34-85866
May 15, 2019
SR-PEARL-2019-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading Exhibit 5 Federal Register version (84 FR 23122)
34-85865
May 15, 2019
SR-MIAX-2019-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading Comments Due: Exhibit 5 Federal Register version (84 FR 23098)
34-85868
May 15, 2019
SR-CboeBZX-2019-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow the Main Sector Rotation ETF, a Series of the Northern Lights Fund Trust IV, 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 23139)
34-85869
May 15, 2019
SR-CboeBZX-2019-040
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BZX Equities Fee Schedule To Correct an Inadvertent Drafting Error Introduced in a Previous Rule Filing Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 23101)
34-85854
May 14, 2019
SR-NYSEArca-2019-01
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, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Comments Due: View Received Comments Federal Register version (84 FR 23125)
34-85852
May 14, 2019
SR-CboeEDGX-2019-030
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 22919)
34-85855
May 14, 2019
SR-C2-2019-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Certain Fees Related to the Listing and Trading of Options Contracts on the Dow Jones Industrial Average Index ("DJX") Comments Due: Exhibit 5 Federal Register version (84 FR 22916)
34-85850
May 13, 2019
SR-NASDAQ-2019-037
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule in Options 7, Section 2 Comments Due: Exhibit 5 Federal Register version (84 FR 22542)
34-85848
May 13, 2019
SR-ICEEU-2019-003
Notice Relating to amendments to the ICE Clear Europe Clearing Rules (the "Rules") Comments Due: Exhibit 5 Federal Register version (84 FR 22530)
34-85849
May 13, 2019
SR-CboeEDGA-2019-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the EDGA Equities Trading Platform Fee Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 22543)
34-85845
May 13, 2019
SR-CboeBZX-2019-043
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Operative Date of Rule Change Pursuant to SR-CboeBZX-2019-025 Comments Due: Federal Register version (84 FR 22541)
34-85846
May 13, 2019
SR-CboeBZX-2019-038
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 22546)
34-85839
May 10, 2019
SR-EMERALD-2019-20
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 22192)
34-85829
May 10, 2019
SR-NYSEArca-2019-14
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Certain Changes Regarding Investments of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (84 FR 22221)
34-85826
May 10, 2019
SR-NYSE-2019-09
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rules 104 and 36 To Require Designated Market Makers To Communicate With a Designed Senior Representative of the Issuers of the DMM's Assigned Securities Comments Due: View Received Comments Federal Register version (84 FR 22173)
34-85837
May 10, 2019
SR-PEARL-2019-17
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 22214)
34-85836
May 10, 2019
SR-MIAX-2019-23
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 22205)
34-85831
May 10, 2019
SR-CboeEDGX-2019-028
Notice of Filing of a Proposed Rule Change To Adopt Rule 21.22 (Complex Automated Improvement Mechanism) Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 22178)
34-85842
May 10, 2019
SR-CboeEDGA-2019-011
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related 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 22212)
34-85825
May 10, 2019
SR-CboeBZX-2019-039
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BZX Equities Trading Platform ("BZX Equities") as It Relates to Pricing for the Use of the TRIM Routing Strategy Comments Due: Exhibit 5 Federal Register version (84 FR 22203)
34-85840
May 10, 2019
SR-CboeBZX-2019-041
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related 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 22190)
34-85824
May 10, 2019
SR-CboeBYX-2019-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BYX Equities Trading Platform ("BYX Equities") as it Relates to Pricing for the Use of the TRIM Routing Strategy Comments Due: Exhibit 5 Federal Register version (84 FR 22176)
34-85841
May 10, 2019
SR-CboeBYX-2019-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related 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 22199)
34-85838
May 10, 2019
SR-CboeEDGX-2019-029
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Amending its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee View Received Comments Exhibit 5 Federal Register version (84 FR 22174)
34-85820
May 9, 2019
SR-NYSEArca-2019-30
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 21866)
34-85812
May 9, 2019
SR-NYSE-2019-14
Notice of Filing of 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 Exhibit 5 Federal Register version (84 FR 21861)
34-85811
May 9, 2019
SR-BX-2019-011
Notice of Filing of Proposed Rule Change To Make Permanent the Pilot Program for the Exchange's Retail Price Improvement Program, Which Is Set To Expire on June 30, 2019 Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 21868)
34-85813
May 9, 2019
SR-NASDAQ-2019-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Equity 7 Pricing Schedule, Sections 112, 123, 135, 146, 155 and 158 Comments Due: Exhibit 5 Federal Register version (84 FR 21853)
34-85817
