34-87557
Nov. 18, 2019
SR-FINRA-2019-027
Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 12000 Series To Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive Comments Due: View Received Comments Federal Register version (84 FR 64581)
34-87560
Nov. 18, 2019
SR-CboeBZX-2019-097
Notice of Filing of a Proposed Rule Change To Adopt BZX Rule 14.11(l) To Permit the Listing and Trading of Exchange-Traded Fund Shares That Are Permitted To Operate in Reliance on Rule 6c-11 Under the Investment Company Act of 1940 Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 64607)
34-87561
Nov. 18, 2019
SR-CboeBZX-2019-096
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check in Rule 21.17 as it Applies To Stop Limit Orders Comments Due: Exhibit 5 Federal Register version (84 FR 64600)
34-87562
Nov. 18, 2019
SR-C2-2019-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check in Rule 6.14 as It Applies to Stop-Limit Orders Comments Due: Exhibit 5 Federal Register version (84 FR 64605)
34-87548
Nov. 15, 2019
SR-NYSEAMER-2019-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7.37E Regarding the Exchange's Use of Data Feeds From NYSE Chicago, Inc. and Amend Exchange Rule 7.45E To Reflect That Archipelago Securities LLC Would Function as a Routing Broker for NYSE Chicago, Inc. Comments Due: Exhibit 5 Federal Register version (84 FR 64384)
34-87550
Nov. 15, 2019
SR-NYSEAMER-2019-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules 1.1E and 7.29E To Eliminate the Delay Mechanism and Amend Exchange Rule 7.31E and Related Exchange Rules To Re-Introduce Previously-Approved Order Types and Modifiers Comments Due: Exhibit 5 Federal Register version (84 FR 64359)
34-87555
Nov. 15, 2019
SR-NYSEAMER-2019-49
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Annual Listing Fees for Equity Securities Comments Due: Exhibit 5 Federal Register version (84 FR 64377)
34-87551
Nov. 15, 2019
SR-NYSE-2019-58
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Offer New Credits and Rebates Comments Due: Exhibit 5 Federal Register version (84 FR 64363)
34-87552
Nov. 15, 2019
SR-NYSE-2019-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Revise the Step Up Tier 2 Adding Credit in Tape A Securities Comments Due: Exhibit 5 Federal Register version (84 FR 64381)
34-87554
Nov. 15, 2019
SR-NYSE-2019-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Proprietary Market Data Fee Schedule Regarding the NYSE Best Quote and Trades Market Data Feed Comments Due: Exhibit 5 Federal Register version (84 FR 64386)
34-87549
Nov. 15, 2019
SR-ICC-2019-012
Notice of Filing of Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures Comments Due: Federal Register version (84 FR 64379)
34-87545
Nov. 15, 2019
SR-CboeEDGA-2019-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 64370)
34-87547
Nov. 15, 2019
SR-CboeBZX-2019-095
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of the Final Last Sale Eligible Trade Comments Due: Exhibit 5 Federal Register version (84 FR 64375)
34-87546
Nov. 15, 2019
SR-CBOE-2019-105
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 64368)
34-87537
Nov. 14, 2019
SR-Phlx-2019-48
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Customer Rebate Program Comments Due: Exhibit 5 Federal Register version (84 FR 64136)
34-87541
Nov. 14, 2019
SR-NYSECHX-2019-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule of NYSE Chicago, Inc. in Connection With the Exchange's Transition to Trading to the Pillar Trading Platform Comments Due: Exhibit 5 Federal Register version (84 FR 64160)
34-87542
Nov. 14, 2019
SR-NYSEArca-2019-81
Notice of Filing of Proposed Rule Change To Establish Generic Listing Standards for Derivative Securities Products That Are Permitted To Operate in Reliance on Rule 6c-11 Under the Investment Company Act of 1940 Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 64170)
34-87538
Nov. 14, 2019
SR-NASDAQ-2019-087
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain Annual Listing Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 64168)
34-87536
Nov. 14, 2019
SR-LCHSA-2019-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to LCH SA's Fee Grid for Non Cash Collateral Comments Due: Exhibit 5 Federal Register version (84 FR 64125)
