34-86774
Aug. 27, 2019
SR-NASDAQ-2019-065
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct and Clarify Rules 4702(b)(3)(B), 4702(b)(5)(B), and 4703(d) Comments Due: Exhibit 5 Federal Register version (84 FR 46075)
34-86776
Aug. 27, 2019
SR-CboeEDGX-2019-053
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 21.20 and 21.22 in Connection With Stock-Options Orders Comments Due: Exhibit 5 Federal Register version (84 FR 46057)
34-86773
Aug. 27, 2019
SR-CboeBZX-2019-077
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the Innovator S&P 500 Total Buffer ETF Series Under the Innovator ETFs Trust, Under Rule 14.11(i) Comments Due: Federal Register version (84 FR 46051)
34-86772
Aug. 27, 2019
SR-CBOE-2019-042
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules Related to How the System Handles Incoming Orders and Open Outcry Trading in Connection With 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 46069)
34-86765
Aug. 26, 2019
SR-CBOE-2019-047
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Fees Schedule Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 45812)
34-86766
Aug. 26, 2019
SR-CBOE-2019-046
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning End-of-Month and End-of-Day Indicative Values Comments Due: Exhibit 5 Federal Register version (84 FR 45807)
34-86752
Aug. 23, 2019
SR-NYSEArca-2019-60
Notice of Filing of Proposed Rule Change 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 45557)
34-86753
Aug. 23, 2019
SR-ICEEU-2019-015
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ICE Clear Europe Clearing Rules and Procedures Comments Due: Exhibit 5 Federal Register version (84 FR 45568)
34-86745
Aug. 23, 2019
SR-FICC-2019-004
Notice of Filing of Proposed Rule Change 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: Exhibit 5 Federal Register version (84 FR 45608)
34-86743
Aug. 23, 2019
SR-CboeEDGX-2019-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to EDGX Rules 15.1(a) and (c) Comments Due: Exhibit 5 Federal Register version (84 FR 45606)
34-86742
Aug. 23, 2019
SR-CboeBYX-2019-014
Notice of Filing of a Proposed Rule Change To Make Permanent Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program Comments Due: Exhibit 5 Federal Register version (84 FR 45575)
34-86744
Aug. 23, 2019
SR-CBOE-2019-049
Notice of Filing of a Proposed Rule Change Relating 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 Exhibit 5 Federal Register version (84 FR 45565)
34-86728
Aug. 22, 2019
SR-ICC-2019-009
Notice Relating to ICC's Treasury Operations Policies and Procedures Comments Due: Federal Register version (84 FR 45182)
34-86729
Aug. 22, 2019
SR-ICC-2019-010
Notice Relating to the ICC Clearing Rules Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 45191)
34-86725
Aug. 21, 2019
SR-OCC-2019-007
Notice of Filing of 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 Exhibit 3g , Exhibit 5b , Exhibit 5c , Exhibit 3g , Exhibit 5b , Exhibit 5c Federal Register version (84 FR 44944)
34-86724
Aug. 21, 2019
SR-CboeBZX-2019-075
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 14.11(i) Relating to Generic Listing Standards for Managed Fund Shares Comments Due: Exhibit 5 Federal Register version (84 FR 44957)
34-86723
Aug. 21, 2019
SR-BOX-2019-24
Notice of Filing of Proposed Rule Change To Amend Rule 7600 Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 44954)
34-86713
Aug. 20, 2019
SR-OCC-2019-804
Notice of No Objection to Advance Notice Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm Comments Due: Federal Register version (84 FR 44649)
34-86709
Aug. 20, 2019
SR-NYSECHX-2019-08
Notice of Filing of Proposed Rule Change for Trading Rules To Support the Transition of Trading to the Pillar Trading Platform Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 44654)
34-86714
Aug. 20, 2019
SR-NYSEArca-2019-55
Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 8.700-E and To List and Trade Shares of the Dynamic Short Short-Term Volatility Futures ETF Comments Due: Exhibit 5 Federal Register version (84 FR 44642)
34-86705
Aug. 19, 2019
SR-NASDAQ-2019-061
Notice of Filing of Proposed Rule Change Relating to the Nasdaq Official Closing Price for Nasdaq-Listed Exchange-Traded Products Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 44343)
34-86699
Aug. 16, 2019
SR-EMERALD-2019-30
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 520, Limitations on Orders Comments Due: Exhibit 5 Federal Register version (84 FR 43829)
34-86691
Aug. 16, 2019
SR-NYSEAMER-2019-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 928NY To Reduce the Minimum Allowable Parameter for the Transaction- and Volume-Based Settings in the Risk Limitation Mechanism Exhibit 5 Federal Register version (84 FR 43842)
34-86695
Aug. 16, 2019
SR-Phlx-2019-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules 605 and 1049 Federal Register version (84 FR 43849)
34-86697
Aug. 16, 2019
SR-NYSEArca-2019-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40-O To Reduce the Minimum Allowable Parameter for the Transaction- and Volume-Based Settings in the Risk Limitation Mechanism Comments Due: Exhibit 5 Federal Register version (84 FR 43845)
