34-85181
Feb. 22, 2019
SR-CboeBZX-2018-066
Notice of Deemed Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options on a Pilot Basis Comments Due: Federal Register version (84 FR 6842)
34-85183
Feb. 22, 2019
SR-CboeBZX-2019-009
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 6844)
34-85179
Feb. 22, 2019
SR-C2-2018-021
Notice of Deemed Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Allow the Post Only Order Instruction on Complex Orders Comments Due: View Received Comments Federal Register version (84 FR 6846)
34-85170
Feb. 21, 2019
SR-NYSEArca-2019-04
Notice of Filing of Proposed Rule Change Amending NYSE Arca Rule 5.2-E(j)(3) To Adopt Generic Listing Standards for Investment Company Units Based on an Index of Municipal Bond Securities Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 6451)
34-85169
Feb. 21, 2019
SR-CBOE-2019-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend its Fees Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 6445)
34-85168
Feb. 20, 2019
SR-NYSEAMER-2019-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31E Relating to the Minimum Trade Size Modifier Exhibit 5 Federal Register version (84 FR 6188)
34-85167
Feb. 20, 2019
SR-CBOE-2019-011
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend a Fee for the S&P Select Sector Index Options ("Sector Index Options") Comments Due: Exhibit 5 Federal Register version (84 FR 6039)
34-85164
Feb. 19, 2019
SR-EMERALD-2019-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Emerald Order Monitor Comments Due: Exhibit 5 Federal Register version (84 FR 6036)
34-85154
Feb. 15, 2019
SR-NYSEArca-2018-54
Notice of Withdrawal of a Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares Comments Due: Federal Register version (84 FR 5794)
34-85153
Feb. 15, 2019
SR-NASDAQ-2019-007
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 5752)
34-85156
Feb. 15, 2019
SR-NASDAQ-2019-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Listing Standards for Direct Listings and Clarify Related Rules Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 5787)
34-85163
Feb. 15, 2019
SR-PEARL-2019-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Options Regulatory Fee Exhibit 5 Federal Register version (84 FR 5798)
34-85147
Feb. 15, 2019
SR-MIAX-2018-35
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 100 (Definitions); Rule 515 (Execution of Orders and Quotes); and Rule 503 (Openings on the Exchange) Comments Due: View Received Comments Federal Register version (84 FR 5743)
34-85148
Feb. 15, 2019
SR-MIAX-2018-34
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 519, MIAX Order Monitor; Exchange Rule 519A, Risk Protection Monitor; and Exchange Rule 517, Quote Types Defined Comments Due: View Received Comments Federal Register version (84 FR 5745)
34-85155
Feb. 15, 2019
SR-MIAX-2018-36
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend MIAX Rule 518, Complex Orders Comments Due: View Received Comments Federal Register version (84 FR 5739)
34-85162
Feb. 15, 2019
SR-MIAX-2019-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (84 FR 5783)
34-85157
Feb. 15, 2019
SR-ICC-2019-002
Notice of Filing of Proposed Rule Change Relating to ICC's Risk Parameter Setting and Review Policy Comments Due: Federal Register version (84 FR 5748)
34-85144
Feb. 14, 2019
SR-NYSENAT-2019-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31 Relating to the Minimum Trade Size Modifier Comments Due: Exhibit 5 Federal Register version (84 FR 5519)
34-85145
Feb. 14, 2019
SR-NYSE-2019-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to (1) Delete Dealings and Settlements (Rule 45-299C), Rule 235 (Ex-Dividend, Ex-Rights), Rule 236 (Ex-Warrants), and Rule 257 (Deliveries After "Ex" Date) and (2) Amend Dealings and SettlementsT (Rule 45-299C), Rule 235T (Ex-Dividend, Ex-Rights), Rule 236T (Ex-Warrants), and Rule 257T (Deliveries After "Ex" Date) Comments Due: Exhibit 5 Federal Register version (84 FR 5536)
34-85140
Feb. 14, 2019
SR-GEMX-2019-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (84 FR 5511)
34-85131
Feb. 14, 2019
SR-BX-2019-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 2 Comments Due: Exhibit 5 Federal Register version (84 FR 5532)
34-85132
Feb. 14, 2019