34-87540
Nov. 14, 2019
SR-FINRA-2019-028
Notice of Filing of a Proposed Rule Change To Allow FINRA To Publish or Distribute Aggregated Transaction Information and Statistics on U.S. Treasury Securities Comments Due: Exhibit 5 Federal Register version (84 FR 64147)
34-87539
Nov. 14, 2019
SR-CboeBYX-2019-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 64149)
34-87543
Nov. 14, 2019
SR-CboeBYX-2019-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BYX Equities Trading Platform as it Relates to Pricing for Orders Routed to Cboe EDGA Exchange, Inc. Using the ALLB, TRIM, or SLIM Routing Strategy Comments Due: Exhibit 5 Federal Register version (84 FR 64164)
34-87513
Nov. 13, 2019
SR-NYSEAMER-2019-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31E To Delete Cross Orders Comments Due: Exhibit 5 Federal Register version (84 FR 63948)
34-87517
Nov. 13, 2019
SR-Phlx-2019-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Rule Text From Phlx Rule 1101A Comments Due: Exhibit 5 Federal Register version (84 FR 63910)
34-87518
Nov. 13, 2019
SR-NYSENAT-2019-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31 to Delete Cross Orders Comments Due: Exhibit 5 Federal Register version (84 FR 63940)
34-87514
Nov. 13, 2019
SR-NYSEArca-2019-78
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Innovator PTAM Core Bond ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (84 FR 63929)
34-87519
Nov. 13, 2019
SR-NYSEARCA-2019-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E To Delete Cross Orders Comments Due: Exhibit 5 Federal Register version (84 FR 63917)
34-87522
Nov. 13, 2019
SR-LCHSA-2019-009
Notice of Filing of Proposed Rule Change Relating to Amendments to CDSClear Reference Guide To Allow Index Basis Packages Margining Comments Due: Federal Register version (84 FR 63912)
34-87526
Nov. 13, 2019
SR-DTC-2019-009
Notice of Filing of Proposed Rule Change To Amend the Redemptions Guide Relating to the Call Lottery Process for Partial Redemptions Comments Due: Exhibit 5 Federal Register version (84 FR 63915)
34-87512
Nov. 13, 2019
SR-CboeEDGX-2019-069
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check in Rule 21.17 as it Applies To Stop Limit Orders Comments Due: Exhibit 5 Federal Register version (84 FR 63907)
34-87520
Nov. 13, 2019
SR-CboeEDGX-2019-067
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to the EDGX Equities Trading Platform as It Relates to Pricing for Orders Routed to Cboe EDGA Exchange, Inc. Using the ALLB, ROUC, ROUE, or DIRC Routing Strategy Comments Due: Exhibit 5 Federal Register version (84 FR 63942)
34-87521
Nov. 13, 2019
SR-CboeBZX-2019-094
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BZX Equities Trading Platform as it Relates to Pricing for Orders Routed to Cboe EDGA Exchange, Inc. Using the ALLB, TRIM, or SLIM Routing Strategy Comments Due: Exhibit 5 Federal Register version (84 FR 63927)
34-87515
Nov. 13, 2019
SR-CBOE-2019-108
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options ("FLEX Options") PM Exercise Settlement Pilot Program for FLEX Index Options Comments Due: View Received Comments Federal Register version (84 FR 63945)
34-87516
Nov. 13, 2019
SR-BOX-2019-32
Notice of Filing and Immediate Effectiveness of a 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 Exhibit 5 Federal Register version (84 FR 63919)
34-87511
Nov. 12, 2019
SR-NYSE-2019-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Content of the NYSE Best Quote & Trades Data Feed To Include Data Feeds From NYSE Chicago BBO and Trades Comments Due: Federal Register version (84 FR 63689)
34-87501
Nov. 12, 2019
SR-ICEEU-2019-024
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Business Continuity Procedures (the "Business Continuity Procedures") Comments Due: Exhibit 5 Federal Register version (84 FR 64116)
34-87502
Nov. 12, 2019
SR-ICC-2019-011
Notice Relating to the ICC Default Auction Procedures-Initial Default Auctions and the ICC Secondary Auction Procedures Comments Due: Exhibit 5 Federal Register version (84 FR 63693)
34-87498
Nov. 12, 2019
SR-CboeEDGX-2019-029
