34-85616
April 11, 2019
SR-CBOE-2019-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That are Linked to the Equity Market Plan To Address Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (84 FR 16093)
34-85624
April 11, 2019
SR-C2-2019-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (84 FR 16130)
34-85584
April 10, 2019
SR-NYSEAMER-2019-10
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 15654)
34-85597
April 10, 2019
SR-NYSE-2019-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Modify the Supplemental Liquidity Provider Provide Tier 1 Credit for Securities Traded Pursuant to Unlisted Trading Privileges Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 15658)
34-85585
April 10, 2019
SR-BX-2019-008
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Rule 4121, Trading Halts Due to Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (84 FR 15643)
34-85587
April 10, 2019
SR-ICEEU-2019-007
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures. Comments Due: Exhibit 5 Federal Register version (84 FR 15641)
34-85588
April 10, 2019
SR-ICC-2019-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Cash Investment Yield Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 15659)
34-85589
April 10, 2019
SR-FINRA-2019-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 15646)
34-85590
April 10, 2019
SR-CboeEDGX-2019-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 15652)
34-85591
April 10, 2019
SR-CboeBZX-2019-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 15645)
34-85586
April 10, 2019
SR-CboeBYX-2018-014
Notice of Withdrawal of Proposed Rule Change To Make Permanent Exchange Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program Comments Due: Federal Register version (84 FR 15657)
34-85592
April 10, 2019
SR-CBOE-2019-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Select Customer Options Reduction Program Comments Due: Exhibit 5 Federal Register version (84 FR 15656)
34-85568
April 9, 2019
SR-EMERALD-2019-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 530, Limit Up-Limit Down, and Exchange Rule 521, Nullification and Adjustment of Options Transactions Comments Due: Exhibit 5 Federal Register version (84 FR 15243)
34-85563
April 9, 2019
SR-NYSEAMER-2019-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10E, Clearly Erroneous Executions Exhibit 5 Federal Register version (84 FR 15241)
34-85564
April 9, 2019
SR-NYSEAMER-2019-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Rule 7.12E, Trading Halts Due to Extraordinary Market Volatility Exhibit 5 Federal Register version (84 FR 15269)
34-85577
April 9, 2019
SR-Phlx-2019-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of the FBMS FIX Interface To Submit Orders to a Particular Floor Broker on the Options Floor Federal Register version (84 FR 15260)
34-85579
April 9, 2019
SR-Phlx-2019-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Rule 133, Trading Halts Due to Extraordinary Market Volatility Exhibit 5 Federal Register version (84 FR 15258)
34-85572
April 9, 2019
SR-NYSENAT-2019-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Rule 7.12, Trading Halts Due to Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (84 FR 15257)
34-85565
April 9, 2019
SR-NYSECHX-2019-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Article 20, Rule 2, Trading Halts Due to Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (84 FR 15239)
34-85561
April 9, 2019
SR-NYSEArca-2019-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Rule 7.12-E, Trading Halts Due to Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (84 FR 15262)
34-85573
April 9, 2019
SR-NYSEArca-2019-04
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend 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 15239)
34-85560
April 9, 2019
SR-NYSE-2019-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Rule 80B, Trading Halts Due to Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (84 FR 15247)
34-85578
April 9, 2019
SR-NASDAQ-2019-027
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Rule 4121, Trading Halts Due to Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (84 FR 15271)
34-85571
April 9, 2019
SR-PEARL-2019-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 530, Limit Up-Limit Down, and Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors Exhibit 5 Federal Register version (84 FR 15263)
34-85567
April 9, 2019
SR-MIAX-2019-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 530, Limit Up-Limit Down, and Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors Comments Due: Exhibit 5 Federal Register version (84 FR 15245)
34-85566
April 9, 2019
SR-IEX-2019-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Listing Requirements Contained in Rule 14.412 To Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value Comments Due: Exhibit 5 Federal Register version (84 FR 15265)
34-85576
April 9, 2019
SR-IEX-2019-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.280 (Limit Up-Limit Down Plan and Trading Halts) To Extend the Pilot Period for the Regulation NMS Plan To Address Extraordinary Market Volatility to the Close of Business on October 18, 2019 Comments Due: Exhibit 5 Federal Register version (84 FR 15237)
34-85557
April 9, 2019
SR-CboeBZX-2019-001
