34-86508
July 29, 2019
SR-BX-2019-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BX Pricing at Options 7, Section 3 Titled BX Options Market-Ports and Other Services Comments Due: Exhibit 5 Federal Register version (84 FR 37931)
34-86507
July 29, 2019
SR-NASDAQ-2019-056
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend The Nasdaq Options Market LLC Pricing at Options 7, Section 3 Titled "Nasdaq Options Market-Ports and Other Services." Comments Due: Exhibit 5 Federal Register version (84 FR 37934)
34-86488
July 26, 2019
SR-OCC-2019-804
Notice of Filing of Advance Notice Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm Comments Due: Federal Register version (84 FR 37373)
34-86492
July 26, 2019
SR-NYSE-2019-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Discontinue the NYSE Alerts Market Data Product Offering Comments Due: Federal Register version (84 FR 37702)
34-86493
July 26, 2019
SR-CboeEDGX-2019-028
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 Rule 21.22 (Complex Automated Improvement Mechanism) Comments Due: View Received Comments Federal Register version (84 FR 37697)
34-86471
July 25, 2019
SR-EMERALD-2019-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Corrective Edits to Exchange Rule 503, Openings on the Exchange Comments Due: Exhibit 5 Federal Register version (84 FR 37371)
34-86473
July 25, 2019
SR-NYSE-2019-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List Comments Due: Exhibit 5 Federal Register version (84 FR 37358)
34-86479
July 25, 2019
SR-FINRA-2019-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions From the Order Audit Trail System Recording and Reporting Requirements Comments Due: Federal Register version (84 FR 37369)
34-86470
July 25, 2019
4-618
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., BOX Exchange LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq ISE, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, Investors Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq PHLX, Inc., NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., and Long-Term Stock Exchange, Inc. Comments Due: View Received Comments Federal Register version (84 FR 37363)
34-86458
July 24, 2019
SR-NYSEARCA-2019-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 36994)
34-86460
July 24, 2019
SR-NYSE-2019-34
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Exchange Rule 104 To Specify Designated Market Maker Requirements for Exchange Traded Products Listed on the Exchange Comments Due: View Received Comments Federal Register version (84 FR 36983)
34-86447
July 24, 2019
SR-BX-2019-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees and Credits at Equity 7, Section 118(a) Comments Due: Exhibit 5 Federal Register version (84 FR 36989)
34-86457
July 24, 2019
SR-LCHSA-2019-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, Relating to the Extension to Clients of CDSClear of the Fee Applicable by LCH SA on the Amount of Allocated Securities Collateral Comments Due: Exhibit 5 Federal Register version (84 FR 36987)
34-86463
July 24, 2019
SR-CboeBZX-2019-065
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 BZX Rules 15.1(a) and (c) Comments Due: Exhibit 5 Federal Register version (84 FR 36978)
34-86464
July 24, 2019
SR-CboeBZX-2019-064
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 BZX Rules 15.1(a) and (c) Comments Due: Exhibit 5 Federal Register version (84 FR 36984)
34-86436
July 23, 2019
SR-OCC-2019-006
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Administrative Updates to The Options Clearing Corporation's Risk Management Policies Comments Due: Federal Register version (84 FR 36632)
34-86444
July 23, 2019
SR-BX-2019-025
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing Give Ups on the BX Options Market Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (84 FR 36641)
34-86437
July 23, 2019
SR-NASDAQ-2019-053
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Nasdaq Options Market To Modify the Give Up of a Clearing Participant by a Participant on NOM Transactions Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (84 FR 36644)
34-86423
July 22, 2019
SR-NYSEARCA-2019-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule 9.21-O, Delete Current Rules 9.21-O through 9.25-O, and Amend Rule 10.9551 Comments Due: Federal Register version (84 FR 36149)
34-86426
July 22, 2019
SR-GEMX-2019-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2 (Options Market Participants) and Options 3 (Options Trading Rules) Comments Due: Exhibit 5 Federal Register version (84 FR 36133)
34-86425
July 22, 2019
SR-BX-2019-022
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange's Existing Membership Rules and To Incorporate by Reference the Membership Rules of The Nasdaq Stock Exchange, LLC Comments Due: Exhibit 5 Federal Register version (84 FR 36139)
34-86424
July 22, 2019
SR-MRX-2019-15
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 36134)
34-86429
July 22, 2019
SR-CBOE-2019-038
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Maintenance Listing Standards for Options on Certain Indexes Under Rule 24.2.01(b)(2) Comments Due: Exhibit 5 Federal Register version (84 FR 36129)
34-86414
July 19, 2019
SR-NYSEArca-2019-38
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, Regarding Investments of the Aware Ultra-Short Duration Enhanced Income ETF Comments Due: View Received Comments Federal Register version (84 FR 35892)
