34-87746
Dec. 13, 2019
SR-CboeEDGA-2019-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions Comments Due: Exhibit 5 Federal Register version (84 FR 69797)
34-87740
Dec. 13, 2019
SR-CboeBZX-2019-106
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.4 by Extending the Penny Pilot Program Through June 30, 2020 Comments Due: Federal Register version (84 FR 69800)
34-87745
Dec. 13, 2019
SR-CboeBZX-2019-103
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions Comments Due: Exhibit 5 Federal Register version (84 FR 69810)
34-87744
Dec. 13, 2019
SR-CboeBYX-2019-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions Comments Due: Exhibit 5 Federal Register version (84 FR 69792)
34-87739
Dec. 13, 2019
SR-CBOE-2019-119
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.4 by Extending the Penny Pilot Program Through June 30, 2020 Comments Due: Federal Register version (84 FR 69801)
34-87742
Dec. 13, 2019
SR-CBOE-2019-112
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 69788)
34-87738
Dec. 13, 2019
SR-C2-2019-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.4 by Extending the Penny Pilot Program Through June 30, 2020 Comments Due: Federal Register version (84 FR 69795)
34-87728
Dec. 12, 2019
SR-Phlx-2019-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Securities Traded Pursuant to Unlisted Trading Privileges Comments Due: Exhibit 5 Federal Register version (84 FR 69405)
34-87733
Dec. 12, 2019
SR-NYSECHX-2019-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule To Adopt Fees for Orders That Are Routed to Other Markets for Execution, and Delete Text That Became Obsolete Upon the Exchange's Transition to the Pillar Trading Platform Comments Due: Exhibit 5 Federal Register version (84 FR 69412)
34-87724
Dec. 12, 2019
SR-NYSE-2019-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Comments Due: Exhibit 5 Federal Register version (84 FR 69415)
34-87721
Dec. 12, 2019
SR-NASDAQ-2019-049
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director Comments Due: View Received Comments Federal Register version (84 FR 69401)
34-87726
Dec. 12, 2019
SR-NASDAQ-2019-092
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 5515 Which Governs the Listing of Warrants on the Nasdaq Capital Market To Replace the Current Requirement That a Warrant Have 400 Round-Lot Holders With a Revised Requirement of 100 Holders That Are Both Public Holders and Round-Lot Holders Comments Due: Exhibit 5 Federal Register version (84 FR 69444)
34-87722
Dec. 12, 2019
SR-ICEEU-2019-027
Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to the ICE Clear Europe CDS Procedures Comments Due: Exhibit 5 Federal Register version (84 FR 69421)
34-87725
Dec. 12, 2019
SR-FINRA-2019-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Securities Transaction Credits Applicable to FINRA/Nasdaq TRF Participants Comments Due: Exhibit 5 Federal Register version (84 FR 69402)
34-87729
Dec. 12, 2019
SR-DTC-2019-011
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Distributions Guide and the Fee Guide Relating to Tax Events Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (84 FR 69424)
34-87727
Dec. 12, 2019
SR-CBOE-2019-111
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule in Connection With Migration Comments Due: View Received Comments Exhibit 5b Federal Register version (84 FR 69428)
34-87715
Dec. 11, 2019
SR-NYSE-2019-68
Notice of Filing of Proposed Rule Change To Amend Its Rules To Add New Rule 7.19 (Pre-Trade Risk Controls) Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 68995)
34-87716
Dec. 11, 2019
SR-NASDAQ-2019-089
Notice of Filing of Proposed Rule Change To Amend Rule 5815 To Preclude Stay During Hearing Panel Review of Staff Delisting Determinations in Certain Circumstances Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 69007)
34-87719
Dec. 11, 2019
SR-CboeBZX-2019-102
Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Clearbridge Focus Value ETF Under Currently Proposed Rule 14.11(k) Comments Due: View Received Comments Federal Register version (84 FR 68999)
34-87708
Dec. 10, 2019
SR-NASDAQ-2019-094
