34-87317
Oct. 16, 2019
SR-NYSEAMER-2019-42
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Certificate of Incorporation of Intercontinental Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (84 FR 56507)
34-87314
Oct. 16, 2019
SR-NYSENAT-2019-23
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Certificate of Incorporation of Intercontinental Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (84 FR 56489)
34-87318
Oct. 16, 2019
SR-NYSECHX-2019-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Intercontinental Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (84 FR 56511)
34-87313
Oct. 16, 2019
SR-NYSEArca-2019-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Intercontinental Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (84 FR 56504)
34-87322
Oct. 16, 2019
SR-NYSE-2019-55
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Certificate of Incorporation of Intercontinental Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (84 FR 56491)
34-87319
Oct. 16, 2019
SR-CBOE-2019-087
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Move Certain Rules in Chapter XXIII of the Currently Effective Rulebook to Proposed Section G of Chapter 4 of the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform Comments Due: Exhibit 5 Federal Register version (84 FR 56496)
34-87320
Oct. 16, 2019
SR-CBOE-2019-095
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Relocate Various Exchange Rules From the Currently Effective to the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform Comments Due: Exhibit 5 Federal Register version (84 FR 56501)
34-87321
Oct. 16, 2019
SR-CBOE-2019-089
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Move Certain Rules in Chapter XXIX of the Currently Effective Rulebook to Proposed Section E of Chapter 4 of the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform Comments Due: Exhibit 5 Federal Register version (84 FR 56509)
34-87301
Oct. 15, 2019
SR-NYSEArca-2019-39
Notice of Filing of Amendment No. 1 to Proposed Rule Change To Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and To List and Trade Shares of the United States Bitcoin and Treasury Investment Trust Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (84 FR 56219)
34-87308
Oct. 15, 2019
SR-PEARL-2019-31
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 (84 FR 56215)
34-87298
Oct. 15, 2019
SR-IEX-2019-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.280 To Extend the Pilot Period for the Market-Wide Circuit Breaker to the Close of Business on October 18, 2020 and To Clarify That the Remaining Parts of Rule 11.280 Are Not Subject to Any Pilot Period Comments Due: Exhibit 5 Federal Register version (84 FR 56255)
34-87297
Oct. 15, 2019
SR-ICC-2019-007
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 the ICC Rules, ICC End-of-Day Price Discovery Policies and Procedures, and ICC Risk Management Framework Comments Due: View Received Comments Federal Register version (84 FR 56270)
34-87300
Oct. 15, 2019
SR-CboeBZX-2019-023
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 Rule 14.11(c) (Index Fund Shares) To Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities Comments Due: View Received Comments Federal Register version (84 FR 56209)
34-87306
Oct. 15, 2019
SR-CboeBZX-2019-087
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Institute a Derived Data API Service Comments Due: Exhibit 5 Federal Register version (84 FR 56258)
34-87312
Oct. 15, 2019
SR-CboeBZX-2019-086
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: Exhibit 5 Federal Register version (84 FR 56235)
34-87299
Oct. 15, 2019
SR-CboeBYX-2019-016
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 BYX Rules 15.1(a) and (c) Comments Due: Federal Register version (84 FR 56231)
34-87305
Oct. 15, 2019
SR-CboeBYX-2019-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: Exhibit 5 Federal Register version (84 FR 56210)
34-87303
Oct. 15, 2019
SR-CBOE-2019-080
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 56276)
34-87304
Oct. 15, 2019
SR-CBOE-2019-082
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 5a , Exhibit 5b Federal Register version (84 FR 56240)
34-87309
Oct. 15, 2019
SR-CBOE-2019-085
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Move Certain Rules in Chapter XXVIII of the Currently Effective Rulebook to Proposed Section D of Chapter 4 of the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform Comments Due: Exhibit 5 Federal Register version (84 FR 56265)
34-87310
Oct. 15, 2019
SR-CBOE-2019-086
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Move Certain Rules in Chapter XXI of the Currently Effective Rulebook to Proposed Section F of Chapter 4 of the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform Comments Due: Exhibit 5 Federal Register version (84 FR 56263)