34-86417
July 19, 2019
SR-NYSEArca-2019-51
Notice of Filing of Proposed Rule Change Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF Currently Listed and Traded on the Exchange Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (84 FR 35910)
34-86412
July 19, 2019
SR-NASDAQ-2019-057
Notice of Filing of Proposed Rule Change To Amend Rule 4121 Comments Due: Exhibit 5 Federal Register version (84 FR 35900)
34-86413
July 19, 2019
SR-ICEEU-2019-012
Notice Relating to 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 35892)
34-86418
July 19, 2019
SR-ICEEU-2019-016
Notice Relating to Amendments to the ICE Clear Europe Delivery Procedures Comments Due: Exhibit 5 Federal Register version (84 FR 35898)
34-86415
July 19, 2019
SR-CboeEDGX-2019-046
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Rule 16.1 To Include the Definition of Capacity, as well as Amend Its Fee Schedule To Reflect This Update Comments Due: Exhibit 5 Federal Register version (84 FR 35905)
34-86419
July 19, 2019
SR-CboeBZX-2019-066
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Rule 16.1 To Include the Definition of Capacity, as Well as Amend Its Fee Schedule To Reflect This Update Comments Due: Exhibit 5 Federal Register version (84 FR 35907)
34-86408
July 18, 2019
SR-IEX-2019-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to IEX's Fee Schedule To Correct Two Fee Code Combinations Comments Due: Exhibit 5 Federal Register version (84 FR 35430)
34-86411
July 18, 2019
SR-CBOE-2019-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 12.3 by Extending the Credit Option Margin Pilot Program Through July 20, 2020 Comments Due: Exhibit 5 Federal Register version (84 FR 35702)
34-86399
July 17, 2019
SR-NASDAQ-2019-054
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Generic Listing Standards for Fixed Income Securities Included in the Portfolio of a Series of Managed Fund Shares Comments Due: Exhibit 5 Federal Register version (84 FR 35446)
34-86398
July 17, 2019
SR-ISE-2019-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2 (Options Market Participants) and Options 3 (Options Trading Rules) Comments Due: Exhibit 5 Federal Register version (84 FR 35436)
34-86400
July 17, 2019
SR-CBOE-2019-035
Notice of Filing of a Proposed Rule Change To Amend Rule 6.49A Concerning Off-Floor Position Transfers Including RWA Transfers Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 35438)
34-86401
July 17, 2019
SR-CBOE-2019-036
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Trading Permit Holder by a Trading Permit Holder on Exchange Transactions Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (84 FR 35433)
34-86391
July 16, 2019
SR-NYSEAMER-2019-27
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule by Revising the Options Regulatory Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 35165)
34-86390
July 16, 2019
SR-NYSEArca-2019-49
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule by Revising the Options Regulatory Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 35169)
34-86386
July 16, 2019
SR-NYSE-2019-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Offer a New Monthly Rebate for Designated Market Makers Assigned 30 or Fewer Securities Comments Due: Federal Register version (84 FR 35173)
34-86387
July 16, 2019
SR-CBOE-2019-034
Notice of Filing of a Proposed Rule Change To Amend the Exchange's Opening Process Including on VIX Settlement Days Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 35147)
34-86377
July 15, 2019
SR-NYSEArca-2019-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges Comments Due: Exhibit 5 Federal Register version (84 FR 34979)
34-86375
July 15, 2019
SR-CboeEDGX-2019-045
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Fee Schedule Applicable to Its Equities Trading Platform ("EDGX Equities") To Adopt a "Retail Volume Tier" for Firms That Execute a Significant Volume of Liquidity Providing Retail Order Flow on EDGX Comments Due: Exhibit 5 Federal Register version (84 FR 34960)
34-86374
July 15, 2019
SR-CBOE-2019-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to System Connectivity and Order Entry and Allocation 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 34963)
34-86368
July 12, 2019
SR-EMERALD-2019-25
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 34440)
34-86365
July 12, 2019
SR-NYSENAT-2019-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates To Reduce the Adding Average Daily Volume Required for ETP Holders To Qualify for the Adding Tier 1 Fees Comments Due: Exhibit 5 Federal Register version (84 FR 34451)
34-86362
July 12, 2019
SR-NYSEArca-2019-36
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of JPMorgan Income Builder Blend ETF under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (84 FR 34457)
34-86363
July 12, 2019
SR-PEARL-2019-22
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule View Received Comments Exhibit 5 Federal Register version (84 FR 34445)
34-86360
July 11, 2019
SR-NYSE-2019-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Adopt Transition Pricing To Support the Introduction of Ports That Connect to the Exchange Using Pillar Technology Comments Due: Exhibit 5 Federal Register version (84 FR 34210)
