34-86149
June 19, 2019
SR-GEMX-2019-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Extend a Pilot Program Comments Due: Exhibit 5 Federal Register version (84 FR 29905)
34-86153
June 19, 2019
SR-NASDAQ-2019-051
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 5 of the Rules of The Nasdaq Options Market To Extend Through December 31, 2019 or the Date of Permanent Approval, if Earlier, the Penny Pilot Program in Options Classes in Certain Issues Comments Due: Exhibit 5 Federal Register version (84 FR 29903)
34-86147
June 19, 2019
SR-MRX-2019-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Comments Due: Exhibit 5 Federal Register version (84 FR 29922)
34-86155
June 19, 2019
SR-CboeBZX-2019-057
Notice of Filing of 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 29912)
34-86157
June 19, 2019
SR-CboeBZX-2019-047
Notice of Filing of 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 Exhibit 5 Federal Register version (84 FR 29892)
34-86148
June 19, 2019
SR-CBOE-2019-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.42 To Extend the Penny Pilot Program Through December 31, 2019 Comments Due: Federal Register version (84 FR 29906)
34-86145
June 19, 2019
SR-BOX-2019-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Regarding the Give-Up and Clearance of Exchange Transactions Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (84 FR 29889)
34-86140
June 18, 2019
SR-Phlx-2019-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rule 1034 To Extend Through December 31, 2019 or the Date of Permanent Approval, if Earlier, the Penny Pilot Program in Options Classes in Certain Issues Exhibit 5 Federal Register version (84 FR 29574)
34-86136
June 18, 2019
SR-NYSEArca-2019-12
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 List and Trade Shares of the iShares Commodity Curve Carry Strategy ETF Comments Due: View Received Comments Federal Register version (84 FR 29555)
34-86131
June 18, 2019
SR-NYSE-2019-25
Notice of Filing and Immediate Effectiveness of Proposed Change of Amendments To Define "Net Position Information in DMM Securities" in NYSE Rule 98(c)(5) and the "the Position of the DMM Unit" in NYSE Rule 104(g)(1)(B) Comments Due: Exhibit 5 Federal Register version (84 FR 29565)
34-86137
June 18, 2019
SR-BX-2019-020
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 5 (Minimum Increments), To Extend Through December 31, 2019 Comments Due: Exhibit 5 Federal Register version (84 FR 29563)
34-86132
June 18, 2019
SR-MRX-2019-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Substantive, Clarifying Changes to Options 7 Comments Due: Exhibit 5 Federal Register version (84 FR 29551)
34-86138
June 18, 2019
SR-ISE-2019-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate ISE's Rules From Their Current Place in the Rulebook Into the New Rulebook Shell Comments Due: Exhibit 5 Federal Register version (84 FR 29567)
34-86130
June 18, 2019
SR-CboeBZX-2019-049
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related To Updating Its Rule 21.1(h) To Allow for a User To Elect That a Bulk Message Opt-Out of the Display-Price Sliding Process, as Well as be Subject to the Lock-Only Display-Price Sliding Process Comments Due: Exhibit 5 Federal Register version (84 FR 29552)
34-86126
June 17, 2019
SR-NYSENAT-2019-14
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 29262)
34-86121
June 17, 2019
SR-NYSEArca-2019-42
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 29254)
34-86122
June 17, 2019
SR-NYSEArca-2019-43
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 29258)
34-86120
June 17, 2019
SR-BX-2019-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Credits at Equity 7, Section 118(a) Comments Due: Exhibit 5 Federal Register version (84 FR 29270)
34-86111
June 14, 2019
SR-NYSEAMER-2018-39
Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 2, To Allow Flexible Exchange Equity Options To Be Cash Settled Where the Underlying Security Is a Specified Exchange-Traded Fund Federal Register version (84 FR 28867)
34-86109
June 14, 2019
SR-MIAX-2019-28
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 28860)
34-86110
June 14, 2019
SR-MIAX-2019-29
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 28864)
