34-88100
Jan. 30, 2020
SR-CboeBYX-2020-005
Notice of Filing of a Proposed Rule Change Relating 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: Exhibit 5 Federal Register version (85 FR 6624)
34-88105
Jan. 30, 2020
SR-CBOE-2020-004
Notice of Filing of a Proposed Rule Change Relating To Amend Chapter 7, Section B of the Rules, Which Contains the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), 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: Exhibit 5 Federal Register version (85 FR 6600)
34-88091
Jan. 30, 2020
SR-BOX-2020-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 10070, Anti-Money Laundering Compliance Program, To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions Comments Due: Federal Register version (85 FR 6636)
34-88080
Jan. 29, 2020
SR-NYSE-2019-68
Notice of Designation of Longer Period for Commission Action To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE's Rules To Add New Rule 7.19 (Pre-Trade Risk Controls) Comments Due: View Received Comments Federal Register version (85 FR 6254)
34-88078
Jan. 29, 2020
SR-NASDAQ-2019-060
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rules 4120 and 4753 Comments Due: View Received Comments Federal Register version (85 FR 6244)
34-88077
Jan. 29, 2020
SR-FINRA-2020-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date for Eliminating Computer-to-Computer Interface as a Technological Option for TRACE Reporting Comments Due: Federal Register version (85 FR 6252)
34-88075
Jan. 29, 2020
SR-CboeBZX-2020-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide an Exemption to Certain Governance Requirements for Series of Managed Portfolio Shares Listed on the Exchange Pursuant to Rule 14.11(k) Comments Due: Exhibit 5 Federal Register version (85 FR 6240)
34-88076
Jan. 29, 2020
SR-CboeBZX-2020-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Opening Process To Allow for an Opening Auction, Similar to that Available on Cboe Exchange, Inc. ("Cboe Options") and Cboe EDGX Exchange, Inc. ("EDGX Options"), and Make Other Conforming Changes to Rules 16.1 and 21.17 Comments Due: Exhibit 5 Federal Register version (85 FR 6246)
34-88066
Jan. 28, 2020
SR-NYSEArca-2019-77
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the AdvisorShares Pure US Cannabis ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (85 FR 6009)
34-88058
Jan. 28, 2020
SR-NYSE-2020-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 104(f)(5) To Extend the Operative Date of the Requirements of Rules 104(f)(2) and (3) to Exchange Traded Products Comments Due: Exhibit 5 Federal Register version (85 FR 6005)
34-88056
Jan. 28, 2020
SR-NASDAQ-2020-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Term "Closing Price" in Rule 5635(d)(1)(A) Relating to Shareholder Approval for Transactions Other Than Public Offerings Comments Due: Federal Register version (85 FR 6003)
34-88064
Jan. 28, 2020
SR-ICC-2019-010
Notice of Filing of Partial Amendment No. 2 to Proposed Rule Change Relating to Amendments to the ICC Clearing Rules To Address Non-Default Losses Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (85 FR 6007)
34-88051
Jan. 27, 2020
SR-EMERALD-2020-03
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 5726)
34-88046
Jan. 27, 2020
SR-NASDAQ-2020-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Certain Changes to Investments of the First Trust TCW Opportunistic Fixed Income ETF Comments Due: Federal Register version (85 FR 5730)
34-88055
Jan. 27, 2020
SR-MIAX-2020-03
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 5742)
34-88047
Jan. 27, 2020
SR-ICC-2020-002
Notice 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 5756)
34-88049
Jan. 27, 2020
SR-DTC-2020-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Fee Guide Comments Due: Exhibit 5 Federal Register version (85 FR 5747)
34-88050
Jan. 27, 2020
SR-DTC-2020-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Decommission the Web Inquiry Notification System and Make Other Related and Technical Changes Comments Due: Exhibit 5 Federal Register version (85 FR 5728)
34-88054
Jan. 27, 2020
SR-CboeEDGX-2020-002
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 5761)