34-86698
Aug. 16, 2019
SR-NYSEArca-2018-83
Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, Regarding Changes to Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF Comments Due: View Received Comments Federal Register version (84 FR 43823)
34-86696
Aug. 16, 2019
SR-NYSE-2019-44
Notice of Filing of Proposed Rule Change To Add Certain Rules to the List of Minor Rule Violations in Rule 9217; Delete Obsolete Rules and Increase the Maximum Fine for Minor Rule Violations Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 43836)
34-86692
Aug. 16, 2019
SR-DTC-2019-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Distributions Service Guide Comments Due: Exhibit 5 Federal Register version (84 FR 43839)
34-86688
Aug. 15, 2019
SR-NYSEAMER-2019-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01(b)(5) to NYSE American Rule 8.600E Relating to Generic Listing Standards for Managed Fund Shares Exhibit 5 Federal Register version (84 FR 43640)
34-86689
Aug. 15, 2019
SR-NYSEAMER-2019-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Fee Schedule Exhibit 5 Federal Register version (84 FR 43631)
34-86687
Aug. 15, 2019
SR-NYSE-2019-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01(b)(5) to NYSE Rule 8.600 Relating to Generic Listing Standards for Managed Fund Shares Comments Due: Exhibit 5 Federal Register version (84 FR 43638)
34-86686
Aug. 15, 2019
SR-CboeBZX-2019-072
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amending its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 43633)
34-86685
Aug. 15, 2019
SR-CboeBYX-2019-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amending its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 43627)
34-86657
Aug. 14, 2019
SR-NYSEAMER-2019-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Fee Schedule Exhibit 5 Federal Register version (84 FR 43251)
34-86659
Aug. 14, 2019
SR-NYSEArca-2019-57
Notice of Filing of Proposed Rule Change To List and Trade Shares of the Franklin Liberty Systematic Style Premia ETF, a Series of the Franklin Templeton ETF Trust Under NYSE Arca Rule 8.600-E Comments Due: Federal Register version (84 FR 43196)
34-86682
Aug. 14, 2019
SR-MIAX-2019-37
Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders, To Adopt New Interpretation and Policy .07 Comments Due: Exhibit 5 Federal Register version (84 FR 43212)
34-86663
Aug. 14, 2019
SR-MIAX-2019-34
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 43226)
34-86679
Aug. 14, 2019
SR-MIAX-2019-36
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 43204)
34-86661
Aug. 14, 2019
SR-CboeEDGX-2019-025
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Clarify Portions of Its Rules Under Chapter 14 (Securities Traded) Related to the Applicability of Certain Disclosure Requirements Comments Due: Exhibit 5 Federal Register version (84 FR 43216)
34-86678
Aug. 14, 2019
SR-CboeEDGX-2019-048
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 43246)
34-86683
Aug. 14, 2019
SR-CboeEDGX-2019-050
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending Its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 43222)
34-86660
Aug. 14, 2019
SR-CboeEDGA-2019-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clarify Portions of its Rules Under Chapter 14 (Securities Traded) Related To the Applicability of Certain Disclosure Requirements Comments Due: Exhibit 5 Federal Register version (84 FR 43231)
34-86676
Aug. 14, 2019
SR-CboeEDGA-2019-013
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 43218)
34-86684
Aug. 14, 2019
SR-CboeEDGA-2019-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending Its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 43242)
34-86664
Aug. 14, 2019
SR-CboeBZX-2019-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clarify Portions of Rule 14.11 (Other Securities) Related to the Applicability of Certain Disclosure Requirements Comments Due: Exhibit 5 Federal Register version (84 FR 43194)
34-86667
Aug. 14, 2019
SR-CboeBZX-2019-069
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 43233)
34-86671
Aug. 14, 2019
SR-CboeBZX-2019-070
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 43237)
34-86662
Aug. 14, 2019
SR-CboeBYX-2019-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Clarify Portions of Its Rules Under Chapter 14 (Securities Traded) Related to the Applicability of Certain Disclosure Requirements Comments Due: Exhibit 5 Federal Register version (84 FR 43192)
34-86670
Aug. 14, 2019
SR-CboeBYX-2019-012
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 43207)
34-86643
Aug. 13, 2019
SR-NYSEArca-2019-04
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending NYSE Arca Rule 5.2-E(j)(3) To Adopt Generic Listing Standards for Investment Company Units Based on an Index of Municipal Bond Securities Comments Due: View Received Comments Federal Register version (84 FR 42963)
34-86651
Aug. 13, 2019
SR-NYSE-2019-14
