC-2020-801
Notice of No Objection to Advance Notice to Amend the Mortgage-Backed Securities Division Stress Testing Methodology Comments Due: Federal Register version (85 FR 15830)
34-88380
March 13, 2020
SR-DTC-2020-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Fee Guide To Add Fees Relating to the Provision of Status Information for Institutional Transactions to a Matching Utility Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (85 FR 15837)
34-88386
March 13, 2020
SR-CBOE-2020-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.24 Comments Due: Federal Register version (85 FR 15823)
34-88363
March 12, 2020
SR-NYSEAMER-2020-12
Notice of Filing of Proposed Rule Change Amending Rule 7.31E (Orders and Modifiers) Relating to How Orders are Repriced and Make Related Changes to Rules 7.35E, 7.36E, and 7.38E Exhibit 5 Federal Register version (85 FR 15544)
34-88374
March 12, 2020
SR-Phlx-2020-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Phlx Rules To Remove References to Mini Options Comments Due: Exhibit 5 Federal Register version (85 FR 15522)
34-88368
March 12, 2020
SR-NYSENAT-2020-09
Notice of Filing of Proposed Rule Change Amending Rule 7.31 (Orders and Modifiers) Relating to How Orders Are Repriced and Make Related Changes to Rules 7.36 and 7.38 Comments Due: Exhibit 5 Federal Register version (85 FR 15510)
34-88367
March 12, 2020
SR-NYSECHX-2020-06
Notice of Filing of Proposed Rule Change Amending Rule 7.31 (Orders and Modifiers) Relating to How Orders Are Repriced and Make Related Changes to Rules 7.36 and 7.38 Comments Due: Exhibit 5 Federal Register version (85 FR 15551)
34-88364
March 12, 2020
SR-NYSEArca-2020-07
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Listing and Trading of 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 15550)
34-88369
March 12, 2020
SR-NYSEArca-2020-17
Notice of Filing of Proposed Rule Change Amending Rule 7.31-E (Orders and Modifiers) Relating to How Orders Are Repriced and Make Related Changes to Rules 7.35-E, 7.36-E, and 7.38-E Exhibit 5 Federal Register version (85 FR 15515)
34-88362
March 12, 2020
SR-NYSE-2020-13
Notice of Filing of Proposed Rule Change Amending Rule 7.31 (Orders and Modifiers) Relating to How Orders are Repriced and Make Related Changes to Rules 7.35, 7.36, and 7.38 Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 15538)
34-88373
March 12, 2020
SR-NYSE-2020-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Transition Period for Member Organizations To Transition to the Utilization of Ports That Connect to the Exchange Using Pillar Technology Comments Due: Exhibit 5 Federal Register version (85 FR 15533)
34-88376
March 12, 2020
SR-NYSE-2020-17
Notice of Filing of Proposed Rule Change To Amend its Rules To Add New Rule 7.19 Comments Due: Exhibit 5 Federal Register version (85 FR 15526)
34-88372
March 12, 2020
SR-CBOE-2020-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Related to the Automated Improvement Mechanism and Complex Automated Improvement Mechanism Comments Due: Exhibit 5 Federal Register version (85 FR 15523)
34-88357
March 11, 2020
SR-NYSE-2020-03
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Add New Rule 46B To Permit the Appointment of Regulatory Trading Officials and Amend Rules 47 and 75 Comments Due: Federal Register version (85 FR 15241)
34-88361
March 11, 2020
SR-NYSE-2019-68
Notice of Withdrawal of a Proposed Rule Change To Amend Its Rules To Add New Rule 7.19 (Pre-Trade Risk Controls) Comments Due: View Received Comments Federal Register version (85 FR 15241)
34-88359
March 11, 2020
SR-CboeBYX-2020-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 15234)
34-88352
March 10, 2020
SR-PEARL-2020-04
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 14990)
34-88349
March 10, 2020
SR-MIAX-2020-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 14995)
34-88356
March 10, 2020
SR-ICEEU-2020-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Clearing Member Transaction Fees for Certain Equity Derivatives Contracts, Specifically the Fee Caps for the Block Only Standard and Flexible Single Stock Futures and Options ("the Contracts") Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (85 FR 14999)
34-88351
