34-100462
July 5, 2024
SR-LCH SA-2024-003
Order Approving Proposed Rule Change Relating to the Terms of Reference of the Board and Sub Committees
34-100455
July 2, 2024
SR-OCC-2024-006
Order Approving Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to Its Rules and Comprehensive Stress Testing & Clearing Fund Methodology, and Liquidity Risk Management Description
34-100447
June 28, 2024
SR-ISE-2024-17
Order Approving a Proposed Rule Change to Amend the Strike Interval for Options on Exchange-Traded Fund Shares and to Allow $1 Strike Price Intervals Above $200 for Options on SPDR Gold Shares (GLD)
34-100438
June 26, 2024
SR-ISE-2024-12
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt Rules to List and Trade FLEX Options
Comments Due: on or before July 23, 2024. Rebuttal comments should be submitted by August 6, 2024.
34-100402
June 21, 2024
SR-FICC-2024-008
Order Approving Proposed Rule Change to Modify the GSD Rules and MBSD Rules to Update Certain Member Requirements Under CCLF
34-100400
June 21, 2024
SR-DTC-2024-003
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Clearing Agency Risk Management Framework
File Nos.:
SR-DTC-2024-003, SR-FICC-2024-006, SR-NSCC-2024-003
Comments Due:
21 days after publication in the Federal Register . Rebuttal Comments should be submitted 35 days after date of publication in the Federal Register .
34-100401
June 21, 2024
SR-FICC-2024-007
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the GSD Rules (i) Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Particip
Comments Due: 21 days after publication in the Federal Register. Rebuttal Comments Due: 35 days after publication in the Federal Register.
View Received Comments
34-100399
June 21, 2024
SR-FICC-2024-005
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement of All Eligible Secondary Market Transacti
Comments Due: on or before July 18, 2024. Rebuttal comments should be submitted by August 1, 2024.
View Received Comments
34-100394
June 21, 2024
SR-LCH SA-2024-002
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to the CDS Select Membership Model
Comments Due: 21 days after publication in the Federal Register. Rebuttal comments should be submitted 35 days after publication in the Federal Register.
34-100390
June 20, 2024
SR-NYSEARCA-2024-27
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the 7RCC Spot Bitcoin and Carbon Credit Futures ETF Under NYSE Arca Rule 8.500-E (Trust Units)
Comments Due: July 17, 2024
Rebuttal comments due: July 31, 2024
34-100327
June 13, 2024
SR-NYSE-2024-13
Order Approving a Proposed Rule Change Amending Rule 7.35 and Rule 7.35B
34-100274
June 5, 2024
SR-ICC-2024-003
Order Approving Proposed Rule Change Relating to the ICC Collateral Risk Management Framework
34-100256
May 31, 2024
SR-CBOE-2024-008
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a New Rule Regarding Order and Execution Management Systems
Comments Due: July 11, 2024
34-100224
May 23, 2024
SR-NYSEARCA-2023-70
Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments Thereto, to List and Trade Shares of Ether-Based Exchange-Traded Products
File Nos.:
SR-NYSEARCA-2023-70, SR-NYSEARCA-2024-31, SR-NASDAQ-2023-045, SR-CboeBZX-2023-069, SR-CboeBZX-2023-070, SR-CboeBZX-2023-087, SR-CboeBZX-2023-095, SR-CboeBZX-2024-018
Comments Due: June 20, 2024
34-100188
May 21, 2024
SR-NASDAQ-2024-016
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Increase Fees for Certain Market Data and Connectivity Products and to Maintain the Current Fees for Such Products if Members Meet a Mini
Comments Due: June 18, 2024. Rebuttal comments should be submitted by July 2, 2024.
34-100160
May 16, 2024
SR-PHLX-2024-15
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Exchange's Fees for Top of PHLX Options (TOPO), PHLX Orders, and TOPO Plus Orders
Comments Due: June 12, 2024. Rebuttal comments should be submitted by June 26, 2024.
View Received Comments
34-100113
May 13, 2024
SR-CboeBYX-2024-004
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Definition of Retail Order, and Codify Interpretations and Policies Regarding Permissible Uses of Algorithms by RMOs
Comments Due: June 7, 2024. Rebuttal comments should be submitted June 21, 2024.
34-100115
May 13, 2024
SR-CboeBZX-2024-007
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Definition of Retail Order, and Codify Interpretations and Policies Regarding Permissible Uses of Algorithms by RMOs
Comments Due: June 7, 2024. Rebuttal comments should be submitted by June 21, 2024.