34-87311
Oct. 15, 2019
SR-CBOE-2019-049
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility Comments Due: View Received Comments Federal Register version (84 FR 56267)
34-87292
Oct. 11, 2019
SR-NYSEArca-2019-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges Comments Due: Exhibit 5 Federal Register version (84 FR 55603)
34-87293
Oct. 11, 2019
SR-CboeEDGX-2019-060
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Institute a Derived Data API Service Comments Due: Exhibit 5 Federal Register version (84 FR 55616)
34-87295
Oct. 11, 2019
SR-CboeEDGX-2019-059
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: Exhibit 5 Federal Register version (84 FR 55624)
34-87294
Oct. 11, 2019
SR-CboeEDGA-2019-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: Exhibit 5 Federal Register version (84 FR 55638)
34-87291
Oct. 11, 2019
SR-CBOE-2019-049
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility Comments Due: View Received Comments Federal Register version (84 FR 55643)
34-87287
Oct. 11, 2019
SR-BOX-2019-19
Notice of Filing of Proposed Rule Change Related To Adopt Rules To Govern 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 (84 FR 56022)
34-87277
Oct. 10, 2019
SR-NYSEArca-2019-60
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 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 55658)
34-87278
Oct. 10, 2019
SR-NYSEArca-2019-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Listing and Trading of Shares Under NYSE Arca Rule 8.600-E of the Overlay Shares Large Cap Equity ETF, Overlay Shares Small Cap Equity ETF, Overlay Shares Foreign Equity ETF, Overlay Shares Core Bond ETF and Overlay Shares Municipal Bond ETF Comments Due: Federal Register version (84 FR 55665)
34-87270
Oct. 10, 2019
SR-BX-2019-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Rules at Chapter VI, Section 6 Comments Due: Exhibit 5 Federal Register version (84 FR 55631)
34-87271
Oct. 10, 2019
SR-BX-2019-035
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees at Equity 7, Section 118(a) Comments Due: Exhibit 5 Federal Register version (84 FR 55621)
34-87276
Oct. 10, 2019
SR-NASDAQ-2019-084
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend The Nasdaq Options Market LLC ("NOM") Pricing Schedule at Options 7, Section 2 Comments Due: Exhibit 5 Federal Register version (84 FR 55644)
34-87279
Oct. 10, 2019
SR-PEARL-2019-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX PEARL Order Monitor Comments Due: Exhibit 5 Federal Register version (84 FR 55601)
34-87280
Oct. 10, 2019
SR-MIAX-2019-41
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Order Monitor Comments Due: Exhibit 5 Federal Register version (84 FR 55675)
34-87282
Oct. 10, 2019
SR-MIAX-2019-43
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 55658)
34-87275
Oct. 10, 2019
SR-ICEEU-2019-020
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ICE Clear Europe Clearing Rules and Procedures Comments Due: Exhibit 5-1 , Exhibit 5-2 , Exhibit 5-3 Federal Register version (84 FR 55649)
34-87286
Oct. 10, 2019
SR-CboeBZX-2019-076
Notice of Filing of 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 55608)
34-87272
Oct. 10, 2019
SR-CBOE-2019-090
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Move the Rules in Chapter V of the Currently Effective Rulebook to Proposed Section A of Chapter 4 of the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform Comments Due: Exhibit 5 Federal Register version (84 FR 55663)
34-87273
Oct. 10, 2019
SR-CBOE-2019-091
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Name of a Reporting Authority for Certain Indexes on Which the Exchange May List Options Comments Due: Federal Register version (84 FR 55671)
34-87274
Oct. 10, 2019
SR-CBOE-2019-098
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Appointment Weight Table in Rule 5.50 in the Shell Structure for the Exchange's Rulebook Comments Due: Exhibit 5 Federal Register version (84 FR 55656)
34-87264
Oct. 9, 2019
SR-NYSECHX-2019-08
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add Rules To Support the Transition of Trading to the Pillar Trading Platform Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 55345)
34-87262
Oct. 9, 2019
SR-NASDAQ-2019-082
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Nasdaq Options Market LLC Rules at Chapter VI and Chapter VII Comments Due: Exhibit 5 Federal Register version (84 FR 55355)
34-87261
Oct. 9, 2019
SR-CBOE-2019-096
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection With Business Conduct on the Exchange, and Move Those Rules From the Currently Effective Rulebook to Proposed Chapter 8 of the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges Comments Due: Exhibit 5 Federal Register version (84 FR 55351)