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 Section 703.18 of the Listed Company Manual To Permit the Listing of Event-Based Contingent Value Rights and Make Other Changes to the Listing Standards for Contingent Value Rights Comments Due: View Received Comments Federal Register version (84 FR 42967)
34-86642
Aug. 13, 2019
SR-NASDAQ-2019-064
Notice of Filing of Proposed Rule Change 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 Exhibit 5 Federal Register version (84 FR 42964)
34-86644
Aug. 13, 2019
SR-CboeEDGX-2019-049
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 42971)
34-86629
Aug. 12, 2019
SR-NYSEArca-2019-01
Notice of 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, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (84 FR 42036)
34-86631
Aug. 12, 2019
SR-NYSEArca-2019-39
Notice of Designation of a Longer Period for Commission Action on a 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 42028)
34-86636
Aug. 12, 2019
SR-NYSEArca-2018-98
Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, To List and Trade Shares of the iShares Commodity Multi-Strategy ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (84 FR 42030)
34-86630
Aug. 12, 2019
SR-CboeBZX-2019-004
Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the VanEck SolidX Bitcoin Trust Comments Due: View Received Comments Federal Register version (84 FR 42035)
34-86618
Aug. 9, 2019
SR-NYSENAT-2019-18
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 41761)
34-86620
Aug. 9, 2019
SR-NYSEArca-2019-56
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges To Adopt An Incremental Credit Under a Current Pricing Tier, Cross-Asset Tier 3 Comments Due: Exhibit 5 Federal Register version (84 FR 41788)
34-86624
Aug. 9, 2019
SR-BX-2019-028
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Inadvertent Error in a Recent Filing and Amend the BX Options Rules at Chapter 1, Section 1 Definitions Comments Due: Exhibit 5 Federal Register version (84 FR 41774)
34-86625
Aug. 9, 2019
SR-NASDAQ-2019-063
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Inadvertent Error in a Recent Filing and Amend the NOM Rules at Chapter 1, Section 1 Definitions Comments Due: Exhibit 5 Federal Register version (84 FR 41775)
34-86626
Aug. 9, 2019
SR-IEX-2019-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the IEX Fee Schedule, Pursuant to IEX Rules 15.110(a) and (c), To Charge a Fee of $100 Per Month for Each Logical Order Entry Port in Excess of Five Per User Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 41793)
34-86621
Aug. 9, 2019
SR-CboeEDGX-2019-047
Notice of Filing of a Proposed Rule Change To Adopt Rule 21.21 (Solicitation Auction Mechanism) Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 41779)
34-86623
Aug. 9, 2019
SR-CboeBZX-2019-073
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 14.3(e), Additional Requirements for Securities Issued by the Exchange or Its Affiliates Comments Due: Exhibit 5 Federal Register version (84 FR 41771)
34-86617
Aug. 9, 2019
SR-CBOE-2019-043
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Ability To Submit Frequent Trader Forms Comments Due: Exhibit 5 Federal Register version (84 FR 41776)
34-86606
Aug. 8, 2019
SR-EMERALD-2019-29
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Options Regulatory Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 40449)
34-86610
Aug. 8, 2019
SR-Phlx-2019-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend SCAR Credits at Equity 7, Section 3(a) Exhibit 5 Federal Register version (84 FR 40454)
34-86609
Aug. 8, 2019
SR-NASDAQ-2019-062
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend SCAR Credits at Equity 7, Section 118(a) Comments Due: Exhibit 5 Federal Register version (84 FR 40464)
34-86607
Aug. 8, 2019
SR-PEARL-2019-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Options Regulatory Fee View Received Comments Exhibit 5 Federal Register version (84 FR 40441)
34-86608
Aug. 8, 2019
SR-MIAX-2019-35
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Options Regulatory Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 40456)
34-86611
Aug. 8, 2019
SR-CboeEDGX-2019-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 40447)
34-86603
Aug. 8, 2019
SR-CBOE-2019-044
Notice of Filing of a Proposed Rule Change Relating To Adopt Rule 6.49B, Off-Floor RWA Transfers Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 40460)
34-86604
Aug. 8, 2019
SR-CBOE-2019-040
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 40445)
34-86605
Aug. 8, 2019
SR-C2-2019-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 40452)
34-86589
Aug. 7, 2019
SR-DTC-2018-010
Notice of Filing Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend the Settlement Guide Procedures To Provide Status Information for Institutional Transactions to a Matching Utility Comments Due: View Received Comments Federal Register version (84 FR 40107)
34-86588
Aug. 7, 2019
SR-CBOE-2019-039
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Comments Due: Federal Register version (84 FR 40114)
34-86576
Aug. 6, 2019
SR-LCHSA-2019-005
Notice of Filing of Proposed Rule Change Relating to Introduction of Clearing of the New Markit iTraxx Subordinated Financials Index CDS and the Related Single Name CDS Constituents and Enhancements to Wrong Way Risk Margin Comments Due: Exhibit 5 Federal Register version (84 FR 39386)