March 10, 2020
SR-CboeBZX-2019-076
Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Clearbridge Small Cap Value ETF Under BZX Rule 14.11(k) Comments Due: Federal Register version (85 FR 14986)
34-88354
March 10, 2020
SR-CboeBZX-2020-020
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 14987)
34-88348
March 10, 2020
SR-CBOE-2020-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Related to the Complex Order Auction Comments Due: Exhibit 5 Federal Register version (85 FR 14984)
34-88350
March 10, 2020
SR-CBOE-2020-015
Notice of Filing of a Proposed Rule Change To Increase Position Limits for Options on Certain Exchange-Traded Funds ("ETFs") and Indexes Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 15003)
34-88355
March 10, 2020
SR-BOX-2020-05
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 V., Eligible Orders Routed to an Away Exchange Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 14993)
34-88345
March 9, 2020
SR-NYSEArca-2020-18
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 14716)
34-88343
March 6, 2020
SR-NSCC-2020-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Implementation Date of National Securities Clearing Corporation's Enhancements to the Haircut-Based Volatility Charge Applicable to Municipal Bonds Comments Due: Exhibit 5 Federal Register version (85 FR 14511)
34-88340
March 6, 2020
4-757
Reopening of Comment Period for Notice of Proposed Order Directing the Exchanges and the Financial Industry Regulatory Authority To Submit a New National Market System Plan Regarding Consolidated Equity Market Data Comments Due: View Received Comments Federal Register version (85 FR 14987)
34-88342
March 6, 2020
SR-NASDAQ-2020-003
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 4121(b) Comments Due: View Received Comments Federal Register version (85 FR 14513)
34-88341
March 6, 2020
SR-CBOE-2020-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Make Certain Non-Substantive Changes To Clean Up Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 14513)
34-88331
March 5, 2020
SR-NYSEAMER-2020-03
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: Federal Register version (85 FR 14252)
34-88332
March 5, 2020
SR-NYSENAT-2020-01
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (85 FR 14249)
34-88335
March 5, 2020
SR-NYSECHX-2020-01
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (85 FR 14256)
34-88330
March 5, 2020
SR-NYSEARCA-2020-01
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (85 FR 14284)
34-88329
March 5, 2020
SR-NYSE-2020-01
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (85 FR 14265)
34-88322
March 5, 2020
SR-BX-2020-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct and Clarify Rules 4702(b)(3)(B) and 4703(d) Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 14252)
34-88325
March 5, 2020
SR-NASDAQ-2020-001
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify the Delisting Process for Securities With a Bid Price Below $0.10 and for Securities That Have Had One or More Reverse Stock Splits With a Cumulative Ratio of 250 or More to One Over the Prior Two-Year Period Comments Due: Federal Register version (85 FR 14264)
34-88324
March 5, 2020
SR-FINRA-2020-006
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Trade Reporting Fees Applicable to the FINRA/NYSE Trade Reporting Facility Comments Due: Exhibit 5
34-88328
March 5, 2020
SR-CboeEDGX-2020-011
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 14250)
34-88323
March 5, 2020
SR-CboeEDGA-2020-005
Notice of Filing of a Proposed Rule Change To Amend EDGA Rule 11.8(e), Which Describes the Handling of MidPoint Discretionary Orders Entered on the Exchange Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 13957)
34-88326
March 5, 2020
SR-CboeEDGA-2020-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Dark Routing Technique Routing Option; To Eliminate References to the ROUD, ROUE, and ROUQ Routing Options; and To Reflect Additional Routing Strategies for Which the Exchange May Route Orders With a Short Sale Instruction Comments Due: Exhibit 5 Federal Register version (85 FR 14269)
34-88327
March 5, 2020
SR-CboeEDGA-2020-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to EDGA Rules 15.1(a) and (c) Comments Due: Exhibit 5 Federal Register version (85 FR 14265)