34-87265
Oct. 9, 2019
SR-CBOE-2019-083
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Financial Incentive Programs for Global Trading Hours Lead Market-Makers Comments Due: Exhibit 5 Federal Register version (84 FR 55366)
34-87266
Oct. 9, 2019
SR-BOX-2019-24
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 7600 Comments Due: View Received Comments Federal Register version (84 FR 55351)
34-87246
Oct. 8, 2019
SR-OCC-2019-007
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning a Proposed Capital Management Policy That Would Support the Options Clearing Corporation's Function as a Systemically Important Financial Market Utility Comments Due: View Received Comments Federal Register version (84 FR 55189)
34-87257
Oct. 8, 2019
SR-OCC-2019-805
Notice of Filing of Partial Amendment No. 1 and Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 1, Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility Comments Due: Federal Register version (84 FR 55194)
34-87255
Oct. 8, 2019
SR-MSRB-2019-10
Notice of Filing of Amendment No. 1 to Proposed Rule Change to Amend and Restate the MSRB's August 2, 2012 Interpretive Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities Comments Due: View Received Comments Exhibit 4 , Exhibit 5
34-87249
Oct. 8, 2019
SR-CBOE-2019-076
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 55203)
34-87254
Oct. 8, 2019
SR-CBOE-2019-078
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 55201)
34-87243
Oct. 7, 2019
SR-CboeBZX-2019-084
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of Shares of the FT Cboe Vest U.S. Equity Buffer ETFs and the FT Cboe Vest U.S. Equity Deep Buffer ETFs Under the First Trust Exchange-Traded Fund VIII Comments Due: Federal Register version (84 FR 54935)
34-87231
Oct. 4, 2019
SR-GEMX-2019-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Rulebook and By-Laws Comments Due: Exhibit 5 Federal Register version (84 FR 54655)
34-87230
Oct. 4, 2019
SR-NASDAQ-2019-061
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Nasdaq Official Closing Price for Nasdaq-Listed Exchange-Traded Products Comments Due: View Received Comments Federal Register version (84 FR 54714)
34-87233
Oct. 4, 2019
SR-PEARL-2019-27
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 (84 FR 54692)
34-87225
Oct. 4, 2019
SR-ICC-2019-010
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Amendments to the ICC Clearing Rules To Address Non-Default Losses Comments Due: View Received Comments Federal Register version (84 FR 54712)
34-87232
Oct. 4, 2019
SR-FINRA-2019-008
Notice of Filing of Amendment No. 2 to a Proposed Rule Change To Establish a Corporate Bond New Issue Reference Data Service and Designation of a 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 Establish a Corporate Bond New Issue Reference Data Service Comments Due: Federal Register version (84 FR 54712)
34-87234
Oct. 4, 2019
SR-FICC-2019-801
Notice of No Objection to Advance Notice to Amend the GSD Rulebook to Establish a Process to Address Liquidity Needs in Certain Situations in the GCF Repo and CCIT Services and Make Other Changes Comments Due: Federal Register version (84 FR 54695)
34-87224
Oct. 4, 2019
SR-CBOE-2019-081
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection Generally With Options Trading on the Exchange, Including Those Regarding Trading Halts and the Plan To Address Extraordinary Market Volatility, and Move Those Rules From the Currently Effective Rulebook to the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges Comments Due: Exhibit 5 Federal Register version (84 FR 54652)
34-87227
Oct. 4, 2019
SR-CBOE-2019-067
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move Rule 10.2 and the Rules in Chapter XVI of the Currently Effective Rulebook, Which Governs the Summary Suspension of Trading Permit Holders, to Proposed Chapter 12 of the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges Comments Due: Exhibit 5 Federal Register version (84 FR 54700)
34-87228
Oct. 4, 2019
SR-CBOE-2019-070
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With Market-Makers in the Shell Rulebook Comments Due: Exhibit 5 Federal Register version (84 FR 54702)
34-87229
Oct. 4, 2019
SR-CBOE-2019-088
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection With Trading Permit Holder Registration and With Doing Business With the Public, and Move Those Rules From the Currently Effective Rulebook to Proposed Chapter 9 and, in Part, Chapter 3 of the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges Comments Due: Exhibit 5 Federal Register version (84 FR 54704)