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 (84 FR 68496)
34-87707
Dec. 10, 2019
SR-CboeEDGX-2019-072
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Maximum Composite Width Check of the Opening Rotation as Provided in Subparagraph (e)(1) of Exchange Rule 21.7 Comments Due: Exhibit 5 Federal Register version (84 FR 68514)
34-87711
Dec. 10, 2019
SR-CboeEDGX-2019-071
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 68501)
34-87709
Dec. 10, 2019
SR-CboeEDGA-2019-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 68523)
34-87712
Dec. 10, 2019
SR-CboeBZX-2019-101
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 68508)
34-87713
Dec. 10, 2019
SR-CboeBYX-2019-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 68530)
34-87706
Dec. 10, 2019
SR-CBOE-2019-115
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Maximum Composite Width Check of the Opening Rotation as Provided in Subparagraph (e)(1) of Exchange Rule 5.31 Comments Due: Exhibit 5 Federal Register version (84 FR 68520)
34-87705
Dec. 10, 2019
SR-C2-2019-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Maximum Composite Width Check of the Opening Rotation as Provided in Subparagraph (e)(1) of Exchange Rule 6.11 Comments Due: Exhibit 5 Federal Register version (84 FR 68517)
34-87704
Dec. 10, 2019
SR-BOX-2019-35
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 QOO Order Rebate Cap Comments Due: Exhibit 5 Federal Register version (84 FR 68499)
34-87684
Dec. 9, 2019
SR-NYSEAMER-2019-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amending Its NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (84 FR 68220)
34-87691
Dec. 9, 2019
SR-Phlx-2019-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Order Types and Remove and Relocate Certain Rule Text Currently Located Within Rule 1080 Comments Due: Exhibit 5 Federal Register version (84 FR 68197)
34-87695
Dec. 9, 2019
SR-NYSENAT-2019-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates Comments Due: Exhibit 5 Federal Register version (84 FR 68236)
34-87701
Dec. 9, 2019
SR-NYSENAT-2019-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (84 FR 68226)
34-87686
Dec. 9, 2019
SR-NYSECHX-2019-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule of NYSE Chicago, Inc. Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (84 FR 68258)
34-87685
Dec. 9, 2019
SR-NYSEARCA-2019-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (84 FR 68246)
34-87694
Dec. 9, 2019
SR-NYSE-2019-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (84 FR 68252)
34-87681
Dec. 9, 2019
4-443
Notice of Filing of Amendment No. 5 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Adopt a Penny Interval Program Comments Due: View Received Comments Federal Register version (84 FR 68960)
34-87693
Dec. 9, 2019
SR-MIAX-2019-48
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1400, Definitions Comments Due: Exhibit 5 Federal Register version (84 FR 68264)
34-87687
Dec. 9, 2019
SR-CboeBZX-2019-072
Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee Comments Due: View Received Comments Federal Register version (84 FR 68225)
34-87688
Dec. 9, 2019
SR-CboeBZX-2019-041
Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee View Received Comments Federal Register version (84 FR 68197)
34-87689
Dec. 9, 2019
SR-CboeBYX-2019-013
Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee Comments Due: View Received Comments Federal Register version (84 FR 68225)
34-87690
Dec. 9, 2019
SR-CboeBYX-2019-009
Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee View Received Comments Federal Register version (84 FR 68196)
34-87682
Dec. 9, 2019
SR-CBOE-2019-110
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.31, Opening Auction Process Comments Due: Federal Register version (84 FR 67985)
34-87672
Dec. 6, 2019
SR-OCC-2019-806
Notice of No Objection to Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology Comments Due: Federal Register version (84 FR 67977)
34-87673
Dec. 6, 2019
SR-OCC-2019-807
Notice of No Objection to Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Margin Policy, Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology to Address Specific Wrong-Way Risk Comments Due: Federal Register version (84 FR 67981)