34-86113
June 14, 2019
SR-DTC-2019-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Operational Arrangements Relating to Transfer Agent and Trustee Notices Comments Due: Exhibit 5 Federal Register version (84 FR 28867)
34-86106
June 14, 2019
SR-CboeBZX-2019-055
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, To Allow the Cambria Tail Risk ETF, a Series of the Cambria ETF Trust, To Hold Listed Options Contracts in a Manner That Does Not Comply With Rule 14.11(i), Managed Fund Shares Comments Due: Federal Register version (84 FR 28875)
34-86103
June 13, 2019
SR-OCC-2019-802
Notice of No Objection to Advance Notice Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology Comments Due: Federal Register version (84 FR 28368)
34-86104
June 13, 2019
SR-NYSEArca-2018-98
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. 3, 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 28602)
34-86101
June 13, 2019
SR-FINRA-2019-014
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Allow Additional Time for Reporting to TRACE of Transactions in U.S. Treasury Securities Executed To Hedge a Primary Market Transaction Federal Register version (84 FR 28601)
34-86099
June 13, 2019
SR-DTC-2019-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Operational Arrangements and Fee Guide Relating to Structured Securities Comments Due: Exhibit 5 Federal Register version (84 FR 28602)
34-86095
June 12, 2019
SR-NASDAQ-2019-049
Notice of Filing of 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 28379)
34-86092
June 12, 2019
SR-ICEEU-2019-008
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Publication of a Circular Regarding the Interpretation of References to EU Legislation in the Clearing Rules Post-Brexit Comments Due: Exhibit 5 Federal Register version (84 FR 28372)
34-86091
June 12, 2019
SR-FINRA-2019-012
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) To Make Substantive, Organizational and Terminology Changes Comments Due: Federal Register version (84 FR 28371)
34-86094
June 12, 2019
SR-CboeEDGX-2019-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check With Respect to Limit Orders in Rule 21.17 Comments Due: Federal Register version (84 FR 28363)
34-86084
June 11, 2019
SR-NYSE-2019-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31 Relating to the Yielding Modifier Comments Due: Exhibit 5 Federal Register version (84 FR 28119)
34-86083
June 11, 2019
SR-NASDAQ-2019-048
Notice of Filing of Proposed Rule Change To Amend Rule 4702 To Establish the "Midpoint Extended Life Order + Continuous Book" as a New Order Type Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 28107)
34-86087
June 11, 2019
SR-NASDAQ-2019-050
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of the MIDP Routing Option Comments Due: Federal Register version (84 FR 28117)
34-86082
June 11, 2019
SR-CboeEDGX-2019-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Its Price Adjust Process To Allow for the Process To Apply to Bulk Messages Comments Due: Exhibit 5 Federal Register version (84 FR 28113)
34-86085
June 11, 2019
SR-CboeBZX-2019-050
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Limit-on-Close ("LOC") and Market-on-Close ("MOC") Orders Comments Due: Exhibit 5 Federal Register version (84 FR 28110)
34-86086
June 11, 2019
SR-CboeBZX-2019-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow the Exchange To Determine the Availability of Order Types and Times-in-Force Comments Due: Exhibit 5 Federal Register version (84 FR 28120)
34-86072
June 10, 2019
SR-NASDAQ-2019-039
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 5615 To Allow Additional Issuers Who List Only Specific Securities To Be Able To Avail Themselves of Certain Exemptions Under Corporate Governance Requirements and To Amend Nasdaq Rule IM-5620 To Exclude Additional Categories of Issuers Listing Only Specific Securities From the Annual Shareholder Meeting Requirement Comments Due: Exhibit 5 Federal Register version (84 FR 27816)
34-86071
June 10, 2019
SR-ISE-2019-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot To Permit the Listing and Trading of Options Based on 1/5 Comments Due: Exhibit 5 Federal Register version (84 FR 27822)