SR-NASDAQ-2019-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Provisions for Excluding a Day From Its Volume Calculations for Purposes of Determining Tiered Pricing Comments Due: Exhibit 5 Federal Register version (84 FR 5528)
34-85135
Feb. 14, 2019
SR-MSRB-2019-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule A-16, on Examination Fees, To Establish a Test Development Fee for the Series 54 Examination Comments Due: Exhibit 5 Federal Register version (84 FR 5513)
34-85143
Feb. 14, 2019
SR-MRX-2019-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Pricing Schedule at Options 7, Section 3 Comments Due: Exhibit 5 Federal Register version (84 FR 5508)
34-85138
Feb. 14, 2019
SR-MIAX-2019-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors Comments Due: Exhibit 5 Federal Register version (84 FR 5524)
34-85137
Feb. 14, 2019
SR-FICC-2018-013
Notice of Designation of Longer Period for Commission Action and Reopening the Period for Comment on Proposed Rule Change To Expand Sponsoring Member Eligibility in the Government Securities Division Rulebook and Make Other Changes Comments Due: View Received Comments Federal Register version (84 FR 5523)
34-85130
Feb. 14, 2019
SR-CboeEDGX-2019-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule as It Relates to Pricing for the Use of Certain Routing Strategies Comments Due: Exhibit 5 Federal Register version (84 FR 5515)
34-85142
Feb. 14, 2019
SR-CboeBZX-2019-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify That BZX's Halt Auction Process Is Applicable Only To Halt Auctions Following a Regulatory Halt Comments Due: Exhibit 5 Federal Register version (84 FR 5506)
34-85141
Feb. 14, 2019
SR-CBOE-2019-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Cboe Order Routing Subsidy Program ("ORS") and Complex Order Routing Subsidy Program ("CORS") To Exclude Subsidy Payments for Contracts Executed as Qualified Contingent Cross ("QCC") Orders Comments Due: Exhibit 5 Federal Register version (84 FR 5517)
34-85133
Feb. 14, 2019
SR-BOX-2019-03
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 5538)
34-85139
Feb. 14, 2019
SR-BOX-2019-02
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 Certain Agency Order Fees for Facilitation and Solicitation Transactions Comments Due: Exhibit 5 Federal Register version (84 FR 5521)
34-85125
Feb. 13, 2019
SR-Phlx-2019-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (84 FR 5171)
34-85126
Feb. 13, 2019
SR-NYSENAT-2019-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates To Revise the Requirements To Qualify for the Adding Tier 2 Credits Comments Due: Exhibit 5 Federal Register version (84 FR 5132)
34-85117
Feb. 13, 2019
SR-NYSEArca-2018-83
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF Comments Due: View Received Comments Federal Register version (84 FR 5124)
34-85124
Feb. 13, 2019
SR-NASDAQ-2019-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (84 FR 5119)
34-85127
Feb. 13, 2019
SR-MRX-2019-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt an Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (84 FR 5173)
34-85116
Feb. 13, 2019
SR-CboeEDGA-2019-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the EDGA Fee Schedule as It Relates to Pricing for the Use of Certain Routing Strategies Comments Due: Exhibit 5 Federal Register version (84 FR 5176)
34-85119
Feb. 13, 2019
SR-CboeBZX-2019-004
Notice of Filing of 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 5140)
34-85123
Feb. 13, 2019
SR-CboeBZX-2019-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BZX Fee Schedule as It Relates to Pricing for the Use of Certain Routing Strategies Comments Due: Exhibit 5 Federal Register version (84 FR 5126)
34-85122
Feb. 13, 2019
SR-CboeBYX-2019-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BYX Fee Schedule as It Relates to Pricing for the Use of Certain Routing Strategies Comments Due: Exhibit 5 Federal Register version (84 FR 5134)
34-85110
Feb. 12, 2019
SR-NYSEARCA-2018-67
Notice of Withdrawal of a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Equity Index-Linked Securities Listing Standards Set Forth in NYSE Arca Rule 5.2-E(j)(6)(B)(I) Comments Due: Federal Register version (84 FR 4890)
34-85111
Feb. 12, 2019
SR-NASDAQ-2019-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Rules of the Rule 7000A Series Concerning the Order Audit Trail System Comments Due: Exhibit 5 Federal Register version (84 FR 4883)