34-87235
Oct. 4, 2019
SR-CBOE-2019-084
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Rules Regarding the Trading of Flexible Exchange Options, and Move Those Rules From the Currently Effective Rulebook to the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges Comments Due: Exhibit 5 Federal Register version (84 FR 54671)
34-87237
Oct. 4, 2019
SR-CBOE-2019-093
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Rules Regarding the Automated Improvement Mechanism and Solicitation Auction Mechanism for Flexible Exchange Options, and Move Those Rules From the Currently Effective Rulebook to the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges Comments Due: Exhibit 5 Federal Register version (84 FR 54659)
34-87206
Oct. 3, 2019
SR-Phlx-2019-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 133 Comments Due: Exhibit 5 Federal Register version (84 FR 54234)
34-87211
Oct. 3, 2019
SR-Phlx-2019-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's Second Amended Limited Liability Company Agreement and By-Laws Comments Due: Exhibit 5 Federal Register version (84 FR 54210)
34-87207
Oct. 3, 2019
SR-OCC-2019-008
Notice of Filing of Proposed Rule Change To Establish a Regulatory Committee of The Options Clearing Corporation's Board of Directors Comments Due: Exhibit 5a , Exhibit 5b , Exhibit 5c , Exhibit 5a , Exhibit 5b , Exhibit 5c Federal Register version (84 FR 54239)
34-87208
Oct. 3, 2019
SR-BX-2019-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 4121 Comments Due: Exhibit 5 Federal Register version (84 FR 54213)
34-87213
Oct. 3, 2019
SR-BX-2019-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX's By-Laws Comments Due: Exhibit 5 Federal Register version (84 FR 54215)
34-87219
Oct. 3, 2019
SR-NASDAQ-2019-081
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Constitutional Documents Comments Due: Exhibit 5 Federal Register version (84 FR 54198)
34-87222
Oct. 3, 2019
SR-MRX-2019-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Rulebook and By-Laws Comments Due: Exhibit 5 Federal Register version (84 FR 54201)
34-87209
Oct. 3, 2019
SR-PEARL-2019-26
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 (84 FR 54205)
34-87221
Oct. 3, 2019
SR-LTSE-2019-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Make the Exchange a Display-Only Market by Removing References to Non-Displayed and Reserve Orders Comments Due: Exhibit 5 Federal Register version (84 FR 54195)
34-87214
Oct. 3, 2019
SR-ISE-2019-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE's Rulebook and By-Laws Comments Due: Exhibit 5 Federal Register version (84 FR 54227)
34-87205
Oct. 3, 2019
SR-FINRA-2019-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7620B To Modify the Trade Reporting Fees Applicable to Participants That Use the FINRA/NYSE Trade Reporting Facility Comments Due: Exhibit 5 Federal Register version (84 FR 54219)
34-87210
Oct. 3, 2019
SR-CBOE-2019-068
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move the Rules in Chapter XVII, Which Governs Exchange Disciplinary Procedures, of the Current Rulebook to Proposed Chapter 13 of the Shell Rulebook Comments Due: Exhibit 5 Federal Register version (84 FR 54190)
34-87215
Oct. 3, 2019
SR-CBOE-2019-071
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection With the Post-Transaction Process on the Exchange, and Move Those Rules From the Current Rulebook to Proposed Chapter 6 of the Shell Rulebook Comments Due: Exhibit 5 Federal Register version (84 FR 54236)
34-87216
Oct. 3, 2019
SR-CBOE-2019-073
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection With Regulatory Reports, Records, and Audits on the Exchange, and Move Those Rules From the Currently Effective Rulebook to Proposed Chapter 7 of the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges Comments Due: Exhibit 5 Federal Register version (84 FR 54231)
34-87198
Oct. 2, 2019
SR-NASDAQ-2019-064
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 Certain Cutoff Times for On-Close Orders Entered for Participation in the Nasdaq Closing Cross and Adopt a Second Reference Price for Limit-On-Close Orders Comments Due: View Received Comments Federal Register version (84 FR 53783)
34-87184
Oct. 1, 2019
SR-NYSEAMER-2019-35
Notice of Withdrawal of Proposed Rule Change To Amend the NYSE American Options Fee Schedule To Revise the Options Regulatory Fee Federal Register version (84 FR 53506)
34-87185
Oct. 1, 2019
SR-NYSEArca-2019-64
Notice of Withdrawal of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Revise the Options Regulatory Fee Comments Due: View Received Comments Federal Register version (84 FR 53506)
34-87180
Oct. 1, 2019