34-86076
June 10, 2019
SR-CboeEDGX-2019-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Limit-on-Close ("LOC") and Market-on-Close ("MOC") Orders Comments Due: Exhibit 5 Federal Register version (84 FR 27812)
34-86079
June 10, 2019
SR-CboeEDGX-2019-036
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Through December 31, 2019, the Penny Pilot Program ("Penny Pilot") in Options Classes in Certain Issues ("Pilot Program") Previously Approved by the Commission Comments Due: Federal Register version (84 FR 27810)
34-86078
June 10, 2019
SR-CboeBZX-2019-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Through December 31, 2019, the Penny Pilot Program ("Penny Pilot") in Options Classes in Certain Issues ("Pilot Program") Previously Approved by the Commission Comments Due: Federal Register version (84 FR 27824)
34-86077
June 10, 2019
SR-C2-2019-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.4 by Extending the Penny Pilot Program Through December 31, 2019 Comments Due: Federal Register version (84 FR 27815)
34-86061
June 7, 2019
SR-NYSEAMER-2019-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 960NY in Order To Extend the Penny Pilot in Options Classes in Certain Issues Exhibit 5 Federal Register version (84 FR 27665)
34-86062
June 7, 2019
SR-NYSEARCA-2019-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 6.72-O in Order To Extend the Penny Pilot in Options Classes in Certain Issues Comments Due: Exhibit 5 Federal Register version (84 FR 27669)
34-86063
June 7, 2019
SR-GEMX-2019-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Member by a Member on Exchange Transactions Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (84 FR 27672)
34-86067
June 7, 2019
SR-NASDAQ-2019-017
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Additional Requirements for Listings in Connection With an Offering Under Regulation A of the Securities Act Comments Due: View Received Comments Federal Register version (84 FR 27672)
34-86064
June 7, 2019
SR-MRX-2019-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Member by a Member on Exchange Transactions Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (84 FR 27678)
34-86068
June 7, 2019
SR-CboeEDGX-2019-009
Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 21.21 (Solicitation Auction Mechanism) Comments Due: View Received Comments Federal Register version (84 FR 27671)
34-86065
June 7, 2019
SR-CBOE-2019-029
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Registration of Trading Permit Holders Comments Due: Exhibit 5 Federal Register version (84 FR 27667)
34-86066
June 7, 2019
SR-C2-2019-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check for Simple Orders in Rule 6.14 Comments Due: Federal Register version (84 FR 27675)
34-86048
June 6, 2019
SR-EMERALD-2019-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (84 FR 27382)
34-86051
June 6, 2019
SR-BX-2019-002
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision Comments Due: View Received Comments Federal Register version (84 FR 27387)
34-86060
June 6, 2019
SR-BX-2019-017
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Order Routing Rule in BX Chapter VI, Section 11 Comments Due: Exhibit 5 Federal Register version (84 FR 27374)
34-86049
June 6, 2019
SR-PEARL-2019-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program Exhibit 5 Federal Register version (84 FR 27381)
34-86054
June 6, 2019
SR-MIAX-2019-27
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (84 FR 27385)
34-86053
June 6, 2019
SR-BOX-2019-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7260 by Extending the Penny Pilot Program Through December 31, 2019 Comments Due: Exhibit 5 Federal Register version (84 FR 27388)
34-86036
June 5, 2019
SR-ICC-2019-006
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Risk Management Model Description Comments Due: Federal Register version (84 FR 27176)
34-86037
June 5, 2019
SR-DTC-2018-010
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Settlement Guide Procedures To Provide Status Information for Institutional Transactions to a Matching Utility Comments Due: View Received Comments Federal Register version (84 FR 27172)
34-86033
June 5, 2019