34-85113
Feb. 12, 2019
SR-NASDAQ-2019-004
Notice of Filing of 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 Exhibit 5 Federal Register version (84 FR 4885)
34-85109
Feb. 12, 2019
SR-MRX-2019-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Provisions for Excluding a Day From Its Volume Calculations for Purposes of Determining Pricing Tiers Comments Due: Exhibit 5 Federal Register version (84 FR 4864)
34-85112
Feb. 12, 2019
SR-FINRA-2019-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Temporary Relief To Permit Member Alternative Trading Systems (ATSs) and ATS Subscribers Additional Flexibility in Transitioning To Disaggregated Reporting for Certain Transactions in U.S. Treasury Securities Comments Due: Federal Register version (84 FR 4868)
34-85108
Feb. 12, 2019
SR-CboeBZX-2019-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Eighth Amended and Restated Bylaws (the "Exchange Bylaws") the Fourth Amended and Restated Bylaws (the "Parent Bylaws") of Its Parent Corporation, Cboe Global Markets, Inc. ("Cboe" or the "Parent") Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (84 FR 4880)
34-85107
Feb. 12, 2019
SR-CboeBYX-2019-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Eighth Amended and Restated Bylaws (the "Exchange Bylaws") the Fourth Amended and Restated Bylaws (the "Parent Bylaws") of Its Parent Corporation, Cboe Global Markets, Inc. ("Cboe" or the "Parent") Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (84 FR 4887)
34-85114
Feb. 12, 2019
SR-CBOE-2019-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Financial Incentive Program for Lead Market-Makers Appointed in MSCI EAFE Index (MXEA) Options and MSCI Emerging Markets Index (MXEF) Options Comments Due: Exhibit 5 Federal Register version (84 FR 4878)
34-85106
Feb. 12, 2019
S7-966
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, BOX Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, and MIAX Emerald, LLC Concerning Options-Related Sales Practice Matters Comments Due: Federal Register version (84 FR 4554)
34-85088
Feb. 11, 2019
SR-NYSEArca-2019-02
Notice of Filing of 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 4573)
34-85093
Feb. 11, 2019
SR-NYSEArca-2019-01
Notice of Filing of 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 4589)
34-85094
Feb. 11, 2019
SR-NYSEARCA-2019-05
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 4579)
34-85095
Feb. 11, 2019
SR-NYSE-2019-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Add a New Incentive for Supplemental Liquidity Providers in Tape A Securities When Adding Liquidity in Securities Traded Pursuant to Unlisted Trading Privilege Comments Due: Exhibit 5 Federal Register version (84 FR 4567)
34-85096
Feb. 11, 2019
SR-NYSE-2018-34
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Rule 104 Governing Transactions by Designated Market Makers Comments Due: Federal Register version (84 FR 4553)
34-85103
Feb. 11, 2019
SR-CboeEDGX-2019-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Ninth Amended and Restated Bylaws (the "Exchange Bylaws") the Fourth Amended and Restated Bylaws (the "Parent Bylaws") of Its Parent Corporation, Cboe Global Markets, Inc. ("Cboe" or the "Parent") Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (84 FR 4581)
34-85098
Feb. 11, 2019
SR-CboeEDGA-2019-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Ninth Amended and Restated Bylaws (the "Exchange Bylaws") the Fourth Amended and Restated Bylaws (the "Parent Bylaws") of Its Parent Corporation, Cboe Global Markets, Inc. ("Cboe" or the "Parent") Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (84 FR 4551)
34-85099
Feb. 11, 2019
SR-CboeBZX-2019-001
Notice of Filing of a Proposed Rule Change To List and Trade Under 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 4584)
34-85100
Feb. 11, 2019
SR-CBOE-2019-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Establish Fees for a Recently Added Option That Overlies the S&P Select Sector Index Options ("Sector Index options") Comments Due: Exhibit 5 Federal Register version (84 FR 4562)
34-85102
Feb. 11, 2019
SR-CBOE-2019-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Tenth Amended and Restated Bylaws (the "Exchange Bylaws") the Fourth Amended and Restated Bylaws (the "Parent Bylaws") of Its Parent Corporation, Cboe Global Markets, Inc. ("Cboe" or the "Parent") Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (84 FR 4565)