34-88317
March 4, 2020
SR-OCC-2020-801
Notice of No Objection to Advance Notice Concerning a Master Repurchase Agreement as Part of OCC's Overall Liquidity Plan Comments Due: Federal Register version (85 FR 13681)
34-88319
March 4, 2020
SR-NYSEAMER-2019-34
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. 1, To Amend the Exchanges' Co-Location Services To Offer Co-Location Users Access to the NMS Network File Nos.: Comments Due: Federal Register version (85 FR 13961)
34-88319
March 4, 2020
SR-NYSEArca-2019-61
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. 1, To Amend the Exchanges' Co-Location Services To Offer Co-Location Users Access to the NMS Network File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 13961)
34-88319
March 4, 2020
SR-NYSENAT-2019-19
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. 1, To Amend the Exchanges' Co-Location Services To Offer Co-Location Users Access to the NMS Network File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 13961)
34-88319
March 4, 2020
SR-NYSE-2019-46
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. 1, To Amend the Exchanges' Co-Location Services To Offer Co-Location Users Access to the NMS Network File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 13961)
34-88320
March 4, 2020
SR-NASDAQ-2020-011
Notice of Filing of Proposed Rule Change To Amend Rules 4702(b)(14) and (b)(15) To Shorten the Holding Period Requirements for Midpoint Extended Life Orders and Midpoint Extended Life Orders Plus Continuous Book Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 13962)
34-88313
March 3, 2020
SR-IEX-2020-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rules 2.220(a)(7) and 11.410(a) To Include the Long-Term Stock Exchange, Inc. (LTSE) in the List of Away Trading Centers to Which the Exchange Routes and the Market Data Sources the Exchange Will Use To Determine LTSE's Top of Book Quotation Comments Due: Exhibit 5 Federal Register version (85 FR 13684)
34-88312
March 3, 2020
SR-CBOE-2020-014
Notice of Filing of a Proposed Rule Change Relating To Adopt a Delta-Adjusted at Close (DAC) Order Instruction That a User May Apply to an Order When Entering it Into the System for Execution in an Electronic or Open Outcry Auction Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 13686)
34-88308
March 2, 2020
SR-ICEEU-2020-003
Notice Relating to the ICE Clear Europe Rules and Procedures Comments Due: Federal Register version (85 FR 13200)
34-88309
March 2, 2020
SR-CboeEDGX-2020-010
Notice of Filing of a Proposed Rule Change To Amend EDGX Rule 11.8(g), Which Describes the Handling of Midpoint Discretionary Orders Entered on the Exchange Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 13193)
34-88304
Feb. 28, 2020
SR-NASDAQ-2020-008
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5702 Comments Due: Federal Register version (85 FR 12953)
34-88300
Feb. 28, 2020
SR-BOX-2019-19
Notice of Filing of Amendment No. 2 to 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 5a , Exhibit 5b Federal Register version (85 FR 13242)
34-88296
Feb. 27, 2020
SR-GEMX-2020-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 7, "Types of Orders" To Permit the Exchange To Determine the Availability of Order Types and Time-In-Force Provisions Comments Due: Exhibit 5 Federal Register version (85 FR 12811)
34-88297
Feb. 27, 2020
SR-LCHSA-2020-001
Notice of Filing of Proposed Rule Change Relating to Amendments to the Wind Down Plan Comments Due: Federal Register version (85 FR 12814)
34-88285
Feb. 26, 2020
SR-CFE-2020-002
Notice of Filing of Proposed Rule Change Relating To Exchange Jurisdiction Comments Due: Exhibit 4 Federal Register version (85 FR 12594)
34-88286
Feb. 26, 2020
SR-Phlx-2020-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 7 Related to Order Types and Times-in-Force Provisions Comments Due: Exhibit 5 Federal Register version (85 FR 12626)
34-88293
Feb. 26, 2020
SR-GEMX-2020-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 3, Titled Regular Order Fees and Rebates Comments Due: Exhibit 5 Federal Register version (85 FR 12623)
34-88288
Feb. 26, 2020
SR-NASDAQ-2020-009