May 9, 2019
SR-CBOE-2019-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Reduced Subscription Fees for Academics for the Sale of Historical Cboe Open-Close Volume Data Comments Due: Exhibit 5 Federal Register version (84 FR 21863)
34-85806
May 8, 2019
SR-NASDAQ-2019-035
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove the Exchange's Current Primary Contingency Procedure From the Exchange's Rule Book Comments Due: Exhibit 5 Federal Register version (84 FR 21384)
34-85807
May 8, 2019
SR-PEARL-2019-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule Exhibit 5 Federal Register version (84 FR 21368)
34-85808
May 8, 2019
SR-MIAX-2019-22
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 21371)
34-85804
May 8, 2019
SR-CboeBZX-2019-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List And Trade Under BZX Rule 14.11(c)(4) the Shares of the iShares iBonds 2021 Term High Yield and Income ETF, iShares iBonds 2022 Term High Yield and Income ETF, iShares iBonds 2023 Term High Yield and Income ETF, iShares iBonds 2024 Term High Yield and Income ETF, and iShares iBonds 2025 Term High Yield and Income ETF of iShares Trust Comments Due: Federal Register version (84 FR 21375)
34-85803
May 8, 2019
SR-BOX-2019-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt BOX Rule 7620 (Accommodation Transactions) Establishing Cabinet Trading on the Exchange's Trading Floor Comments Due: Exhibit 5 Federal Register version (84 FR 21382)
34-85797
May 7, 2019
SR-CboeEDGX-2019-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Opening Process and Add a Global Trading Hours Session for XSP Options Comments Due: Exhibit 5 Federal Register version (84 FR 20920)
34-85800
May 7, 2019
SR-CboeEDGX-2019-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Rule 11.11 and Rule 11.16, as Well as Its Fee Schedule, To Delete References to the SWPB Routing Option Comments Due: Exhibit 5 Federal Register version (84 FR 20915)
34-85799
May 7, 2019
SR-CboeEDGA-2019-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 11.11 and Rule 11.16, as Well as Its Fee Schedule, To Delete References to the SWPB Routing Option Comments Due: Exhibit 5 Federal Register version (84 FR 20917)
34-85795
May 7, 2019
SR-CboeBZX-2019-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 11.13 (Order Execution and Routing) and the Fee Schedule To Delete References to the TRIM2 and SWPB Routing Options Comments Due: Exhibit 5 Federal Register version (84 FR 20937)
34-85794
May 7, 2019
SR-CboeBYX-2019-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 11.13 (Order Execution and Routing) and Fee Schedule To Delete References to TRIM2 and SWPB Routing Options Comments Due: Exhibit 5 Federal Register version (84 FR 20935)
34-85798
May 7, 2019
SR-BOX-2019-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Criteria for Listing an Option on an Underlying Covered Security Comments Due: Exhibit 5 Federal Register version (84 FR 20940)
34-85783
May 6, 2019
SR-EMERALD-2019-19
Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 515A Concerning the PRIME Price Improvement and Solicitation Mechanisms and Rules 516 and 517 Regarding Post-Only Orders and Post-Only Quotes Comments Due: Exhibit 5 Federal Register version (84 FR 20665)
34-85782
May 6, 2019
SR-ICEEU-2019-009
Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Operational Risk Management Policy ("ORM Policy") Comments Due: Federal Register version (84 FR 20671)
34-85788
May 6, 2019
SR-C2-2019-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Opening Process and Add a Global Trading Hours Session for DJX Options Comments Due: Exhibit 5 Federal Register version (84 FR 20673)
34-85772
May 3, 2019
SR-NYSE-2019-22
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 7.31 To Add a New Order Type, Capital Commitment Order, and Make Related Changes to Rules 7.16, 7.34, 7.36, and 7.37 Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 20448)
34-85771
May 3, 2019
SR-PEARL-2019-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions, Rule 200, Trading Permits, Chapter III, Business Conduct, Rule 506, Collection and Dissemination of Quotations, Chapter VII, Exercises and Deliveries, Chapter VIII, Records, Reports and Audits, Chapter IX, Summary Suspension, Chapter XI, Hearings, Review and Arbitration, Chapter XIII, Doing Business With The Public, Chapter XIV, Order Protection, Locked and Crossed Markets, Chapter XV, Margins, Chapter XVI, Net Capital Requirements, Chapter XVII, Consolidated Audit Trail Compliance Rule and Chapter XVIII, Index Options Exhibit 5 Federal Register version (84 FR 20445)
34-85770
May 3, 2019
SR-MIAX-2019-21
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions, Rule 200, Trading Permits, Rule 402, Criteria for Underlying Securities, Rule 403, Withdrawal of Approval of Underlying Securities and Rule 519, MIAX Order Monitor Comments Due: Exhibit 5 Federal Register version (84 FR 20441)
34-85766
May 3, 2019
SR-CboeBZX-2019-015
Notice of Designation of a Longer Period for Commission Action on 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 20453)
34-85761
May 2, 2019
SR-Phlx-2019-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete and Relocate the Exchange's Current Registration, Qualification and Continuing Education Rules Federal Register version (84 FR 20176)
34-85763
May 2, 2019