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Under BZX Rule 14.11(c)(3) Shares of the Global X Russell 2000 Covered Call ETF of Global X Funds Comments Due: View Received Comments Federal Register version (84 FR 15248)
34-85553
April 8, 2019
SR-NYSEAMER-2019-09
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Exhibit 5 Federal Register version (84 FR 15020)
34-85552
April 8, 2019
SR-NYSE-2019-05
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Comments Due: View Received Comments Federal Register version (84 FR 15015)
34-85546
April 8, 2019
SR-NASDAQ-2019-023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 118(a) Comments Due: Exhibit 5 Federal Register version (84 FR 15013)
34-85551
April 8, 2019
SR-MSRB-2019-07
Notice of Filing of a Proposed Rule Change To Amend Rules G-11 and 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 2 , Exhibit 3 , Exhibit 5 Federal Register version (84 FR 14988)
34-85541
April 8, 2019
SR-PEARL-2019-12
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 14983)
34-85554
April 8, 2019
SR-LCHSA-2019-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the CDS and Options Fee Grid for CDSClear Clearing Members Effective Retroactively From January 1st, 2019 Comments Due: Exhibit 5 Federal Register version (84 FR 15025)
34-85547
April 8, 2019
SR-FINRA-2019-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks) Comments Due: Exhibit 5 Federal Register version (84 FR 14981)
34-85545
April 8, 2019
SR-CboeEDGX-2019-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions Comments Due: Exhibit 5 Federal Register version (84 FR 15016)
34-85544
April 8, 2019
SR-CboeEDGA-2019-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGA Rule 11.15, Clearly Erroneous Executions Comments Due: Exhibit 5 Federal Register version (84 FR 15011)
34-85543
April 8, 2019
SR-CboeBZX-2019-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions Comments Due: Exhibit 5 Federal Register version (84 FR 15018)
34-85542
April 8, 2019
SR-CboeBYX-2019-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions Comments Due: Exhibit 5 Federal Register version (84 FR 15009)
34-85531
April 5, 2019
SR-NYSEAMER-2018-39
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a 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 14703)
34-85519
April 5, 2019
SR-Phlx-2019-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend and Relocate the Qualified Contingent Cross Orders Rules Exhibit 5 Federal Register version (84 FR 14686)
34-85522
April 5, 2019
SR-NYSENAT-2019-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10, Clearly Erroneous Executions Comments Due: Exhibit 5 Federal Register version (84 FR 14704)
34-85533
April 5, 2019
SR-NYSECHX-2019-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Article 20, Rule 10, Handling of Clearly Erroneous Transactions Comments Due: Exhibit 5 Federal Register version (84 FR 14701)
34-85532
April 5, 2019
SR-NYSEArca-2019-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10-E, Clearly Erroneous Executions Comments Due: Exhibit 5 Federal Register version (84 FR 14708)
34-85523
April 5, 2019
SR-NYSE-2019-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10, Clearly Erroneous Executions, and Rule 128, Clearly Erroneous Executions for NYSE Equities Comments Due: Exhibit 5 Federal Register version (84 FR 14706)
34-85521
April 5, 2019
SR-CboeEDGA-2019-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Handling of Orders That Contain Both a Post Only Instruction and Certain Other Order Handling Instructions Maintained To Facilitate Compliance with Rule 610(d) of Regulation NMS Comments Due: Exhibit 5 Federal Register version (84 FR 14699)
34-85513
April 4, 2019
SR-NASDAQ-2019-022
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend and Restate the Exchange's Membership Rules Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (84 FR 14429)
34-85512
April 4, 2019
SR-MIAX-2019-17
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 14438)
34-85515
April 4, 2019
SR-CboeEDGX-2019-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGX Rules To Clarify the Handling of Orders That Contain Both a Post Only Instruction and Certain Other Order Handling Instructions Maintained To Facilitate Compliance With Rule 610(d) of Regulation NMS Comments Due: Exhibit 5 Federal Register version (84 FR 14427)
34-85497
April 3, 2019
SR-NYSEAMER-2019-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 928NY To Reduce the Minimum Allowable Parameter for the Percentage-Based Risk Limitation Mechanism Exhibit 5 Federal Register version (84 FR 14180)
34-85494
April 3, 2019
SR-NYSEArca-2019-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40-O To Reduce the Minimum Allowable Parameter for the Percentage-Based Risk Limitation Mechanism Comments Due: Exhibit 5 Federal Register version (84 FR 14166)
34-85500
April 3, 2019
SR-BX-2018-025
Notice of Withdrawal of Proposed Rule Change, As Modified By Amendment No. 1, To Make Permanent the Retail Price Improvement Program Pilot, Which Is Set To Expire on June 30, 2019 Comments Due: View Received Comments Federal Register version (84 FR 14180)
34-85498
April 3, 2019
SR-NASDAQ-2019-004
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt a New MIDP Routing Option Under Rule 4758 and Make a Conforming Change to Rule 4703(e) Comments Due: View Received Comments Federal Register version (84 FR 14171)