SR-C2-2019-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Price Adjust Process To Allow for the Process To Apply to Bulk Messages Comments Due: Exhibit 5 Federal Register version (84 FR 27178)
34-86038
June 5, 2019
SR-C2-2019-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Limit-on-Close ("LOC") and Market-on-Close ("MOC") Orders Comments Due: Exhibit 5 Federal Register version (84 FR 27169)
34-86035
June 5, 2019
SR-BOX-2019-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule IM-5050-1 Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds Comments Due: Exhibit 5 Federal Register version (84 FR 27173)
34-86025
June 4, 2019
SR-Phlx-2019-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 3, Which Governs Pricing for Phlx Members Using the Nasdaq PSX System Exhibit 5 Federal Register version (84 FR 26918)
34-86027
June 4, 2019
SR-BX-2019-016
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a) To Adopt Pricing for the Recently Adopted SCAR Routing Strategy Comments Due: Exhibit 5 Federal Register version (84 FR 26910)
34-86022
June 4, 2019
SR-NASDAQ-2019-047
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Options Rules Under Chapter IV, Securities Traded on NOM Comments Due: Exhibit 5 Federal Register version (84 FR 26912)
34-86026
June 4, 2019
SR-NASDAQ-2019-045
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a) Comments Due: Exhibit 5 Federal Register version (84 FR 26916)
34-86024
June 4, 2019
SR-MIAX-2019-26
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 26924)
34-86023
June 4, 2019
SR-CboeBZX-2019-015
Notice of Withdrawal of a Proposed Rule Change To List and Trade Units of Each of (i) Cboe Vest S&P 500 Buffer Enhanced Growth Protect Strategy ETNs; (ii) Cboe Vest S&P 500 Enhanced Growth Strategy ETNs; (iii) Cboe Vest S&P 500 Accelerated Return Strategy ETNs; and (iv) Cboe Vest S&P 500 Power Buffer Strategy ETNs Under Rule 14.11(d), Equity Index-Linked Securities Comments Due: Federal Register version (84 FR 26927)
34-86030
June 4, 2019
SR-BOX-2019-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rules Governing the Trading of Complex Qualified Contingent Cross Orders and Make a Modification to the Execution Requirements for Complex Customer Cross Orders Comments Due: Exhibit 5 Federal Register version (84 FR 26921)
34-85990
May 31, 2019
SR-NYSE-2019-32
Notice of Filing of Proposed Rule Change To Amend Rule 123D Comments Due: Exhibit 5 Federal Register version (84 FR 26462)
34-85984
May 31, 2019
SR-NSCC-2019-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Clarification and Technical Changes to Addendum K Comments Due: Federal Register version (84 FR 26457)
34-85987
May 31, 2019
SR-NASDAQ-2019-046
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Order Audit Trail System Rules Comments Due: Exhibit 5 Federal Register version (84 FR 26498)
34-85981
May 31, 2019
SR-FINRA-2019-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) Comments Due: Exhibit 5 Federal Register version (84 FR 26486)
34-85986
May 31, 2019
SR-DTC-2019-003
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 26466)
34-85988
May 31, 2019
SR-CboeEDGX-2019-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 21.7 Concerning the Opening Auction Process Comments Due: Federal Register version (84 FR 26492)
34-85989
May 31, 2019
SR-CboeEDGX-2019-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Qualified Contingent Cross Orders ("QCC Orders") With More Than One Option Leg ("Complex QCC Orders") Comments Due: Federal Register version (84 FR 26482)
34-85985
May 31, 2019
SR-CboeBZX-2019-046
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 21.7 Concerning Openings Following Trading Halts Comments Due: Exhibit 5 Federal Register version (84 FR 26496)
34-85967
May 30, 2019
SR-ISE-2019-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM Comments Due: Exhibit 5 Federal Register version (84 FR 25877)
34-85966
May 30, 2019
SR-CboeBZX-2019-023
Notice of Designation of a Longer Period for Commission Action on 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 26172)
34-85960
May 29, 2019
SR-NYSEAMER-2019-21
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 25848)
34-85953
May 29, 2019