34-85101
Feb. 11, 2019
SR-C2-2019-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Tenth Amended and Restated Bylaws (the "Exchange Bylaws") the Fourth Amended and Restated Bylaws (the "Parent Bylaws") of Its Parent Corporation, Cboe Global Markets, Inc. ("Cboe" or the "Parent") Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (84 FR 4571)
34-85097
Feb. 11, 2019
4-551
Program for Allocation of Regulatory Responsibilities Pursuant to Rule17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, BOX Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, and MIAX Emerald, LLC Concerning Options-Related Market Surveillance Comments Due: Federal Register version (84 FR 4871)
34-85083
Feb. 8, 2019
SR-FINRA-2019-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 Comments Due: Federal Register version (84 FR 4109)
34-85078
Feb. 8, 2019
SR-CboeEDGX-2019-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Applicable to Its Equities Trading Platform ("EDGX Equities") To Introduce a "Cross-Asset Volume Tier" Comments Due: Exhibit 5 Federal Register version (84 FR 4111)
34-85080
Feb. 8, 2019
SR-CBOE-2019-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (84 FR 4113)
34-85082
Feb. 8, 2019
SR-C2-2019-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (84 FR 4125)
34-85071
Feb. 7, 2019
SR-NYSE-2019-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31 Relating to the Minimum Trade Size Modifier Comments Due: Exhibit 5 Federal Register version (84 FR 3843)
34-85072
Feb. 7, 2019
SR-ICEEU-2019-001
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Clearing Member Termination Comments Due: Federal Register version (84 FR 3838)
34-85073
Feb. 7, 2019
SR-FINRA-2019-003
Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information) Comments Due: Exhibit 5 Federal Register version (84 FR 3842)
34-85064
Feb. 6, 2019
SR-NYSEArca-2019-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E Relating to the Minimum Trade Size Modifier Comments Due: Exhibit 5 Federal Register version (84 FR 3521)
34-85062
Feb. 6, 2019
SR-FINRA-2019-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) Comments Due: Exhibit 5 Federal Register version (84 FR 3524)
34-85063
Feb. 6, 2019
SR-FINRA-2019-004
Notice of Filing of a Proposed Rule Change To Expand Time for Non-Parties To Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents Comments Due: View Received Comments Federal Register version (84 FR 3518)
34-85065
Feb. 6, 2019
SR-BOX-2018-14
Notice of Withdrawal of Proposed Rule Change To Adopt Rules Governing the Trading of Complex Qualified Contingent Cross Orders and Complex Customer Cross Orders Comments Due: Federal Register version (84 FR 3521)
34-85052
Feb. 5, 2019
SR-BOX-2019-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify That Multi-Leg Qualified Open Outcry Orders Are Permitted on the BOX Trading Floor Comments Due: Exhibit 5 Federal Register version (84 FR 3265)
34-85046
Feb. 4, 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., Chicago Stock Exchange, 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, and NYSE Arca, Inc. Comments Due: View Received Comments Federal Register version (84 FR 2643)
34-85034
Feb. 1, 2019
SR-CHX-2019-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Date of the Second Amended and Restated Certificate of Incorporation of the Exchange and the Third Amended and Restated Certificate of Incorporation of the Exchange's Parent CHX Holdings, Inc. Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (84 FR 2637)
34-85026
Feb. 1, 2019
SR-NYSEArca-2018-54
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares Comments Due: Federal Register version (84 FR 2637)
34-85029
Feb. 1, 2019
SR-NYSEARCA-2018-99
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 2608)
34-85033
Feb. 1, 2019
SR-NYSEArca-2018-98
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Listing and Trading 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 2618)
34-85035
Feb. 1, 2019
SR-NYSEARCA-2018-101
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges Regarding Credits Applicable To Lead Market Makers and to ETP Holders and Market Makers Affiliated With the LMM That Provide Displayed Liquidity to the NYSE Arca Book in Tape B Securities Comments Due: Exhibit 5 Federal Register version (84 FR 2628)