34-85503
April 3, 2019
SR-NASDAQ-2019-009
Notice of Filing of Proposed Rule Change To Revise the Exchange's Initial Listing Standards Related to Liquidity Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 14172)
34-85504
April 3, 2019
SR-NASDAQ-2019-024
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Equity 7 Pricing Schedule, Section 139 Comments Due: Exhibit 5 Federal Register version (84 FR 14183)
34-85505
April 3, 2019
SR-NASDAQ-2019-007
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision Comments Due: View Received Comments Federal Register version (84 FR 14170)
34-85499
April 3, 2019
SR-FINRA-2019-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 7640B, Data Products Offered by NYSE Comments Due: Exhibit 5 Federal Register version (84 FR 14161)
34-85481
April 2, 2019
SR-GEMX-2019-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Term "Professional Customer" Comments Due: Exhibit 5 Federal Register version (84 FR 13983)
34-85488
April 2, 2019
SR-FINRA-2019-008
Notice of Filing of a Proposed Rule Change To Establish a Corporate Bond New Issue Reference Data Service Comments Due: View Received Comments Exhibit 3 , Exhibit 5 Federal Register version (84 FR 13977)
34-85482
April 2, 2019
SR-CboeEDGX-2019-012
Notice of Filing of a Proposed Rule Change To Introduce Retail Priority Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 13729)
34-85457
March 29, 2019
SR-EMERALD-2019-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments Comments Due: Exhibit 5 Federal Register version (84 FR 13355)
34-85451
March 29, 2019
SR-NYSEAMER-2019-03
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services View Received Comments Exhibit 5 Federal Register version (84 FR 13339)
34-85467
March 29, 2019
SR-Phlx-2019-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify Replacement Issues That May Be Added to the Penny Pilot in Rule 1034 Exhibit 5 Federal Register version (84 FR 13335)
34-85449
March 29, 2019
SR-NYSENAT-2019-03
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: View Received Comments Exhibit 5 Federal Register version (84 FR 13324)
34-85450
March 29, 2019
SR-NYSEARCA-2019-07
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: View Received Comments Exhibit 5 Federal Register version (84 FR 13378)
34-85461
March 29, 2019
SR-NYSEArca-2019-01
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change 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 13339)
34-85456
March 29, 2019
SR-NYSE-2019-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services View Received Comments Exhibit 5 Federal Register version (84 FR 13359)
34-85462
March 29, 2019
SR-GEMX-2019-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01 to Rule 710 To Specify Replacement Issues That May Be Added to the Penny Pilot on a Quarterly Basis Without Altering the Expiration Date of the Pilot Comments Due: Exhibit 5 Federal Register version (84 FR 13351)
34-85454
March 29, 2019
SR-BX-2019-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 5, "Minimum Increments" Comments Due: Exhibit 5 Federal Register version (84 FR 13357)
34-85452
March 29, 2019
SR-NASDAQ-2019-020
Notice of Filing and Immediate Effectiveness of Proposed Rule Change The Nasdaq Options Market LLC Rules at Chapter VI, Section 5 Comments Due: Exhibit 5 Federal Register version (84 FR 13353)
34-85463
March 29, 2019
SR-MRX-2019-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01 to Rule 710, "Minimum Increments" Comments Due: Exhibit 5 Federal Register version (84 FR 13386)
34-85455
March 29, 2019
SR-PEARL-2019-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami PEARL, LLC To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments Exhibit 5 Federal Register version (84 FR 13347)
34-85469
March 29, 2019
SR-MIAX-2019-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments Comments Due: Exhibit 5 Federal Register version (84 FR 13349)
34-85448
March 29, 2019
SR-ISE-2019-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01 to Rule 710 To Specify Replacement Issues That May Be Added to the Penny Pilot on a Quarterly Basis Without Altering the Expiration Date of the Pilot Comments Due: Exhibit 5 Federal Register version (84 FR 13343)
34-85466
March 29, 2019
SR-CboeEDGX-2019-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 21.5, Interpretation and Policy .01 To Specify That Replacement Issues May Be Added to the Penny Pilot Program ("Pilot") on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which Is June 30, 2019 Comments Due: Federal Register version (84 FR 13332)
34-85465
March 29, 2019
SR-CboeBZX-2019-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 21.5, Interpretation and Policy .01 To Specify That Replacement Issues May Be Added to the Penny Pilot Program ("Pilot") on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which Is June 30, 2019 Comments Due: Federal Register version (84 FR 13337)
34-85474
March 29, 2019
SR-CboeBZX-2019-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Make Certain Changes to the Listing Rule Governing the Listing and Trading of the Shares of the WisdomTree Japan Multifactor Fund and the WisdomTree Europe Multifactor Fund of the WisdomTree in Order for Such Funds To Be Listed and Traded on the Exchange Under Rule 14.11(i) ("Managed Fund Shares") Comments Due: Federal Register version (84 FR 13371)
