National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-88220 | Feb 14, 2020 | SR-CboeEDGA-2020-004 | Cboe EDGA Exchange, Inc. (CboeEDGA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program See Also - Exhibit 5 |
| 34-88177 | Feb 12, 2020 | SR-CboeEDGA-2019-013 | Cboe EDGA Exchange, Inc. (CboeEDGA) | Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce the Small Retail Broker Distribution Program |
| 34-88111 | Feb 3, 2020 | SR-CboeEDGA-2020-001 | Cboe EDGA Exchange, Inc. (CboeEDGA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.11 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Managed Portfolio Shares, Which Are Shares of Actively Managed Exchange-Traded Funds for Which the Portfolio Is Disclosed in Accordance With Standard Mutual Fund Disclosure Rules See Also - Exhibit 5 |
| 34-88102 | Jan 30, 2020 | SR-CboeEDGA-2020-003 | Cboe EDGA Exchange, Inc. (CboeEDGA) | Notice of Filing of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems See Also - Exhibit 5 |
| 34-87847 | Dec 23, 2019 | SR-CboeEDGA-2019-023 | Cboe EDGA Exchange, Inc. (CboeEDGA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .01 of Rule 2.4 To Allow the Exchange To Provide Annual Notification to Individual Members That Are Subject to Paragraph (b) of Rule 2.4 See Also - Exhibit 5 |
| 34-87757 | Dec 16, 2019 | SR-CboeEDGA-2019-012 | Cboe EDGA Exchange, Inc. (CboeEDGA) | Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Liquidity Provider Protection Delay Mechanism on EDGA View Received Comments |
| 34-87746 | Dec 13, 2019 | SR-CboeEDGA-2019-022 | Cboe EDGA Exchange, Inc. (CboeEDGA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions See Also - Exhibit 5 |
| 34-87709 | Dec 10, 2019 | SR-CboeEDGA-2019-021 | Cboe EDGA Exchange, Inc. (CboeEDGA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program View Received Comments See Also - Exhibit 5 |
| 34-87674 | Dec 6, 2019 | SR-CboeEDGA-2019-011 | Cboe EDGA Exchange, Inc. (CboeEDGA) | Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee |
| 34-87676 | Dec 6, 2019 | SR-CboeEDGA-2019-014 | Cboe EDGA Exchange, Inc. (CboeEDGA) | Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee View Received Comments |