34-86352
July 11, 2019
SR-CboeEDGX-2019-044
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 34247)
34-86353
July 11, 2019
SR-CboeEDGX-2019-039
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Stock-Option Order Functionality and Complex Qualified Contingent Cross ("QCC") Order With Stock Functionality, and To Make Other Changes to its Rules Comments Due: Exhibit 5 Federal Register version (84 FR 34230)
34-86361
July 11, 2019
SR-CBOE-2019-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule With Respect to Expiring Fee Waivers and Incentive Programs Comments Due: Exhibit 5 Federal Register version (84 FR 34243)
34-86356
July 11, 2019
4-747
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Long-Term Stock Exchange, I Comments Due: Federal Register version (84 FR 34225)
34-86344
July 10, 2019
SR-EMERALD-2019-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt System Connectivity Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 34030)
34-86339
July 10, 2019
SR-NYSE-2019-28
Notice of Withdrawal of Proposed Rule Change Amending Section 303A.08 of the Listed Company Manual Relating to Shareholder Approval of Equity Compensation Plans Comments Due: Federal Register version (84 FR 34020)
34-86346
July 10, 2019
SR-GEMX-2019-08
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 33999)
34-86343
July 10, 2019
SR-PEARL-2019-21
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule View Received Comments Exhibit 5 Federal Register version (84 FR 34003)
34-86342
July 10, 2019
SR-MIAX-2019-31
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 34012)
34-86345
July 10, 2019
SR-MIAX-2019-32
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 503, Openings on the Exchange Comments Due: Exhibit 5 Federal Register version (84 FR 34025)
34-86340
July 10, 2019
SR-ICEEU-2019-014
Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe CDS Default Management Framework (the "Framework") Comments Due: Federal Register version (84 FR 33996)
34-86341
July 10, 2019
SR-ICC-2019-008
Notice of Filing of Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures and ICC Risk Management Framework Comments Due: Federal Register version (84 FR 34021)
34-86348
July 10, 2019
SR-CboeBZX-2019-044
Notice of Designation of a Longer Period for Commission Action on 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 34040)
34-86333
July 9, 2019
SR-NYSEAMER-2019-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37E To Update a Rule Cross Reference Exhibit 5 Federal Register version (84 FR 33796)
34-86334
July 9, 2019
SR-BOX-2019-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility for Certain PIP and COPIP Transactions Comments Due: Exhibit 5 Federal Register version (84 FR 33794)
34-86335
July 9, 2019
SR-BOX-2019-22
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 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 33788)
34-86326
July 8, 2019
SR-MRX-2019-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Complex Order Pricing Comments Due: Exhibit 5 Federal Register version (84 FR 33300)
34-86327
July 8, 2019
SR-LTSE-2019-01
Notice of Filing of Proposed Rule Change To Adopt Rule 14.425, Which Would Require Companies Listed on the Exchange To Develop and Publish Certain Long-Term Policies Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 33293)
34-86328
July 8, 2019
SR-FINRA-2019-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Technical Correction and Other Non-Substantive Changes to FINRA Rules Comments Due: Exhibit 5 Federal Register version (84 FR 33299)
34-86322
July 8, 2019
SR-CboeEDGX-2019-042
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Fee Schedule Applicable to its Equities Trading Platform To Adopt a New Cross-Asset Volume Tier Comments Due: Exhibit 5 Federal Register version (84 FR 33306)
34-86323
July 8, 2019
SR-CboeEDGX-2019-041
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Its Rules Related to Complex Orders and Trading Halts Comments Due: Exhibit 5 Federal Register version (84 FR 33296)
34-86324
July 8, 2019
SR-CboeBZX-2019-060
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 EDGX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (84 FR 33310)
34-86325
July 8, 2019
SR-CboeBYX-2019-011
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 EDGX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (84 FR 33311)
34-86329
July 8, 2019
SR-CBOE-2019-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule for XSP Fees and PAR Official Fees Comments Due: Exhibit 5 Federal Register version (84 FR 33290)
34-86314
July 5, 2019
SR-NASDAQ-2019-009
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Revise the Exchange's Initial Listing Standards Related to Liquidity Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 33102)
34-86315
July 5, 2019
SR-FINRA-2019-019
Notice of Filing of a Proposed Rule Change To Expand OTC Equity Trading Volume Data Published on FINRA's Website Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 33098)
34-86296
July 3, 2019
SR-OCC-2019-005
Notice of Filing of Proposed Rule Change Related to the Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm Comments Due: Federal Register version (84 FR 32816)
34-86301
July 3, 2019
SR-NYSENAT-2019-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Update a Rule Cross Reference Comments Due: Exhibit 5 Federal Register version (84 FR 32806)