34-87677
Dec. 6, 2019
SR-NASDAQ-2019-091
Notice of Filing of 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 and in Certain Circumstances Request a Plan To Increase the Number of Unrestricted Publicly Held Shares to an Amount That Is Higher Than the Applicable Publicly Held Shares Requirement Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 67974)
34-87678
Dec. 6, 2019
SR-CboeEDGX-2019-029
Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee View Received Comments Federal Register version (84 FR 67976)
34-87679
Dec. 6, 2019
SR-CboeEDGX-2019-050
Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee Comments Due: View Received Comments Federal Register version (84 FR 67973)
34-87674
Dec. 6, 2019
SR-CboeEDGA-2019-011
Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee Comments Due: View Received Comments Federal Register version (84 FR 67981)
34-87676
Dec. 6, 2019
SR-CboeEDGA-2019-014
Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee Comments Due: View Received Comments Federal Register version (84 FR 67973)
34-87671
Dec. 5, 2019
SR-NYSE-2019-54
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Permit the Exchange To List and Trade Exchange Traded Products Comments Due: Federal Register version (84 FR 67763)
34-87655
Dec. 4, 2019
SR-LCHSA-2019-007
Notice of Filing of Proposed Rule Change Relating to Amendments to LCH SA's Liquidity Risk Modelling Framework Comments Due: Federal Register version (84 FR 67488)
34-87650
Dec. 3, 2019
SR-NYSECHX-2019-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc. Comments Due: Exhibit 5 Federal Register version (84 FR 67304)
34-87648
Dec. 3, 2019
SR-NASDAQ-2019-059
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Requirements for the Nasdaq Capital and Global Markets Applicable to Direct Listings Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (84 FR 67308)
34-87649
Dec. 3, 2019
SR-LCHSA-2019-011
Notice of Filing of Proposed Rule Change Relating to Amendments to CDS Clearing Supplement To Reflect the ISDA NTCE Protocol and Supplement Comments Due: Exhibit 5 Federal Register version (84 FR 67325)
34-87647
Dec. 3, 2019
SR-IEX-2019-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.380 To Expand the Exchange's Optional Aggregate Risk Controls Mechanism To Include a Net Notional Exposure Risk Check in Addition to the Gross Notional Exposure Risk Check Comments Due: Exhibit 5 Federal Register version (84 FR 67302)
34-87651
Dec. 3, 2019
SR-CboeBZX-2019-099
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow the Hartford Short Duration ETF To Hold Certain Fixed Income Instruments in a Manner That Does Not Comply With Rule 14.11(i) Comments Due: Federal Register version (84 FR 67327)
34-87643
Dec. 2, 2019
SR-Phlx-2019-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rule 507 Comments Due: Exhibit 5 Federal Register version (84 FR 66951)
34-87645
Dec. 2, 2019
SR-NYSE-2019-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 71 Comments Due: Exhibit 5 Federal Register version (84 FR 66953)
34-87646
Dec. 2, 2019
SR-C2-2019-025
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Updating Various C2 Rules and Chapters To Reflect Changes to the Cboe Options Rulebook Comments Due: Exhibit 5 Federal Register version (84 FR 66938)
34-87641
Nov. 29, 2019
SR-BOX-2019-19
Notice of Designation of Longer Period for Commission Action on a 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 Federal Register version (84 FR 66701)
34-87637
Nov. 27, 2019
SR-BOX-2019-33
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add IM-7620-1 (Sub-Penny Cabinet) To Allow Transactions To Take Place at a Price That is Below $1 per Option Contract Comments Due: Exhibit 5 Federal Register version (84 FR 66253)
34-87633
Nov. 26, 2019
SR-NYSEAMER-2019-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 960NY To Extend the Penny Pilot Comments Due: Exhibit 5 Federal Register version (84 FR 66251)
34-87632
Nov. 26, 2019
SR-BOX-2019-34