34-88044
Jan. 27, 2020
SR-CboeBZX-2020-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Partial Post Only at Limit Orders and References to Those Orders From the Rules Comments Due: Exhibit 5 Federal Register version (85 FR 5764)
34-88052
Jan. 27, 2020
SR-CboeBZX-2020-004
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 5753)
34-88045
Jan. 27, 2020
SR-CboeBYX-2020-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Partial Post Only at Limit Orders and References to Those Orders From the Rules Comments Due: Exhibit 5 Federal Register version (85 FR 5751)
34-88036
Jan. 24, 2020
SR-Phlx-2020-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Phlx's Pricing Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 5525)
34-88030
Jan. 24, 2020
SR-OCC-2020-001
Notice on Non-Expiration Dates Comments Due: Federal Register version (85 FR 5491)
34-88031
Jan. 24, 2020
SR-NYSEArca-2020-07
Notice of Filing of 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 5493)
34-88033
Jan. 24, 2020
SR-NYSE-2020-03
Notice of Filing of Proposed Rule Change To Add New Rule 46B To Permit the Appointment of Regulatory Trading Officials and Amend Rules 47 and 75 Comments Due: Exhibit 5 Federal Register version (85 FR 5511)
34-88028
Jan. 24, 2020
SR-NASDAQ-2019-091
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt a New Rule Permitting Nasdaq To Halt Trading in a Security and Request Information From the Company Regarding the Number of Unrestricted Publicly Held Shares in Certain Circumstances Comments Due: View Received Comments Federal Register version (85 FR 5500)
34-88037
Jan. 24, 2020
SR-FINRA-2020-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 11900 To Except Certain Transactions in Corporate Debt Securities Comments Due: Exhibit 2 , Exhibit 5 Federal Register version (85 FR 5516)
34-88017
Jan. 23, 2020
S7-24-89
Notice of Filing of the Forty-Fifth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Comments Due: View Received Comments Federal Register version (85 FR 5062)
34-88016
Jan. 23, 2020
SR-CTA-2019-02
Notice of Filing of the Thirty-First Substantive Amendment to the Second Restatement of the CTA Plan Comments Due: View Received Comments Federal Register version (85 FR 5060)
34-88022
Jan. 23, 2020
SR-MRX-2020-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Pricing Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 5263)
34-88020
Jan. 23, 2020
SR-PEARL-2020-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 5269)
34-88021
Jan. 23, 2020
SR-LCHSA-2019-011
Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to CDS Clearing Supplement To Reflect the ISDA NTCE Protocol and Supplement Comments Due: Federal Register version (85 FR 5744)
34-88023
Jan. 23, 2020
SR-FINRA-2020-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) Comments Due: Federal Register version (85 FR 5261)
34-88026
Jan. 23, 2020
SR-CboeBZX-2019-044
Notice of Withdrawal of a Proposed Rule Change To Allow the JPMorgan Core Plus Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust To Hold Certain Instruments in a Manner That May Not Comply With Rule 14.11(i), Managed Fund Shares Comments Due: Federal Register version (85 FR 5271)
34-88019
Jan. 23, 2020
SR-C2-2020-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.31 in Connection with the Exchange's Clearing Editor Comments Due: Federal Register version (85 FR 5267)
34-88009
Jan. 21, 2020
SR-NYSEArca-2020-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees and Charges To Remove the Ineligibility for Certain Discounts Comments Due: Exhibit 5 Federal Register version (85 FR 4752)
34-88004
Jan. 17, 2020
SR-NASDAQ-2020-003
Notice of Filing of Proposed Rule Change To Amend Rule 4121(b) Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 3992)
34-87989
Jan. 16, 2020
SR-NYSEAMER-2020-03
Notice of Filing of 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 Exhibit 5 Federal Register version (85 FR 3995)
34-87993
Jan. 16, 2020
SR-NYSEAMER-2020-04
Notice of Filing and Immediate Effectiveness of Proposed Change To Add to the Rules of the Exchange the Thirteenth Amended and Restated Operating Agreement of the New York Stock Exchange LLC Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (85 FR 4050)