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove 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 63688)
34-87508
Nov. 12, 2019
SR-CboeEDGX-2019-051
Notice of Withdrawal of Proposed Rule Change To Amend the Cboe EDGX Exchange, Inc. Fee Schedule To Modify the Options Regulatory Fee Comments Due: View Received Comments Federal Register version (84 FR 63700)
34-87497
Nov. 12, 2019
SR-CboeEDGA-2019-011
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove 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 63688)
34-87500
Nov. 12, 2019
SR-CboeBZX-2019-041
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove 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 63700)
34-87510
Nov. 12, 2019
SR-CboeBZX-2019-044
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove 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 (84 FR 63699)
34-87499
Nov. 12, 2019
SR-CboeBYX-2019-009
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove 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 63698)
34-87505
Nov. 12, 2019
SR-CBOE-2019-040
Notice of Withdrawal of Proposed Rule Change To Amend the Cboe Exchange, Inc. Fee Schedule To Modify the Options Regulatory Fee Comments Due: View Received Comments Federal Register version (84 FR 63699)
34-87506
Nov. 12, 2019
SR-C2-2019-018
Notice of Withdrawal of Proposed Rule Change To Amend the Cboe C2 Exchange, Inc. Fee Schedule To Modify the Options Regulatory Fee Comments Due: View Received Comments Federal Register version (84 FR 63689)
34-87495
Nov. 8, 2019
SR-CBOE-2019-106
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule in Connection With Migration Comments Due: Exhibit 5 Federal Register version (84 FR 63701)
34-87496
Nov. 8, 2019
SR-CBOE-2019-103
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule To Waive Fees Relating to Printing Comments Due: Exhibit 5 Federal Register version (84 FR 63696)
34-87489
Nov. 7, 2019
SR-Phlx-2019-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3304(a) Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 61946)
34-87490
Nov. 7, 2019
SR-NYSENAT-2019-25
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 Chicago, Inc. Comments Due: Federal Register version (84 FR 61954)
34-87488
Nov. 7, 2019
SR-NYSEArca-2019-79
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 Chicago, Inc. Comments Due: Federal Register version (84 FR 61951)
34-87487
Nov. 7, 2019
SR-BX-2019-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4759 Comments Due: Exhibit 5 Federal Register version (84 FR 61956)
34-87486
Nov. 7, 2019
SR-NASDAQ-2019-061
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Nasdaq Official Closing Price for Nasdaq-Listed Exchange-Traded Products Comments Due: View Received Comments Federal Register version (84 FR 61952)
34-87491
Nov. 7, 2019
SR-NASDAQ-2019-088
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4759 Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 61944)
34-87475
Nov. 6, 2019
SR-OCC-2019-806
Notice of Filing of 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 61120)
34-87476
Nov. 6, 2019
SR-OCC-2019-807
Notice of Filing of 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 61114)
34-87481
Nov. 6, 2019
SR-NYSE-2019-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rule 7.37 To Specify the Exchange's Use of Data Feeds from NYSE Chicago, Inc. Comments Due: Exhibit 5 Federal Register version (84 FR 61958)
34-87478
Nov. 6, 2019
SR-MSRB-2019-10
Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (84 FR 61660)
34-87474
Nov. 6, 2019
SR-DTC-2019-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change in Connection With Changes to the Account Structure of Euroclear Bank at The Depository Trust Company Comments Due: Exhibit 5 Federal Register version (84 FR 61670)
34-87468
Nov. 5, 2019
SR-BX-2019-039
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Rules From its Current Rulebook Into its New Rulebook Shell Comments Due: Exhibit 5 Federal Register version (84 FR 61091)
34-87470
Nov. 5, 2019
SR-FINRA-2019-022
Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions) Comments Due: Federal Register version (84 FR 61102)
34-87460
Nov. 5, 2019
SR-CboeEDGX-2019-066