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Nasdaq Options Market LLC ("NOM") Rules at Options 3, Section 7 Comments Due: Exhibit 5 Federal Register version (85 FR 12637)
34-88291
Feb. 26, 2020
SR-MRX-2020-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 7 Related to Order Types and Times-in-Force Provisions Comments Due: Exhibit 5 Federal Register version (85 FR 12635)
34-88292
Feb. 26, 2020
SR-ISE-2020-06
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 12616)
34-88294
Feb. 26, 2020
SR-ISE-2020-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 7 Related to Order Types and Times-in-Force Provisions Comments Due: Exhibit 5 Federal Register version (85 FR 12629)
34-88283
Feb. 26, 2020
SR-CboeBZX-2020-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow the Franklin Liberty International Aggregate Bond Fund To Hold Certain Instruments in a Manner That May Not Comply With the Generic Listing Requirements of Rule 14.11(i) Comments Due: Federal Register version (85 FR 12639)
34-88282
Feb. 25, 2020
SR-NASDAQ-2020-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 9, Section 1, Titled General Standards Comments Due: Exhibit 5 Federal Register version (85 FR 12360)
34-88277
Feb. 25, 2020
SR-FICC-2020-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Interpretive Guidance With Respect to Settlement Finality Comments Due: Exhibit 5 Federal Register version (85 FR 12353)
34-88276
Feb. 25, 2020
SR-CboeBZX-2020-003
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts) Comments Due: View Received Comments Federal Register version (85 FR 12353)
34-88279
Feb. 25, 2020
SR-CboeBZX-2020-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Codify the Cancel Back Order Type and To Add That the Post Only Order Designated as Cancel Back May Remove Liquidity Pursuant to Exchange Rule 21.1 Comments Due: Exhibit 5 Federal Register version (85 FR 12357)
34-88281
Feb. 25, 2020
SR-CBOE-2020-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 4.13 and 5.31 Concerning the Modified Opening Auction Process Comments Due: Federal Register version (85 FR 12362)
34-88269
Feb. 24, 2020
SR-NYSEAMER-2020-11
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change for Certain Conforming Changes to Rule 9217 Comments Due: Exhibit 5 Federal Register version (85 FR 12035)
34-88272
Feb. 24, 2020
SR-Phlx-2020-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend PSX Rule 3506 (Anti-Money Laundering Compliance Program) and Options 9, Section 21 (Anti-Money Laundering Compliance Program) Comments Due: Federal Register version (85 FR 12032)
34-88267
Feb. 24, 2020
SR-NSCC-2020-801
Notice of Filing of Advance Notice to Enhance the Calculation of the Family-Issued Securities Charge Comments Due: Federal Register version (85 FR 11437)
34-88273
Feb. 24, 2020
SR-GEMX-2020-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 21 (Anti-Money Laundering Compliance Program) Comments Due: Federal Register version (85 FR 12037)
34-88275
Feb. 24, 2020
SR-MRX-2020-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 21 (Anti-Money Laundering Compliance Program) Comments Due: Federal Register version (85 FR 12040)
34-88271
Feb. 24, 2020
SR-ISE-2020-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 21 (Anti-Money Laundering Compliance Program) Comments Due: Federal Register version (85 FR 12043)
34-88266
Feb. 24, 2020
SR-FICC-2020-801
Notice of Filing of Advance Notice to Amend the Mortgage-Backed Securities Division Stress Testing Methodology Comments Due: Federal Register version (85 FR 11413)
34-88260
Feb. 21, 2020
SR-NSCC-2020-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Implementation Date of National Securities Clearing Corporation's Enhancements to the Haircut-Based Volatility Charge Applicable to Municipal Bonds Comments Due: Exhibit 5 Federal Register version (85 FR 11425)
34-88264
Feb. 21, 2020
SR-CboeEDGX-2020-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Solicitation Auction Mechanism (SAM) Fees, Qualified Contingent Cross (QCC) Order Rebates, and Automated Improvement Mechanism (AIM) Fees Comments Due: Exhibit 5 Federal Register version (85 FR 11406)
34-88259
Feb. 21, 2020
SR-CboeBZX-2020-007