SR-Phlx-2019-22
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM Exhibit 5 Federal Register version (84 FR 25872)
34-85959
May 29, 2019
SR-NYSENAT-2019-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates Related to Co-location Services Comments Due: Exhibit 5 Federal Register version (84 FR 25887)
34-85955
May 29, 2019
SR-NYSEArca-2019-38
Notice of Filing of Proposed Rule Change Regarding Investments of Aware Ultra-Short Duration Enhanced Income ETF, a Series of Tidal ETF Trust Comments Due: View Received Comments Federal Register version (84 FR 25863)
34-85958
May 29, 2019
SR-NYSEARCA-2019-40
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 25858)
34-85952
May 29, 2019
SR-NYSE-2019-31
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 25880)
34-85961
May 29, 2019
SR-NYSE-2019-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Listing Fee Schedule for Pre-Revenue Companies Comments Due: Exhibit 5 Federal Register version (84 FR 25856)
34-85962
May 29, 2019
SR-NYSE-2019-05
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, To Amend NYSE Rules 7.31, 7.36, 7.37; Make Conforming Amendments to NYSE Rules 1.1, 7.11, 7.12, 7.16, 7.18, 7.32, 7.34, and 7.36; and Amend the Preambles on Current Exchange Rules Relating to Their Applicability to the Pillar Trading Platform Comments Due: View Received Comments Federal Register version (84 FR 26188)
34-85950
May 29, 2019
SR-BX-2019-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM Comments Due: Exhibit 5 Federal Register version (84 FR 25875)
34-85951
May 29, 2019
SR-NASDAQ-2019-042
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM Comments Due: Exhibit 5 Federal Register version (84 FR 25884)
34-85954
May 29, 2019
SR-NASDAQ-2019-044
Notice of Filing of Proposed Rule Change To Allow an Odd Lot-Sized Order To Be Eligible for the Midpoint Extended Life Order Comments Due: Exhibit 5 Federal Register version (84 FR 25844)
34-85957
May 29, 2019
SR-NASDAQ-2019-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Complementary Services Offered by the Exchange Under Rule IM-5900-7 Comments Due: Exhibit 5 Federal Register version (84 FR 25852)
34-85945
May 28, 2019
SR-NYSE-2019-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rules 7.6, 7.31, 7.34, 98, 107B and 131A, To Specify Order Behavior for Orders Entered Via the Pillar Phase II Protocols Comments Due: Exhibit 5 Federal Register version (84 FR 25596)
34-85948
May 28, 2019
SR-CboeBZX-2019-044
Notice of Filing of 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 25579)
34-85937
May 24, 2019
SR-NYSE-2019-28
Notice of Filing of Proposed Rule Change Amending Section 303A.08 of the Listed Company Manual Relating to Shareholder Approval of Equity Compensation Plans Comments Due: Exhibit 5 Federal Register version (84 FR 25313)
34-85933
May 24, 2019
SR-NASDAQ-2019-009
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Revise the Exchange's Initial Listing Standards Related to Liquidity Comments Due: View Received Comments Federal Register version (84 FR 25329)
34-85934
May 24, 2019
SR-MIAX-2019-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1801, Definitions; Rule 503, Openings on the Exchange; and Rule 1802, Designation of an Index Comments Due: Exhibit 5 Federal Register version (84 FR 25329)
34-85940
May 24, 2019
SR-LCHSA-2019-003
Notice of Filing of Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Implement Settled-to-Market Treatment of Variation Margin, Permit the Creation of Multiple Account Structures, Permit Select Members To Provide Clearing Services to Affiliated Firms, and Update the Onboarding Procedures Comments Due: Exhibit 5 Federal Register version (84 FR 25318)
34-85938
May 24, 2019
SR-ICC-2019-005
Notice of Filing of Proposed Rule Change Relating to ICC's Stress Testing Framework Comments Due: Federal Register version (84 FR 25310)
34-85925
May 23, 2019
SR-NYSEAMER-2019-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 967NY Exhibit 5 Federal Register version (84 FR 24831)
34-85924
May 23, 2019
SR-OCC-2019-803
Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Proposal to Enter Into a New Credit Facility Agreement Comments Due: Federal Register version (84 FR 25089)