34-86572
Aug. 5, 2019
SR-MSRB-2019-10
Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities Comments Due: View Received Comments Exhibit 2 , Exhibit 5 Federal Register version (84 FR 39646)
34-86567
Aug. 5, 2019
SR-CboeEDGA-2019-012
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Introduce a Liquidity Provider Protection on EDGA Comments Due: View Received Comments Federal Register version (84 FR 39385)
34-86556
Aug. 2, 2019
SR-NSCC-2019-002
Notice of Filing of a Proposed Rule Change To Amend Procedure VII With Respect to the Receipt of CNS Securities and Make Other Changes Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 39037)
34-86558
Aug. 2, 2019
SR-FINRA-2019-022
Notice of Filing of a Proposed Rule Change 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: View Received Comments Federal Register version (84 FR 39029)
34-86553
Aug. 2, 2019
SR-FICC-2019-003
Notice of Filing of Proposed Rule Change To Revise the MBSD VaR Floor Comments Due: Exhibit 5 Federal Register version (84 FR 39041)
34-86554
Aug. 2, 2019
SR-DTC-2019-005
Notice of Filing of Proposed Rule Change To Amend the Settlement Guide To Implement a New Algorithm for Transactions Processed in the Night Cycle Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 39025)
34-86557
Aug. 2, 2019
SR-CboeBZX-2019-057
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under Currently Proposed Rule 14.11(k) Comments Due: View Received Comments Federal Register version (84 FR 39024)
34-86563
Aug. 2, 2019
SR-CboeBZX-2019-047
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares Comments Due: View Received Comments Federal Register version (84 FR 39046)
34-86548
Aug. 1, 2019
SR-NYSEAMER-2019-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services Exhibit 5 Federal Register version (84 FR 38704)
34-86549
Aug. 1, 2019
SR-NYSENAT-2019-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Price List Related to Co-location Services Comments Due: Exhibit 5 Federal Register version (84 FR 38700)
34-86547
Aug. 1, 2019
SR-NYSEARCA-2019-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend 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 38708)
34-86550
Aug. 1, 2019
SR-NYSE-2019-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Price List Related to Co-location Services Comments Due: Exhibit 5 Federal Register version (84 FR 38696)
34-86545
Aug. 1, 2019
SR-NASDAQ-2019-049
Notice of Designation of Longer Period for Commission Action on 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 38704)
34-86539
Aug. 1, 2019
SR-ICEEU-2019-012
Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change To Revise the ICE Clear Europe Treasury and Banking Services Policy, Liquidity Management Procedures, Investment Management Procedures and Unsecured Credit Limits Procedures Comments Due: Federal Register version (84 FR 38689)
34-86546
Aug. 1, 2019
SR-CboeBZX-2019-068
Notice of Filing of a Proposed Rule Change To List and Trade Shares of the iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i), Managed Fund Shares Comments Due: View Received Comments Federal Register version (84 FR 38689)
34-86542
Aug. 1, 2019
4-566
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., Investors Exchange LLC, and Long-Term Stock Exchange, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules Comments Due: Federal Register version (84 FR 38679)
34-86533
July 31, 2019
SR-EMERALD-2019-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515, Execution of Orders and Quotes Comments Due: Exhibit 5 Federal Register version (84 FR 38310)
34-86536
July 31, 2019
SR-EMERALD-2019-27
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 38306)
34-86537
July 31, 2019
SR-NASDAQ-2019-060
Notice of Filing of Proposed Rule Change To Amend Rules 4120 and 4753 Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 38321)
34-86535
July 31, 2019
SR-MRX-2019-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2 (Options Market Participants) and Options 3 (Options Trading Rules) Relating to Certain Order Types Comments Due: Exhibit 5 Federal Register version (84 FR 38319)
34-86534
July 31, 2019
SR-MIAX-2019-33
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 520, Limitations on Orders Comments Due: Exhibit 5 Federal Register version (84 FR 38316)
34-86512
July 30, 2019
SR-NASDAQ-2019-048
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 4702 To Establish the "Midpoint Extended Life Order + Continuous Book" as a New Order Type Comments Due: View Received Comments Federal Register version (84 FR 38078)
34-86511
July 30, 2019
SR-CboeBZX-2019-067
Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Innovator-100 Buffer ETF Series and Innovator Russell 2000 Buffer ETF Series, Innovator-100 Power Buffer ETF Series and Innovator Russell 2000 Power Buffer ETF Series, and Innovator-100 Ultra Buffer ETF Series and Innovator Russell 2000 Ultra Buffer ETF Series Under Rule 14.11(i) Comments Due: View Received Comments Federal Register version (84 FR 38078)