34-87986
Jan. 16, 2020
SR-NYSENAT-2020-01
Notice of Filing of 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 Exhibit 5 Federal Register version (85 FR 3974)
34-87988
Jan. 16, 2020
SR-NYSECHX-2020-01
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, 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 Exhibit 5 Federal Register version (85 FR 4028)
34-87987
Jan. 16, 2020
SR-NYSEARCA-2020-01
Notice of Filing of 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 Exhibit 5 Federal Register version (85 FR 4011)
34-87994
Jan. 16, 2020
SR-NYSEArca-2020-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges To Introduce Two New Pricing Tiers, Retail Order Step-Up Tier 3 and Retail Order Step-Up Tier 4 Comments Due: Exhibit 5 Federal Register version (85 FR 3955)
34-87990
Jan. 16, 2020
SR-NYSE-2020-01
Notice of Filing of a 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 Exhibit 5 Federal Register version (85 FR 3963)
34-87995
Jan. 16, 2020
SR-NASDAQ-2019-057
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 4121 Comments Due: Federal Register version (85 FR 4006)
34-87998
Jan. 16, 2020
SR-ISE-2020-01
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 4045)
34-87985
Jan. 16, 2020
SR-CboeBZX-2020-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Governing the Give Up of a Clearing Member by a User on Exchange Transactions Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (85 FR 4007)
34-87992
Jan. 16, 2020
SR-CboeBZX-2020-003
Notice of Filing of 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 4023)
34-87991
Jan. 16, 2020
SR-C2-2020-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Governing the Give Up of a Clearing Trading Permit Holder by a Trading Permit Holder on Exchange Transactions Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (85 FR 3951)
34-88002
Jan. 16, 2020
SR-BOX-2019-19
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 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 4040)
34-87978
Jan. 15, 2020
SR-NYSEArca-2020-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges To Introduce a New Lead Market Maker Credit Comments Due: Exhibit 5 Federal Register version (85 FR 3727)
34-87982
Jan. 15, 2020
SR-NASDAQ-2020-001
Notice of Filing of 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: Exhibit 5 Federal Register version (85 FR 3736)
34-87976
Jan. 15, 2020
SR-CboeEDGX-2020-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Rules Governing the Give Up of a Clearing Member by a User on Exchange Transactions Comments Due: Exhibit 3 , Exhibit 5
34-87963
Jan. 14, 2020
SR-NYSEArca-2019-51
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF Comments Due: View Received Comments Federal Register version (85 FR 3458)
34-87957
Jan. 14, 2020
SR-NYSE-2020-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Eliminate the Alternative $10,000 Monthly Fee Cap for Executions at the Open Comments Due: Exhibit 5 Federal Register version (85 FR 3440)
34-87964
Jan. 14, 2020
SR-MIAX-2020-01
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 3435)
34-87958
Jan. 14, 2020
SR-ICC-2020-001
Notice Relating to the ICC Clearing Rules Comments Due: Exhibit 5 Federal Register version (85 FR 3446)
34-87960
Jan. 14, 2020
SR-CboeBYX-2020-001
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 3437)
34-87959
Jan. 14, 2020
SR-CBOE-2019-035
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 Nos. 1 and 2, Regarding Off-Floor Position Transfers Comments Due: View Received Comments Federal Register version (85 FR 3448)
34-87952
Jan. 13, 2020
SR-NYSE-2019-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Extend a Waiver of New Firm Application Fees for Certain Applications and of Bond Trading License Fees and To Discontinue the Liquidity Provider Incentive Program and the Agency Order Rebate Program Comments Due: Exhibit 5 Federal Register version (85 FR 3089)
34-87948
Jan. 13, 2020
SR-IEX-2020-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Three Typographical Errors in IEX Rules 11.190(e) and 11.220(a)(7) Comments Due: Exhibit 5 Federal Register version (85 FR 3087)
34-87946
Jan. 13, 2020