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7260 by Extending the Penny Pilot Program Through June 30, 2020 Comments Due: Exhibit 5 Federal Register version (84 FR 66255)
34-87608
Nov. 25, 2019
SR-EMERALD-2019-36
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (84 FR 66046)
34-87625
Nov. 25, 2019
SR-EMERALD-2019-29
Notice of Withdrawal of Proposed Rule Change To Amend its Options Regulatory Fee Federal Register version (84 FR 66051)
34-87618
Nov. 25, 2019
SR-NYSENAT-2019-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New NYSE National Rule 11.5190 Comments Due: Exhibit 5 Federal Register version (84 FR 66028)
34-87619
Nov. 25, 2019
SR-NYSENAT-2019-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Specify in Exchange Rules the Exchange's Use of Data Feeds From NYSE American LLC Comments Due: Exhibit 5 Federal Register version (84 FR 66042)
34-87620
Nov. 25, 2019
SR-NYSECHX-2019-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New NYSE Chicago Rule 11.5190 Comments Due: Exhibit 5 Federal Register version (84 FR 66034)
34-87610
Nov. 25, 2019
SR-NYSEARCA-2019-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 6.72-O To Extend the Penny Pilot Comments Due: Exhibit 5 Federal Register version (84 FR 66047)
34-87623
Nov. 25, 2019
SR-NYSEArca-2019-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E To Specify in Exchange Rules the Exchange's Use of Data Feeds From NYSE American LLC Comments Due: Exhibit 5 Federal Register version (84 FR 66044)
34-87609
Nov. 25, 2019
SR-PEARL-2019-34
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (84 FR 66032)
34-87617
Nov. 25, 2019
SR-PEARL-2019-23
Notice of Withdrawal of Proposed Rule Change To Amend its Options Regulatory Fee View Received Comments Federal Register version (84 FR 66033)
34-87606
Nov. 25, 2019
SR-MIAX-2019-47
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (84 FR 66030)
34-87621
Nov. 25, 2019
SR-MIAX-2019-35
Notice of Withdrawal of Proposed Rule Change To Amend Its Options Regulatory Fee Comments Due: View Received Comments Federal Register version (84 FR 66033)
34-87624
Nov. 25, 2019
SR-ICEEU-2019-026
Notice Relating to Amendments to the ICE Clear Europe Delivery Procedures Comments Due: Exhibit 5 Federal Register version (84 FR 66039)
34-87612
Nov. 25, 2019
SR-ICC-2019-013
Notice of Filing of Proposed Rule Change Relating to the ICC Clearing Rules Comments Due: Federal Register version (84 FR 66036)
34-87622
Nov. 25, 2019
SR-ICC-2019-010
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to the ICC Clearing Rules To Address Non-Default Losses Comments Due: View Received Comments Federal Register version (84 FR 66041)
34-87613
Nov. 25, 2019
SR-BOX-2019-24
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 7600 Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 66049)
34-87589
Nov. 22, 2019
SR-NYSEArca-2019-60
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 Thereto, 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 (84 FR 65862)
34-87588
Nov. 22, 2019
SR-NYSE-2019-62
Notice of Filing of Proposed Rule Change To Amend Article II, Section 2.03 of the Twelfth Amended and Restated Operating Agreement of the Exchange To Remove the Independence Requirement for the Director Elected by Exchange Membership Organizations Comments Due: Exhibit 5 Federal Register version (84 FR 65875)
34-87598
Nov. 22, 2019
4-518
Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS To Add the Long Term Stock Exchange, Inc. as a Participant Comments Due: Federal Register version (84 FR 65443)
34-87597
Nov. 22, 2019
4-533
Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add Long-Term Stock Exchange, Inc. as a Party Thereto Comments Due: View Received Comments Federal Register version (84 FR 65448)
34-87595
Nov. 22, 2019
4-698
Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail To Add Long-Term Stock Exchange LLC as a Participant Comments Due: View Received Comments Federal Register version (84 FR 65447)
34-87594
Nov. 22, 2019
S7-24-89
Notice of Filing and Immediate Effectiveness of the Forty-Sixth 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: Federal Register version (84 FR 65446)
34-87596