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for a New Data Product on its Equity Options Platform ("EDGX Options") To Be Known as Open-Close Data Comments Due: Exhibit 5 Federal Register version (84 FR 61110)
34-87469
Nov. 5, 2019
SR-CboeEDGX-2019-068
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Adopt a New Type of Tier Related to Automated Improvement Mechanism Customer Volume Comments Due: Exhibit 5 Federal Register version (84 FR 61084)
34-87461
Nov. 5, 2019
SR-CboeBZX-2019-093
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Fees for a New Data Product on Its Equity Options Platform ("BZX Options") To Be Known as Open-Close Data Comments Due: Exhibit 5 Federal Register version (84 FR 61088)
34-87462
Nov. 5, 2019
SR-CBOE-2019-104
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Nonstandard Expirations Pilot Program Comments Due: Federal Register version (84 FR 61108)
34-87464
Nov. 5, 2019
SR-CBOE-2019-107
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of its SPXPM Pilot Program Comments Due: Federal Register version (84 FR 61099)
34-87463
Nov. 5, 2019
SR-C2-2019-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as Open-Close Data and To Adopt Fees for Such Product Comments Due: Exhibit 5 Federal Register version (84 FR 61129)
34-87450
Nov. 4, 2019
SR-ICEEU-2019-023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Revised Clearing Fees Comments Due: Exhibit 5 Federal Register version (84 FR 60464)
34-87455
Nov. 4, 2019
SR-CBOE-2019-102
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check in Rule 5.34 as It Applies to Stop-Limit Orders Comments Due: Exhibit 5 Federal Register version (84 FR 60461)
34-87442
Nov. 1, 2019
SR-NYSEAMER-2019-41
Notice of Filing of Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange Comments Due: Exhibit 5 Federal Register version (84 FR 60125)
34-87444
Nov. 1, 2019
SR-NYSEAMER-2019-38
Notice of Filing of Proposed Rule Change To Allow Certain Flexible Exchange Equity Options To Be Cash Settled Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 60120)
34-87443
Nov. 1, 2019
SR-NYSEArca-2019-71
Notice of Filing of Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange Comments Due: Exhibit 5 Federal Register version (84 FR 60128)
34-87445
Nov. 1, 2019
SR-NASDAQ-2019-060
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 Amend Rules 4120 and 4753 Comments Due: View Received Comments Federal Register version (84 FR 60130)
34-87440
Nov. 1, 2019
SR-MIAX-2019-45
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders Comments Due: Exhibit 5 Federal Register version (84 FR 60117)
34-87441
Nov. 1, 2019
SR-FINRA-2019-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 Comments Due: Federal Register version (84 FR 60132)
34-87433
Oct. 31, 2019
SR-EMERALD-2019-35
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: View Received Comments Exhibit 3 , Exhibit 5 Federal Register version (84 FR 59878)
34-87434
Oct. 31, 2019
SR-NYSEArca-2019-12
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the iShares Commodity Curve Carry Strategy ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (84 FR 59849)
34-87437
Oct. 31, 2019
SR-NYSEArca-2019-62
Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Innovator MSCI EAFE Power Buffer ETFs and Innovator MSCI Emerging Markets Power Buffer ETFs, Series of the Innovator ETFs Trust, Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (84 FR 59900)
34-87432
Oct. 31, 2019
SR-PEARL-2019-33
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule Comments Due: View Received Comments Exhibit 3 , Exhibit 5 Federal Register version (84 FR 59889)
34-87431
Oct. 31, 2019
SR-MIAX-2019-46
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: View Received Comments Exhibit 3 , Exhibit 5 Federal Register version (84 FR 59855)
34-87435
Oct. 31, 2019
SR-CboeEDGX-2019-064
Notice of Filing of a Proposed Rule Change To Adopt Rule 21.23 (Complex Solicitation Auction Mechanism) Comments Due: Exhibit 5 Federal Register version (84 FR 59866)
34-87422
Oct. 30, 2019
SR-NYSECHX-2019-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Eliminate Market Data Revenue Rebates Comments Due: Exhibit 5 Federal Register version (84 FR 59663)
34-87423
Oct. 30, 2019
SR-MSRB-2019-12