SR-CboeBZX-2020-001
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 3096)
34-87953
Jan. 13, 2020
SR-CBOE-2020-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related To Expiring Fee Waivers and Incentive Programs Comments Due: Exhibit 5 Federal Register version (85 FR 3091)
34-87942
Jan. 10, 2020
SR-EMERALD-2020-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend, Reorganize and Enhance Its Membership, Registration and Qualification Rules and Consolidate These Rules Into New Chapter XIX Registration, Qualification and Continuing Education Comments Due: Exhibit 5 Federal Register version (85 FR 2766)
34-87941
Jan. 10, 2020
SR-PEARL-2020-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend, Reorganize and Enhance Its Membership, Registration and Qualification Rules and Consolidate These Rules Into New Chapter XXXI Registration, Qualification and Continuing Education Comments Due: Exhibit 5 Federal Register version (85 FR 2784)
34-87935
Jan. 10, 2020
SR-BOX-2019-32
Notice of Withdrawal of Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network Comments Due: View Received Comments Federal Register version (85 FR 2783)
34-87929
Jan. 9, 2020
SR-NYSEAMER-2019-34
Notice of Filing of Amendment No. 1 to Proposed Rule Change Amending the NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services in the Mahwah, New Jersey Data Center Comments Due: Exhibit 5 Federal Register version (85 FR 2453)
34-87930
Jan. 9, 2020
SR-NYSENAT-2019-19
Notice of Filing of Amendment No. 1 to Proposed Rule Change Amending the Exchange's Price List Related to Co-Location Services in the Mahwah, New Jersey Data Center Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 2459)
34-87917
Jan. 9, 2020
SR-NYSEArca-2019-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Charges To Modify the Annual Fees Applicable To Exchange Traded Products and Managed Fund Shares and Managed Trust Securities Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 2474)
34-87928
Jan. 9, 2020
SR-NYSEArca-2019-61
Notice of Filing of Amendment No. 1 to Proposed Rule Change Amending the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services in the Mahwah, New Jersey Data Center Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 2447)
34-87927
Jan. 9, 2020
SR-NYSE-2019-46
Notice of Filing of Amendment No. 1 to Proposed Rule Change Amending the Exchange's Price List Related to Co-Location Services in the Mahwah, New Jersey Data Center Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 2468)
34-87911
Jan. 8, 2020
SR-NSCC-2019-801
Notice of Filing of Advance Notice to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds Comments Due: Federal Register version (85 FR 2197)
34-87912
Jan. 8, 2020
SR-NSCC-2019-802
Notice of Filing of Advance Notice to Issue Term Debt as Part of its Liquidity Risk Management Comments Due: Federal Register version (85 FR 2187)
34-87906
Jan. 8, 2020
4-757
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 2164)
34-87908
Jan. 8, 2020
S7-24-89
Notice of Filing of the Forty-Fourth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Comments Due: View Received Comments Federal Register version (85 FR 2202)
34-87910
Jan. 8, 2020
S7-24-89
Notice of Filing of the Forty-Seventh Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Comments Due: View Received Comments Federal Register version (85 FR 2212)
34-87907
Jan. 8, 2020
SR-CTA/CQ-2019-01
Notice of Filing of the Thirtieth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Second Substantive Amendment to the Restated CQ Plan Comments Due: View Received Comments Federal Register version (85 FR 2193)
34-87909
Jan. 8, 2020
SR-CTA/CQ-2019-04
Notice of Filing of the Thirty-Third Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Fourth Substantive Amendment to the Restated CQ Plan Comments Due: View Received Comments Federal Register version (85 FR 2207)
34-87902
Jan. 7, 2020
SR-NYSEAMER-2020-01
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Regarding Fees Charged Under the Market Maker Sliding Scale Comments Due: Exhibit 5 Federal Register version (85 FR 1853)
34-87903
Jan. 7, 2020
SR-NYSEAMER-2020-02