34-85037
Feb. 1, 2019
SR-NYSE-2018-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Modify the Incremental Step Up Tier for Supplemental Liquidity Providers Comments Due: Exhibit 5 Federal Register version (84 FR 2634)
34-85024
Feb. 1, 2019
SR-GEMX-2018-45
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Provisions for Excluding a Day From Its Volume Calculations Comments Due: Exhibit 5 Federal Register version (84 FR 2639)
34-85042
Feb. 1, 2019
SR-BX-2018-069
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 2593)
34-85039
Feb. 1, 2019
SR-NASDAQ-2018-111
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a) of the Rules Comments Due: Exhibit 5 Federal Register version (84 FR 2606)
34-85025
Feb. 1, 2019
SR-ISE-2018-102
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Provisions for Excluding a Day From its Pricing Tier Calculations Comments Due: Exhibit 5 Federal Register version (84 FR 2611)
34-85030
Feb. 1, 2019
SR-ISE-2019-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Nonstandard Expirations Pilot Program Comments Due: Exhibit 5 Federal Register version (84 FR 2633)
34-85036
Feb. 1, 2019
SR-IEX-2019-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reject Market Orders With a Time-in-Force of DAY That Are Entered in the Pre-Market Session for Non-IEX-Listed Securities Comments Due: Exhibit 5 Federal Register version (84 FR 2596)
34-85031
Feb. 1, 2019
SR-CboeBZX-2018-096
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 2630)
34-85038
Feb. 1, 2019
SR-C2-2018-025
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Discontinue Bulk Order Functionality and Implement Bulk Message Functionality Comments Due: Exhibit 5 Federal Register version (84 FR 2598)
34-85023
Jan. 31, 2019
SR-NYSEAMER-2018-58
Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule Exhibit 5 Federal Register version (84 FR 2290)
34-85020
Jan. 31, 2019
SR-NYSEArca-2018-40
Notice of Withdrawal of a Proposed Rule Change Regarding Investments of the REX BKCM ETF Comments Due: Federal Register version (84 FR 2264)
34-85019
Jan. 31, 2019
SR-NYSE-2018-52
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Rule 7.31 Relating to Discretionary Orders, Auction-Only Orders, Discretionary Modifier, and Yielding Modifier and Related Amendments to Rules 7.16, 7.34, 7.36, and 7.37 Comments Due: Federal Register version (84 FR 2287)
34-85022
Jan. 31, 2019
SR-NASDAQ-2018-080
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2 and 3, To List and Trade Shares of the BrandywineGLOBAL-Global Total Return ETF Comments Due: View Received Comments Federal Register version (84 FR 2265)
34-85016
Jan. 31, 2019
SR-IEX-2018-23
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Resting Price of Discretionary Peg Orders Comments Due: View Received Comments Federal Register version (84 FR 2265)
34-85015
Jan. 31, 2019
SR-CBOE-2019-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (84 FR 2288)
34-85018
Jan. 31, 2019
SR-CBOE-2018-075
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule With Respect to the SPX Select Market-Maker Program Comments Due: Exhibit 5 Federal Register version (84 FR 1810)
34-85005
Jan. 30, 2019
SR-NYSE-2018-54
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Amending Sections 312.03 and 312.04 of the Listed Company Manual To Amend the Price Requirements for Certain Exceptions From the Shareholder Approval Rules Comments Due: Federal Register version (84 FR 1812)
34-85003
Jan. 30, 2019
SR-FINRA-2018-040
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information) Federal Register version (84 FR 1809)
34-85000
Jan. 29, 2019
SR-NASDAQ-2018-079
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Nasdaq Rules 5705 and 5710 To Adopt a Disclosure Requirement for Certain Securities Comments Due: View Received Comments Federal Register version (84 FR 1525)
34-84999
Jan. 29, 2019
SR-MSRB-2019-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of Previously-Approved Amendments to Rule G-21 and New Rule G-40 Comments Due: Federal Register version (84 FR 1525)
34-84997
Jan. 29, 2019
4-678
Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, MIAX PEARL, LLC, and MIAX EMERALD, LLC. Comments Due: Federal Register version (84 FR 1252)