SR-LCHSA-2019-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Onboarding Fee Waiver and Introduction of a Fee Rebate Scheme for CDSClear Index Swaptions Clearing Activities Comments Due: Exhibit 5 Federal Register version (84 FR 20178)
34-85764
May 2, 2019
SR-FINRA-2019-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the FINRA Manual To Reflect FINRA's New Subsidiary, FINRA CAT, LLC Comments Due: Exhibit 5 Federal Register version (84 FR 20173)
34-85760
May 2, 2019
SR-CboeBZX-2019-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Under BZX Rule 14.11(d)(2)(K)(i) Shares of the iPath S&P MLP ETN Issued by Barclays Bank PLC Comments Due: Federal Register version (84 FR 20169)
34-85758
May 1, 2019
SR-NYSEArca-2019-12
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the iShares Commodity Curve Carry Strategy ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (84 FR 19978)
34-85755
April 30, 2019
SR-OCC-2019-004
Notice of Filing of Proposed Rule Change 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 19815)
34-85751
April 30, 2019
SR-NYSEArca-2019-28
Notice of Filing of Proposed Rule Change To List and Trade Shares of the Virtus WMC Risk-Managed Alternative Equity ETF Comments Due: View Received Comments Federal Register version (84 FR 19141)
34-85752
April 30, 2019
SR-MSRB-2019-09
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate MSRB Rule G-29, on Availability of Board Rules Comments Due: Exhibit 5 Federal Register version (84 FR 19820)
34-85740
April 29, 2019
SR-Phlx-2019-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Floor Trading Rules to Options 8 Exhibit 5 Federal Register version (84 FR 23613)
34-85743
April 29, 2019
SR-NASDAQ-2019-031
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5702 Concerning an Issuer's Obligation To Disclose Material Information About the Issuer's Listed Non-Convertible Bonds Comments Due: Exhibit 5 Federal Register version (84 FR 19148)
34-85745
April 29, 2019
SR-NASDAQ-2019-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of the Early Order Imbalance Information Functionality Comments Due: Federal Register version (84 FR 19135)
34-85744
April 29, 2019
SR-BOX-2019-14
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 Modify Its Strategy QOO Order Fee Cap and Rebate Comments Due: Exhibit 5 Federal Register version (84 FR 19133)
34-85731
April 26, 2019
SR-NYSEAMER-2019-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.11E, Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility Exhibit 5 Federal Register version (84 FR 18911)
34-85738
April 26, 2019
SR-NYSECHX-2019-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Relating to Fingerprint-Based Background Checks of Directors, Officers, Employees and Others Comments Due: Exhibit 5 Federal Register version (84 FR 18895)
34-85737
April 26, 2019
SR-GEMX-2019-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange Registration Rules and Incorporate by Reference The Nasdaq Stock Market Rules at General 4 Comments Due: Exhibit 5 Federal Register version (84 FR 18897)
34-85726
April 26, 2019
SR-BX-2019-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange's Current Registration, Qualification and Continuing Education Rules Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 18908)
34-85730
April 26, 2019
SR-MRX-2019-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange's Current Registration, Qualification and Continuing Education Rules Comments Due: Exhibit 5 Federal Register version (84 FR 18903)
34-85728
April 26, 2019
SR-ISE-2019-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange's Current Registration, Qualification and Continuing Education Rules Comments Due: Exhibit 5 Federal Register version (84 FR 18892)
34-85725
April 26, 2019
SR-CboeEDGX-2019-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Replace Obsolete Terminology Comments Due: Exhibit 5 Federal Register version (84 FR 18905)
34-85734
April 26, 2019
SR-CboeEDGX-2019-009
Notice of Designation of Longer Period for Commission Action on 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 18907)
34-85729
April 26, 2019
SR-CboeBZX-2019-030
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Replace Obsolete Terminology Comments Due: Exhibit 5 Federal Register version (84 FR 18899)
34-85727
April 26, 2019
SR-CBOE-2019-025
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter 17 of the Cboe Options Rules Comments Due: Exhibit 5 Federal Register version (84 FR 18878)
34-85732
April 26, 2019
SR-CBOE-2019-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.49A To Eliminate the Exchange's On-Floor Position Transfer Procedure Comments Due: Exhibit 5 Federal Register version (84 FR 18901)
34-85723
April 25, 2019
SR-NYSENAT-2019-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.11, Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (84 FR 18618)
34-85716
April 25, 2019
SR-NYSECHX-2019-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding New Rules on Hours of Business, Holidays and Trading Halts and Suspensions, and Amendment of Article 20, Rule 1 Comments Due: Exhibit 5 Federal Register version (84 FR 18623)
34-85724
April 25, 2019
SR-NYSEARCA-2019-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.11-E, Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (84 FR 18626)
34-85722
April 25, 2019