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Regarding the Floor Broker Prepayment Program Comments Due: Exhibit 5 Federal Register version (85 FR 1848)
34-87901
Jan. 7, 2020
SR-NYSEArca-2020-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Regarding the Floor Broker Prepayment Program Comments Due: Exhibit 5 Federal Register version (85 FR 1835)
34-87897
Jan. 6, 2020
SR-MIAX-2019-53
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 1346)
34-87896
Jan. 6, 2020
SR-FICC-2019-007
Notice of Filing of Proposed Rule Change Regarding the Close-Out and Funds-Only Settlement Processes Associated With the Sponsoring Member/Sponsored Member Service Comments Due: Exhibit 5 Federal Register version (85 FR 1354)
34-87891
Jan. 6, 2020
SR-CboeEDGX-2019-077
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Opening Triggers for Its Opening Rotation Process for Equity Options Comments Due: Exhibit 5 Federal Register version (85 FR 1351)
34-87894
Jan. 6, 2020
SR-CBOE-2020-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Opening Triggers for its Opening Rotation Process for Equity Options Comments Due: Exhibit 5 Federal Register version (85 FR 1365)
34-87892
Jan. 6, 2020
SR-C2-2019-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Opening Triggers for Its Opening Rotation Process for Equity Options Comments Due: Exhibit 5 Federal Register version (85 FR 1362)
34-87885
Jan. 3, 2020
SR-NYSEArca-2019-78
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Innovator PTAM Core Bond Fund ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (85 FR 1189)
34-87886
Jan. 3, 2020
SR-LCHSA-2019-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendments of the CDSClear Fee Grid Comments Due: Exhibit 5 Federal Register version (85 FR 1185)
34-87882
Jan. 2, 2020
SR-NASDAQ-2019-101
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 118(a) Comments Due: Exhibit 5 Federal Register version (85 FR 939)
34-87880
Jan. 2, 2020
SR-ICEEU-2019-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Clearing Member Charges and Rates of Return on Cash and Collateral in Relation to Margin Deposits and Guaranty Fund Contributions for All Clearing Member House and Customer Accounts Comments Due: Exhibit 5 Federal Register version (85 FR 752)
34-87883
Jan. 2, 2020
SR-CBOE-2019-126
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules Regarding Complex Orders Comments Due: Exhibit 5 Federal Register version (85 FR 942)
34-87877
Dec. 31, 2019
SR-EMERALD-2019-39
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 738)
34-87876
Dec. 31, 2019
SR-PEARL-2019-36
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 757)
34-87875
Dec. 31, 2019
SR-MIAX-2019-51
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 770)
34-87873
Dec. 31, 2019
SR-CBOE-2019-127
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 754)
34-87865
Dec. 30, 2019
SR-NYSEArca-2019-92
Notice of Filing of Proposed Rule Change To Adopt NYSE Arca Rule 8.601-E To Permit the Listing and Trading of Managed Portfolio Securities and To List and Trade Four Series of Managed Portfolio Securities Issued by T. Rowe Price Exchange-Traded Funds, Inc. Under Proposed NYSE Arca Rule 8.601-E Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 380)
34-87866
Dec. 30, 2019
SR-NYSEArca-2019-95
Notice of Filing of Proposed Rule Change To Adopt NYSE Arca Rule 8.602-E To Permit the Listing and Trading of Actively Managed Solution Shares and To List and Trade Shares of the Natixis ETF Under Proposed NYSE Arca Rule 8.602-E Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 357)
34-87867
Dec. 30, 2019
SR-NYSEArca-2019-96
Notice of Filing of Proposed Rule Change To Adopt NYSE Arca Rule 8.602-E To Permit the Listing and Trading of Actively Managed Solution Shares and To List and Trade Two Series of Actively Managed Solution Shares Issued by the American Century ETF Trust Under Proposed NYSE Arca Rule 8.602-E Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 394)
34-87870
Dec. 30, 2019
SR-NASDAQ-2019-095
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Exchange's All-Inclusive Annual Listing Fees for Exchange Traded Products Comments Due: Exhibit 5 Federal Register version (85 FR 391)