34-100114
May 13, 2024
SR-CboeEDGX-2024-009
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Definition of Retail Order, and Codify Interpretations and Policies Regarding Permissible Uses of Algorithms by RMOs
Comments Due: June 7, 2024. Rebuttal comments should be submitted June 21, 2024.
34-100065
May 6, 2024
SR-CboeBZX-2023-087
Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Invesco Galaxy Ethereum ETF under BZX Rule 14.11(e)(4), Commodity-Based Trus
34-100052
May 2, 2024
SR-CboeEDGX-2024-007
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend Rule 11.6(n)(4) and Rule 11.10(a)(4)(D) to Permit the Use of the Post Only Order Instruction at Prices Below $1.00
Comments Due: May 29, 2024. Rebuttal comments should be submitted by June 12, 2024.
34-100051
May 2, 2024
SR-CboeEDGA-2024-003
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend Rule 11.6(n)(4) and Rule 11.10(a)(4)(D) to Permit the Use of the Post Only Order Instruction at Prices Below $1.00
Comments Due: May 29, 2024. Rebuttal comments should be submitted by June 12, 2024.
34-100048
May 2, 2024
SR-NSCC-2024-002
Order Approving of Proposed Rule Change to Accommodate a Shorter Standard Settlement Cycle and Make Other Changes
Comments Due: April 11, 2024
34-100038
April 26, 2024
SR-CboeBZX-2024-006
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend Rule 11.9(c)(6) and Rule 11.13(a)(4)(D) to Permit the Use of BZX Post Only Orders at Prices Below $1.00
Comments Due: May 23, 2024. Rebuttal comments should be submitted by June 6, 2024.
34-100040
April 26, 2024
SR-CboeBYX-2024-003
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend Rule 11.9(c)(6) and Rule 11.13(a)(4)(D) to Permit the Use of BYX Post Only Orders at Prices Below $1.00
Comments Due: May 23, 2024. Rebuttal comments should be submitted by June 6, 2024.
34-100032
April 25, 2024
SR-CboeBZX-2023-062
Order Disapproving a Proposed Rule Change to Amend the Initial Period After Commencement of Trading of a Series of Exchange-Traded Fund Shares on the Exchange as It Relates to the Holders of Record and/or Beneficial Holders, as Provided in Excha
34-100029
April 25, 2024
SR-NYSEARCA-2024-05
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the COtwo Advisors Physical European Carbon Allowance Trust under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Comments Due: May 22, 2024. Rebuttal comments should be submitted by June 5, 2024.
34-100024
April 24, 2024
SR-BOX-2024-07
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Permit the Listing and Trading of Options on Trusts That Hold Bitcoin
File Nos.:
SR-BOX-2024-07, SR-CBOE-2024-005, SR-ISE-2024-03, SR-ISE-2024-14, SR-MIAX-2024-03, SR-NYSEAMER-2024-10, SR-PEARL-2024-03
Comments Due: May 21, 2024
View Received Comments
34-100023
April 24, 2024
SR-NYSEARCA-2024-06
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Exchange Rule 5.3–O to Permit the Listing and Trading of Options on Commodity-Based Trust Shares
Comments Due: 21 days after date of publication in the Federal Register. Rebuttal Comments should be submitted 35 days after date of publication in the Federal Register.
View Received Comments
34-100017
April 23, 2024
4-757
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a National Market System Plan Regarding Consolidated Equity Market Data
Comments Due: June 3, 2024
View Received Comments
34-100009
April 22, 2024
SR-OCC-2024-001
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change by The Options Clearing Corporation Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements Du
Comments Due: May 17, 2024
34-100006
April 22, 2024
SR-FINRA-2024-004
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute
Comments Due: 21 days after date of publication in the Federal Register. Rebuttal comments should be submitted by 35 days after date of publication in the Federal Register.
View Received Comments
34-100003
April 22, 2024
SR-MSRB-2024-01
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Consisting of Proposed Rule Change to Amend MSRB Rule G-14 to Shorten the Timeframe for Reporting Trades in Municipal Securities to the MSRB
Comments Due: May 17, 2024
34-99994
April 19, 2024
4-820
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Amendment To Modify Section 5.2(c)(iii) of the OPRA Plan Relating to Dissemination of Exchange Proprietary Data Information
Comments Due: May 16, 2024
View Received Comments
34-99988
April 18, 2024
SR-FINRA-2024-001
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers) to Strengthen the General Prohibition Against Borrowing and Lending Arrangements.
Comments Due: May 15, 2024
View Received Comments
34-99965
April 16, 2024
SR-CboeBYX-2023-020
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 Introduce an Enhanced RPI Order and Expand its Retail Price Improvement Program
Comments Due: May 13, 2024. Rebuttal Comments Due: May 28, 2024.