SR-GEMX-2019-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Submission of Quotes and Orders Comments Due: Exhibit 5 Federal Register version (84 FR 53497)
34-87179
Oct. 1, 2019
SR-NASDAQ-2019-075
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Further Delay Implementation of the Early Order Imbalance Indicator Functionality Comments Due: Federal Register version (84 FR 53787)
34-87186
Oct. 1, 2019
SR-NASDAQ-2019-080
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Fees for the MIDP Routing Option Comments Due: Exhibit 5 Federal Register version (84 FR 53504)
34-87191
Oct. 1, 2019
SR-NASDAQ-2019-079
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the First Trust Low Duration Opportunities ETF Comments Due: Federal Register version (84 FR 53542)
34-87182
Oct. 1, 2019
SR-MRX-2019-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Several Sections of Options 3 Comments Due: Exhibit 5 Federal Register version (84 FR 53534)
34-87181
Oct. 1, 2019
SR-ISE-2019-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Submission of Quotes and Orders Comments Due: Exhibit 5 Federal Register version (84 FR 53489)
34-87183
Oct. 1, 2019
SR-CBOE-2019-065
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Move the Rules in Chapter XVIII, Which Governs Exchange Arbitrations, of the Currently Effective Rulebook to Proposed Chapter 14 of the Shell Structure for the Exchange's Rulebook Comments Due: Exhibit 5 Federal Register version (84 FR 53548)
34-87187
Oct. 1, 2019
SR-CBOE-2019-072
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates to and Relocate Chapter XIX, Which Governs the Hearings and Review Process for Persons Aggrieved by Exchange Action, of the Currently Effective Rulebook, to Proposed Chapter 15 of the Shell Structure for the Exchange's Rulebook Comments Due: Exhibit 5 Federal Register version (84 FR 53487)
34-87188
Oct. 1, 2019
SR-CBOE-2019-066
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move the Rules in Chapter XIII of the Currently Effective Rulebook, Which Governs Net Capital Requirements, to Proposed Chapter 11 of the Shell Structure for the Exchange's Rulebook Comments Due: Exhibit 5 Federal Register version (84 FR 53480)
34-87189
Oct. 1, 2019
SR-CBOE-2019-069
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move the Rules in Chapter XII, Which Governs Margin Requirements, of the Currently Effective Rulebook to Proposed Chapter 10 of the Shell Structure for the Exchange's Rulebook Comments Due: Exhibit 5 Federal Register version (84 FR 53520)
34-87192
Oct. 1, 2019
SR-CBOE-2019-063
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Solicitation Auction Mechanism ("SAM" or "SAM Auction") Comments Due: Exhibit 5 Federal Register version (84 FR 53525)
34-87194
Oct. 1, 2019
SR-CBOE-2019-064
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rule Regarding How Complex Orders Are Processed Through the Solicitation Auction Mechanism ("C-SAM" or "C-SAM Auction"), and Move That Rule From the Currently Effective Rulebook to the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges Comments Due: Exhibit 5 Federal Register version (84 FR 53509)
34-87153
Sept. 30, 2019
SR-NYSEArca-2019-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange Retail Liquidity Program Until October 31, 2019 Comments Due: Exhibit 5 Federal Register version (84 FR 53188)
34-87160
Sept. 30, 2019
SR-NASDAQ-2019-078
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Protocol "Ouch To Trade Options" Comments Due: Exhibit 5 Federal Register version (84 FR 53186)
34-87149
Sept. 27, 2019
4-698
Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., BOX Options Exchange LLC, Cboe C2 Options Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC, Miami International Securities Exchange, LLC, MIAX EMERALD, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE American, LLC, NYSE Chicago, Inc. and NYSE National, Inc. Comments Due: View Received Comments Federal Register version (84 FR 52905)
34-87109
Sept. 25, 2019
SR-Phlx-2019-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule, at Equity 7, Section 3 Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 52150)
34-87090
Sept. 24, 2019
SR-NYSEAMER-2019-27
Notice of Withdrawal of Proposed Rule Change To Amend the NYSE American Options Fee Schedule To Modify the Options Regulatory Fee Federal Register version (84 FR 51668)
34-87073
Sept. 24, 2019
SR-Phlx-2019-37
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Pricing of a Technology Infrastructure Migration Comments Due: Exhibit 5 Federal Register version (84 FR 51705)
34-87094
Sept. 24, 2019
SR-Phlx-2019-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule, at Equity 7, Section 3 Comments Due: Exhibit 5 Federal Register version (84 FR 51681)