Notice of Filing of a Proposed Rule Change To Eliminate the Requirement That the Intraday Indicative Value Be Disseminated as Set Forth Under Rule 14.11(c) for Certain Series of Index Fund Shares and Under Rule 14.11(i) for All Series of Managed Fund Shares Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 11419)
34-88263
Feb. 21, 2020
SR-CboeBZX-2020-006
Notice of Filing of a Proposed Rule Change Relating To Providing Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.13 Comments Due: Exhibit 5 Federal Register version (85 FR 11421)
34-88255
Feb. 20, 2020
SR-NYSEArca-2019-60
Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, To List and Trade Shares of the KFA Global Carbon ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (85 FR 11146)
34-88248
Feb. 20, 2020
SR-LTSE-2020-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Annual Membership Fee Comments Due: Exhibit 5 Federal Register version (85 FR 11162)
34-88251
Feb. 20, 2020
SR-FINRA-2020-005
Notice of Filing of a Proposed Rule Change To Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes To Apply Minimum Fees to Requests for Expungement of Customer Dispute Information Comments Due: View Received Comments Federal Register version (85 FR 11165)
34-88247
Feb. 20, 2020
SR-CboeBZX-2019-102
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3 Thereto, to List and Trade Shares of the ClearBridge Focus Value ETF Under BZX Rule 14.11(k) Comments Due: View Received Comments Federal Register version (85 FR 11137)
34-88246
Feb. 20, 2020
4-618
Notice of Filing of an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., BOX Exchange LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq ISE, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, Investors Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., and Long-Term Stock Exchange, Inc. Concerning Covered Regulation NMS and Consolidated Audit Trail Rules Comments Due: View Received Comments Federal Register version (85 FR 10746)
34-88238
Feb. 19, 2020
SR-NYSEAMER-2020-10
Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 10776)
34-88241
Feb. 19, 2020
SR-NYSENAT-2020-08
Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 10738)
34-88240
Feb. 19, 2020
SR-NYSECHX-2020-05
Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 10795)
34-88239
Feb. 19, 2020
SR-NYSEArca-2020-08
Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services View Received Comments Exhibit 5 Federal Register version (85 FR 10786)
34-88237
Feb. 19, 2020
SR-NYSE-2020-11
Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 10752)
34-88235
Feb. 19, 2020
SR-CBOE-2020-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Financial Incentive Programs for Global Trading Hours (GTH) Lead Market-Makers (LMMs) in VIX Options Comments Due: Exhibit 5 Federal Register version (85 FR 10784)
34-88243
Feb. 19, 2020
SR-CBOE-2020-011
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 10760)
34-88236
Feb. 19, 2020
SR-BOX-2020-04
Notice of Filing of a Proposed Rule Change To Amend the Provisions of Its Limited Liability Company Agreement and Bylaws To Accommodate the Exchange's Regulation of Multiple Facilities Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (85 FR 10765)
34-88229
Feb. 18, 2020
SR-NYSEAMER-2020-08
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 10479)
34-88233
Feb. 18, 2020
SR-NYSEAMER-2020-07
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Price List Comments Due: Exhibit 5 Federal Register version (85 FR 10482)
34-88231
Feb. 18, 2020
SR-NYSENAT-2020-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees and Rebates Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (85 FR 10502)
34-88230
Feb. 18, 2020
SR-NYSEARCA-2020-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (85 FR 10495)
34-88227
Feb. 18, 2020
SR-NYSE-2020-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the New York Stock Exchange Price List Related to Co-location Services Comments Due: Exhibit 5 Federal Register version (85 FR 10499)
34-88232
Feb. 18, 2020
SR-CBOE-2020-010
Notice of Filing of a Proposed Rule Change Relating To Adopt Flexible Exchange Options ("FLEX Options") With a Contract Multiplier of One ("FLEX Micro Options") Comments Due: Federal Register version (85 FR 10491)