View Received Comments
34-99946
April 11, 2024
SR-ISE-2024-06
Order Approving a Proposed Rule Change to Amend the Short Term Option Series Program
34-99922
April 8, 2024
SR-LCH SA-2023-007
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Liquidity Risk Modelling Framework
Comments Due: May 3, 2024. Rebuttal Comments should be submitted on or before May 7, 2024.
34-99833
March 21, 2024
SR-CboeBZX-2023-101
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Pando Asset Spot Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: April 17, 2024. Rebuttal comments should be submitted by May 1, 2024.
34-99733
March 14, 2024
SR-NSCC-2023-007
Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1 and Amendment No. 2, to Modify the Amended and Restated Stock Options and Futures Settlement Agreement and Make Certain Revisions to the NSCC Rules
34-99735
March 14, 2024
SR-OCC-2023-007
Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1 and Amendment No. 2, Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and t
34-99721
March 12, 2024
SR-CBOE-2023-063
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Exchange’s Rules Relating to Position and Exercise Limits
Comments Due: April 9, 2024. Rebuttal comments should be submitted by April 23, 2024.
34-99701
March 8, 2024
SR-OCC-2024-002
Order Granting Proposed Rule Change Concerning Amendments to The Options Clearing Corporation's Rules, By-Laws, and Certain Clearing Member Documents
34-99696
March 8, 2024
SR-FINRA-2023-010
Order Approving a Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements)
View Received Comments
34-99667
March 4, 2024
SR-CboeBZX-2023-095
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Fidelity Ethereum Fund under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: March 29, 2024. Rebuttal comments should be submitted by April 12, 2024.
34-99665
March 4, 2024
SR-NASDAQ-2023-045
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the iShares Ethereum Trust under Nasdaq Rule 5711(d), Commodity-Based Trust Shares
Comments Due: by March 29, 2024. Rebuttal comments should be submitted by April 12, 2024.
View Received Comments
34-99655
March 1, 2024
SR-CBOE-2024-006
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Options That Overlie a Reduced Value of the MSCI World Index, the Full Value of the MSCI ACWI Index, and a Reduced Value of the MSCI USA Index
34-99545
Feb. 15, 2024
4-631
Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Twenty-Third Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, I
Comments Due: March 14, 2024
34-99511
Feb. 9, 2024
SR-NYSE-2023-36
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Regarding Enhancements to its DMM Program
Comments Due: March 7, 2024.
Rebuttal comments: March 21, 2024
View Received Comments
34-99484
Feb. 7, 2024
SR-MSRB-2023-07
Order Granting Approval of a Proposed Rule Change to Amend MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date
View Received Comments
34-99487
Feb. 7, 2024
SR-FINRA-2023-015
Order Approving Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees
View Received Comments
34-99479
Feb. 6, 2024
SR-CboeBZX-2023-087
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Invesco Galaxy Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: March 4, 2024. Rebuttal comments should be submitted by March 18, 2024.
View Received Comments
34-99456
Feb. 1, 2024
SR-DTC-2023-013
Order Approving of Proposed Rule Change to Modify the DTC Settlement Service Guide
34-99456
Feb. 1, 2024
Order Approving of Proposed Rule Change to Modify the DTC Settlement Service Guide
Comments Due: January 18, 2024
34-99444
Jan. 29, 2024
SR-MSRB-2023-06
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13
Comments Due: February 23, 2024
Rebuttal comments due : March 8, 2024
View Received Comments
34-99428
Jan. 25, 2024
SR-NYSEARCA-2023-70
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Grayscale Ethereum Trust under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Comments Due: March 6, 2024
34-99423
Jan. 24, 2024
SR-LCH SA-2023-008
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Recovery and Resolution
34-99335
Jan. 11, 2024
SR-FINRA-2023-013
Order Approving a Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure and Code of Mediation Procedure to Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations
See Also -
Order Scheduling Filing of Statements of Review for SR-FINRA-2023-013 , Letter from Deputy Secretary J. Matthew DeLesDernier to Kristine Vo, Assistant General Counsel, FINRA dated January 19, 2024
34-99306
Jan. 10, 2024
SR-NYSEARCA-2023-44
Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments Thereto, to List and Trade Bitcoin-Based Commodity-Based Trust Shares and Trust Units
File Nos.:
SR-NYSEArca-2021-90, SR-NYSEARCA-2023-44, SR-NYSEARCA-2023-58, SR-NASDAQ-2023-016, SR-NASDAQ-2023-019, SR-CboeBZX-2023-028, SR-CboeBZX-2023-038, SR-CboeBZX-2023-040, SR-CboeBZX-2023-042, SR-CboeBZX-2023-044, SR-CboeBZX-2023-072
34-99303
Jan. 9, 2024
SR-NSCC-2023-011
Order Granting Approval of a Proposed Rule Change to Refine the Margin Liquidity Adjustment (“MLA”) Charge Calculation and the Description of the MLA Charge
34-99260
Jan. 2, 2024
4-818
Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq PHLX LLC
34-99247
Dec. 27, 2023
SR-CboeBZX-2023-063
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt an Alternative to the Minimum $4 Price Requirement for Companies Seeking to List Tier II Securities on the Exchange
Comments Due: January 24, 2024. Rebuttal comments should be submitted by February 7, 2024.