34-85475
March 29, 2019
SR-CboeBZX-2019-004
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust, Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Comments Due: View Received Comments Federal Register version (84 FR 13345)
34-85458
March 29, 2019
SR-CBOE-2019-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.42, Interpretation and Policy .04 To Specify That Replacement Issues May Be Added to the Penny Pilot Program ("Pilot") on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which Is June 30, 2019 Comments Due: Federal Register version (84 FR 13376)
34-85464
March 29, 2019
SR-C2-2019-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.4, Interpretation and Policy .02 To Specify That Replacement Issues May Be Added to the Penny Pilot Program ("Pilot") on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which is June 30, 2019 Comments Due: Federal Register version (84 FR 13384)
34-85453
March 29, 2019
SR-BOX-2019-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow for Replacement Issues To Be Added to the Penny Pilot Program ("Pilot Program") on a Quarterly Basis Comments Due: Exhibit 5 Federal Register version (84 FR 13382)
34-85440
March 28, 2019
SR-OCC-2019-002
Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures Comments Due: Federal Register version (84 FR 13082)
34-85441
March 28, 2019
SR-OCC-2019-003
Notice of Filing of Proposed Rule Change To Require That an Actionable Identifier Be Included on Customer and Non-Customer Securities Options Trades Other Than Market Maker Trades Comments Due: Federal Register version (84 FR 13075)
34-85438
March 28, 2019
SR-PEARL-2019-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami PEARL, LLC To Amend Exchange Rule 404, Series of Option Contracts Open for Trading Exhibit 5 Federal Register version (84 FR 13090)
34-85442
March 28, 2019
SR-MIAX-2019-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 404, Series of Option Contracts Open for Trading Comments Due: Exhibit 5 Federal Register version (84 FR 13093)
34-85439
March 28, 2019
SR-ICEEU-2019-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Adoption of a New Futures & Options Capital-to-Margin and Shortfall Margin Policy (the "F&O Margin Shortfall Policy") Comments Due: Federal Register version (84 FR 13087)
34-85429
March 27, 2019
SR-NYSEAMER-2019-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 900.3NY, 925.1NY, and 971.1NY Exhibit 5 Federal Register version (84 FR 12649)
34-85430
March 27, 2019
SR-NYSEArca-2019-14
Notice of Filing of 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 12646)
34-85431
March 27, 2019
SR-NASDAQ-2019-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of the Midpoint Trade Now Functionality Comments Due: Federal Register version (84 FR 12658)
34-85425
March 26, 2019
SR-NYSEAMER-2019-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Statements Made in a Recent Filing In Regards to the Six-Month Lookback Period for New Issues Added to the Penny Pilot on a Quarterly Basis Federal Register version (84 FR 12304)
34-85417
March 26, 2019
SR-NYSEArca-2019-02
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF Under NYSE Arca Rule 8.200-E Comments Due: View Received Comments Federal Register version (84 FR 12304)
34-85426
March 26, 2019
SR-NYSEARCA-2019-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Statements Made in a Recent Filing in Regards to the Six-Month Lookback Period for New Issues Added to the Penny Pilot on a Quarterly Basis Comments Due: Federal Register version (84 FR 12307)
34-85422
March 26, 2019
SR-NYSEArca-2018-43
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF View Received Comments Federal Register version (84 FR 12310)
34-85413
March 26, 2019
SR-FINRA-2019-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Capital Acquisition Broker ("CAB") Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs Comments Due: Exhibit 5 Federal Register version (84 FR 12311)
34-85414
March 26, 2019
SR-CboeEDGX-2019-011
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Rules Related to the Designated Primary Market-Maker ("DPM") Participation Entitlements Comments Due: Federal Register version (84 FR 12301)
34-85419
March 26, 2019
SR-CBOE-2019-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Cboe Options Rule 6.2 Comments Due: Exhibit 5 Federal Register version (84 FR 12308)
34-85400
March 22, 2019
SR-MSRB-2019-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers Comments Due: Exhibit 5 Federal Register version (84 FR 11841)
34-85397
March 22, 2019
SR-PEARL-2019-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 507, Must Give Up Clearing Member, and Rule 513, Submission of Orders and Clearance of Transactions Exhibit 3 , Exhibit 5 Federal Register version (84 FR 11847)
34-85396
March 22, 2019
SR-ISE-2019-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Maker Plus Program Comments Due: Exhibit 5 Federal Register version (84 FR 11844)
34-85386
March 21, 2019
SR-EMERALD-2019-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 507, Must Give Up Clearing Member, and Rule 513, Submission of Orders and Clearance of Transactions Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (84 FR 11622)