Nov. 22, 2019
SR-CTA/CQ-2019-03
Notice of Filing and Immediate Effectiveness of the Thirty-Second Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Third Substantive Amendment to the Restated CQ Plan Comments Due: Federal Register version (84 FR 65435)
34-87593
Nov. 22, 2019
SR-CboeEDGX-2019-070
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Subparagraph (a)(1) of Rule 11.1 To Allow the Exchange To Accept Market Orders With a Stop Price Entered Between 6:00 and 7:00 a.m. Eastern Time Comments Due: Exhibit 5 Federal Register version (84 FR 65851)
34-87592
Nov. 22, 2019
SR-CboeEDGA-2019-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Subparagraph (a)(1) of Rule 11.1 To Allow the Exchange To Accept Market Orders With a Stop Price Entered Between 6:00 and 7:00 a.m. Eastern Time Comments Due: Exhibit 5 Federal Register version (84 FR 65856)
34-87587
Nov. 22, 2019
SR-CboeBZX-2019-100
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove its Partial Post Only at Limit Order Type Comments Due: Exhibit 5 Federal Register version (84 FR 65878)
34-87600
Nov. 22, 2019
SR-CboeBZX-2019-098
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Paragraph (a) of Rule 11.1 To Allow the Exchange To Accept Stop Orders Entered Between 6:00 and 7:00 a.m. Eastern Time Comments Due: Exhibit 5 Federal Register version (84 FR 65872)
34-87602
Nov. 22, 2019
SR-CboeBYX-2019-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Paragraph (a) of Rule 11.1 To Allow the Exchange To Accept Stop Orders Entered Between 6:00 and 7:00 a.m. Eastern Time Comments Due: Exhibit 5 Federal Register version (84 FR 65854)
34-87590
Nov. 22, 2019
SR-CBOE-2019-109
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Financial Incentive Programs for Global Trading Hours Lead Market-Makers in VIX Comments Due: Exhibit 5 Federal Register version (84 FR 65859)
34-87580
Nov. 21, 2019
SR-NYSE-2019-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7.37 To Specify in Exchange Rules the Exchange's Source of Data Feeds From NYSE American LLC Comments Due: Exhibit 5 Federal Register version (84 FR 65444)
34-87583
Nov. 21, 2019
SR-MSRB-2019-13
Notice of Filing of a Proposed Rule Change To Amend the Information Facility of the MSRB's Electronic Municipal Market Access (EMMA) System Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 65436)
34-87581
Nov. 21, 2019
SR-CboeBZX-2019-076
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 Clearbridge Small Cap Value ETF Under Currently Proposed Rule 14.11(k) Comments Due: Federal Register version (84 FR 65434)
34-87575
Nov. 20, 2019
SR-NYSECHX-2019-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7.37 To Specify in Exchange Rules the Exchange's Source of Data Feeds From NYSE American LLC Comments Due: Exhibit 5 Federal Register version (84 FR 65200)
34-87578
Nov. 20, 2019
SR-IEX-2019-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Table in Rule 11.410(a) To Update the Market Data Source That the Exchange Will Use To Determine the Top of Book Quotation for NYSE Chicago, Inc. and To Amend Rules 2.220(a)(7) and 11.410(a) To Reflect the Name Change of Chicago Stock Exchange, Inc. to NYSE Chicago, Inc. Comments Due: Exhibit 5 Federal Register version (84 FR 65204)
34-87573
Nov. 19, 2019
SR-NYSECHX-2019-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Rules Relating to Order Audit Trail System Requirements Comments Due: Exhibit 5 Federal Register version (84 FR 64942)
34-87556
Nov. 18, 2019
SR-NYSEArca-2019-82
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Permitting the Listing and Trading of Shares of the Nationwide Risk-Managed Income ETF Under NYSE Arca Rule 8.600-E Comments Due: Federal Register version (84 FR 64589)
34-87559
Nov. 18, 2019
SR-NASDAQ-2019-090
Notice of Filing of a Proposed Rule Change To Adopt Nasdaq Rule 5704 and Other Related Amendments Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 64574)
34-87558
Nov. 18, 2019
SR-ICEEU-2019-025
Notice Relating to Amendments to the ICE Clear Europe Clearing Rules and General Contract Terms Comments Due: Exhibit 5 Federal Register version (84 FR 64602)