34-86299
July 3, 2019
SR-NYSEArca-2019-33
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, Regarding Certain Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF Comments Due: View Received Comments Federal Register version (84 FR 32804)
34-86300
July 3, 2019
SR-NYSEArca-2019-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E To Update a Rule Cross Reference Comments Due: Exhibit 5 Federal Register version (84 FR 32802)
34-86291
July 3, 2019
SR-NYSE-2019-20
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Section 302 of the Listed Company Manual To Provide Exemptions for the Issuers of Certain Categories of Securities From the Obligation to Hold Annual Shareholders' Meetings Comments Due: Federal Register version (84 FR 32802)
34-86286
July 2, 2019
SR-Phlx-2019-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1019, Adopt a New Rule 1073, Adopt a New Rule 1074, Rule 1080, Adopt a New Rule 1096, and Adopt a New Rule 1097 Exhibit 5 Federal Register version (84 FR 32794)
34-86278
July 2, 2019
SR-NASDAQ-2019-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Listing and Trading the Shares of the AlphaMark Actively Managed Small Cap ETF Comments Due: Federal Register version (84 FR 32792)
34-86274
July 2, 2019
SR-CboeEDGX-2019-043
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update All References to "Bats Auction Mechanism" or "BAM" to "Automated Improvement Mechanism" or "AIM" in the EDGX Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 32805)
34-86280
July 2, 2019
SR-CboeEDGX-2019-012
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce Order Book Priority for Equity Orders Submitted on Behalf of Retail Investors Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 32808)
34-86283
July 2, 2019
SR-CboeBZX-2019-059
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to Members and Non-Members 1 Comments Due: Exhibit 5 Federal Register version (84 FR 32789)
34-86259
July 1, 2019
SR-ICEEU-2019-003
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Revise the ICE Clear Europe Clearing Rules Regarding Default Management, Recovery and Wind-Down for CDS Contracts, and Default Auction Procedures Comments Due: Federal Register version (84 FR 32483)
34-86257
July 1, 2019
SR-FINRA-2019-017
Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 2210 (Communications With the Public) and 2241 (Research Analysts and Research Reports) Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 32492)
34-86255
July 1, 2019
SR-DTC-2019-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide Comments Due: Exhibit 5 Federal Register version (84 FR 32508)
34-86238
June 28, 2019
SR-NYSE-2019-14
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change 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 32232)
34-86241
June 28, 2019
SR-IEX-2019-05
Notice of Filing of Proposed Rule Change To Establish a Retail Price Improvement Program Comments Due: Exhibit 5 Federal Register version (84 FR 32238)
34-86234
June 28, 2019
SR-C2-2019-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Trigger for Its Opening Rotation Process for Equity Options Comments Due: Federal Register version (84 FR 32225)
34-86212
June 27, 2019
SR-NYSEAMER-2019-25
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Federal Register version (84 FR 31946)
34-86225
June 27, 2019
SR-NYSEAMER-2019-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Provisions in Section 141 of the NYSE American Company Guide That Grant the Board Authority to Defer, Waive or Rebate Annual Fees for Listed Equity Securities and Bonds and To Eliminate Obsolete Provisions Federal Register version (84 FR 31959)
34-86226
June 27, 2019
SR-CFE-2019-001
Notice of a Filing of a Proposed Rule Change Regarding Trading Conduct Comments Due: Exhibit 4 Federal Register version (84 FR 31956)
34-86221
June 27, 2019
SR-BX-2019-023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the BX Options Rules at Chapter IV, Securities Traded on BX Comments Due: Federal Register version (84 FR 31937)
34-86219
June 27, 2019
SR-MSRB-2019-07
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to MSRB Rule G-11 and MSRB Rule G-32 and Form G-32 Regarding a Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection With Primary Offerings Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (84 FR 31961)
34-86214
June 27, 2019
SR-CboeEDGX-2019-040
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Trigger for Its Opening Rotation Process for Equity Options Comments Due: Exhibit 5 Federal Register version (84 FR 31944)
34-86213
June 27, 2019
SR-CboeBZX-2019-058
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (84 FR 31951)
34-86224
June 27, 2019
SR-CBOE-2019-030
Notice of Filing of a Proposed Rule Change To Use Cboe Exchange's Affiliate, Cboe Trading, as an Inbound and Outbound Router for Cboe Options Comments Due: Exhibit 5 Federal Register version (84 FR 31940)
34-86211
June 27, 2019
SR-C2-2019-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Its Rules Related to Complex Orders and Trading Halts Comments Due: Federal Register version (84 FR 31935)
34-86198
June 26, 2019
SR-NYSEArca-2019-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange Retail Liquidity Program Until September 30, 2019 Comments Due: Exhibit 5 Federal Register version (84 FR 31648)