SR-NYSE-2019-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7.11 and 80C, Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (84 FR 18621)
34-85715
April 25, 2019
SR-FINRA-2019-012
Notice of Filing of 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: View Received Comments Exhibit 5 Federal Register version (84 FR 18592)
34-85713
April 24, 2019
SR-FINRA-2019-014
Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6730 (Transaction Reporting) April 24, 2019. Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 18329)
34-85707
April 23, 2019
SR-CBOE-2019-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options Pilot Program Regarding Permissible Exercise Settlement Values for Flexible Exchange Index Options Comments Due: View Received Comments Federal Register version (84 FR 18100)
34-85700
April 22, 2019
SR-EMERALD-2019-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions Comments Due: Exhibit 5 Federal Register version (84 FR 17906)
34-85699
April 22, 2019
SR-MSRB-2019-08
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain MSRB Rules To Update Cross-References to the Rules of Other Self-Regulatory Organizations, To Amend Rules With Grammatical or Typographical Errors and To Delete Certain Sections of MSRB Rules That Are Outdated or No Longer Relevant Comments Due: Exhibit 5 Federal Register version (84 FR 17897)
34-85701
April 22, 2019
SR-CboeBZX-2019-016
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, 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: View Received Comments Federal Register version (84 FR 17902)
34-85698
April 22, 2019
SR-C2-2019-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Continuous Quoting Obligations for Market-Makers Comments Due: Exhibit 5 Federal Register version (84 FR 17894)
34-85696
April 19, 2019
SR-NYSEArca-2019-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Regarding Certain Credits Comments Due: Exhibit 5 Federal Register version (84 FR 17439)
34-85697
April 19, 2019
SR-NYSEArca-2019-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete NYSE Arca Rule 8.800-E Setting Forth the Requirements for the NYSE Arca ETP Incentive Program Comments Due: Exhibit 5 Federal Register version (84 FR 17438)
34-85695
April 19, 2019
SR-BOX-2019-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 7130 Comments Due: Exhibit 5 Federal Register version (84 FR 17441)
34-85692
April 18, 2019
SR-Phlx-2019-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Listing of P.M.-Settled Nasdaq-100 Index Options Expiring on the Third Friday of the Month Exhibit 5 Federal Register version (84 FR 17213)
34-85690
April 18, 2019
SR-NYSEArca-2019-06
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Generic Listing Standards for Managed Fund Shares Applicable to Holdings in Fixed Income Securities Comments Due: View Received Comments Federal Register version (84 FR 17204)
34-85691
April 18, 2019
SR-BX-2019-002
Notice of Filing of Proposed Rule Change To Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision Comments Due: View Received Comments Federal Register version (84 FR 17219)
34-85687
April 18, 2019
SR-NASDAQ-2019-017
Notice of Filing of 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 17224)
34-85693
April 18, 2019
SR-MIAX-2019-20
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 17207)
34-85685
April 18, 2019
SR-FINRA-2019-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Regulation NMS Plan To Address Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (84 FR 17222)
34-85686
April 18, 2019
SR-FICC-2019-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Include References to Uniform Mortgage-Backed Securities Comments Due: Exhibit 5 Federal Register version (84 FR 17204)
34-85689
April 18, 2019
SR-CboeBZX-2019-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to BZX Rule 11.18, Trading Halts Due to Extraordinary Market Volatility, to the Close of Business on October 18, 2019 Comments Due: Exhibit 5 Federal Register version (84 FR 17217)
34-85688
April 18, 2019
SR-CBOE-2019-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its SPXPM Pilot Program Comments Due: View Received Comments Federal Register version (84 FR 17214)
34-85669
April 17, 2019
SR-Phlx-2019-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program Exhibit 5 Federal Register version (84 FR 16913)
34-85670
April 17, 2019
SR-OCC-2019-801
Notice of Filing of Advance Notice Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures Comments Due: Federal Register version (84 FR 16915)
34-85674
April 17, 2019
SR-NYSENAT-2019-09
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 16903)
34-85671
April 17, 2019
SR-MRX-2019-08
Notice of Filing of a Proposed Rule Change To Adopt Complex Order Functionality Comments Due: Exhibit 5 Federal Register version (84 FR 16907)
34-85672
April 17, 2019
SR-ISE-2019-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program Comments Due: Exhibit 5 Federal Register version (84 FR 16899)
34-85673
April 17, 2019
SR-ICC-2019-004
Notice Relating to ICC's Model Validation Framework Comments Due: Federal Register version (84 FR 16900)
34-85676
April 17, 2019
SR-FICC-2019-001
Notice of Filing of Proposed Rule Change To Amend the GSD and MBSD Methodology Documents and the MBSD Clearing Rules Comments Due: Exhibit 5 Federal Register version (84 FR 16921)