Notice of Filing and Immediate Effectiveness of Revisions to the Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination Comments Due: Exhibit 3a Federal Register version (84 FR 59666)
34-87413
Oct. 29, 2019
SR-GEMX-2019-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17, the Exchange's Kill Switch Risk Protection Comments Due: Exhibit 5 Federal Register version (84 FR 59428)
34-87414
Oct. 29, 2019
SR-MRX-2019-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17, the Exchange's Kill Switch Risk Protection Comments Due: Exhibit 5 Federal Register version (84 FR 59432)
34-87412
Oct. 29, 2019
SR-ISE-2019-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17, the Exchange's Kill Switch Risk Protection Comments Due: Exhibit 5 Federal Register version (84 FR 59423)
34-87404
Oct. 28, 2019
SR-NYSEAMER-2019-43
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 58772)
34-87408
Oct. 28, 2019
SR-NYSECHX-2019-12
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 58778)
34-87409
Oct. 28, 2019
SR-NYSEArca-2019-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Permitting the Continued Listing and Trading of the WisdomTree Emerging Markets Multifactor Fund and the WisdomTree International Multifactor Fund Comments Due: Federal Register version (84 FR 58763)
34-87410
Oct. 28, 2019
SR-NYSEArca-2019-33
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Regarding Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF Comments Due: View Received Comments Federal Register version (84 FR 58750)
34-87407
Oct. 28, 2019
SR-FINRA-2019-012
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 FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) To Make Substantive, Organizational and Terminology Changes, as Modified by Partial Amendment No. 1 Comments Due: Federal Register version (84 FR 58794)
34-87403
Oct. 25, 2019
SR-Phlx-2019-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rule 1097 Comments Due: Exhibit 5 Federal Register version (84 FR 58420)
34-87401
Oct. 24, 2019
SR-NYSEAMER-2019-34
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Equities and Options Fee Schedules Related to Co-Location Services To Offer Access to a Network Providing Connection to the Three Equities and Options Feeds Comments Due: Federal Register version (84 FR 58188)
34-87402
Oct. 24, 2019
SR-NYSENAT-2019-19
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services To Offer Access to a Network Providing Connection to the Three Equities and Options Feeds Comments Due: View Received Comments Federal Register version (84 FR 58187)
34-87400
Oct. 24, 2019
SR-NYSEArca-2019-61
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Options and Equities Fee Schedules Related to Co-Location Services To Offer Access to a Network Providing Connection to the Three Equities and Options Feeds Comments Due: View Received Comments Federal Register version (84 FR 58189)
34-87399
Oct. 24, 2019
SR-NYSE-2019-46
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services To Offer Access to a Network Providing Connection to the Three Equities and Options Feeds Comments Due: View Received Comments Federal Register version (84 FR 58189)
34-87392
Oct. 24, 2019
SR-NSCC-2019-003
Notice of Filing of Proposed Rule Change To Require Confirmation of Cybersecurity Program Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (84 FR 58183)
34-87394
Oct. 24, 2019
SR-FICC-2019-005
Notice of Filing of Proposed Rule Change To Require Confirmation of Cybersecurity Program Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (84 FR 58194)
34-87393
Oct. 24, 2019
SR-DTC-2019-008
Notice of Filing of Proposed Rule Change To Require Confirmation of Cybersecurity Program Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (84 FR 58189)
34-87386
Oct. 23, 2019
SR-OCC-2019-009
Notice of Filing of Proposed Rule Change Related to Proposed Changes to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology Comments Due: Exhibit 5a , Exhibit 5a Federal Register version (84 FR 57911)
34-87387
Oct. 23, 2019
SR-OCC-2019-010
Notice of Filing of Proposed Rule Change 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: Exhibit 5a , Exhibit 5a Federal Register version (84 FR 57890)