View Received Comments
34-99225
Dec. 21, 2023
SR-NYSE-2023-09
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the NYSE Listed Company Manual to Adopt Listing Standards for Natural Asset Companies
Comments Due: Comments Due: January 18, 2024
Rebuttal Comments Due: February 1, 2024
View Received Comments
34-99196
Dec. 18, 2023
SR-CboeBZX-2023-070
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the ARK 21Shares Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: January 12, 2024. Rebuttal comments should be submitted by January 26, 2024.
View Received Comments
34-99195
Dec. 18, 2023
SR-CboeBZX-2023-069
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the VanEck Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: January 12, 2024. Rebuttal comments should be submitted by January 26, 2024.
34-99200
Dec. 18, 2023
SR-NASDAQ-2023-035
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Hashdex Nasdaq Ethereum ETF under Nasdaq Rule 5711(i) (Trust Units)
34-99198
Dec. 18, 2023
SR-NYSEARCA-2023-63
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Grayscale Ethereum Futures Trust (ETH) ETF under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts)
Comments Due: Comments Due: January 12, 2024
Rebuttal Comments Due: January 26, 2024
34-99115
Dec. 7, 2023
SR-ICC-2023-014
Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts
34-99031
Nov. 28, 2023
SR-NYSEARCA-2023-58
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Hashdex Bitcoin Futures ETF under NYSE Arca Rule 8.500-E (Trust Units)
Comments Due: December 22, 2023
Rebuttal comments due: January 5, 2024
View Received Comments
34-99030
Nov. 28, 2023
SR-CboeBZX-2023-072
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Franklin Bitcoin ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: December 22, 2023. Rebuttal comments submitted by January 5, 2024.
View Received Comments
34-99023
Nov. 27, 2023
4-698
Order Granting an Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Recordkeeping Requirements for Industry Test Data, as Required by Rule 17a-1 Under th
34-99017
Nov. 24, 2023
SR-MEMX-2023-25
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend its Fee Schedule to Establish an Options Regulatory Fee
Comments Due: by December 21, 2023. Rebuttal Comments should be submitted on or before December 21, 2023.
34-98982
Nov. 17, 2023
SR-FINRA-2023-007
Order Approving a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
View Received Comments
34-98979
Nov. 17, 2023
SR-OCC-2023-003
Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations
34-98981
Nov. 17, 2023
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Global X Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: December 15, 2023. Rebuttal comments submitted by December 29, 2023.
View Received Comments
34-98957
Nov. 15, 2023
SR-CBOE-2023-054
Order Approving a Proposed Rule Change to Amend Rule 4.13 to Expand the Nonstandard Expirations Program to Include P.M.-Settled Options on Broad-Based Indexes that Expire on Tuesday or Thursday
34-98950
Nov. 15, 2023
Order Approving a Proposed Rule Change to Permit the Listing and Trading of P.M.-Settled Nasdasq-100 Index® Options with a Third-Friday-of-the-Month Expiration
View Received Comments
34-98935
Nov. 14, 2023
SR-ISE-2023-20
Order Approving a Proposed Rule Change to Permit the Listing and Trading of P.M.-Settled Nasdasq-100 Index® Options with a Third-Friday-of-the-Month Expiration
34-98933
Nov. 14, 2023
SR-CboeBZX-2023-062
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Initial Period After Commencement of Trading of a Series of ETF Shares on the Exchange as It Relates to the Holders of Record and/or Beneficial
Comments Due: December 11, 2023. Rebuttal comments submitted by December 26, 2023.
34-98937
Nov. 14, 2023
SR-NYSE-2023-29
Order Approving Proposed Rule Changes to Establish Certain Alternative Procedures for the Allocation of Power in Co-Location
File Nos.:
SR-NYSE-2023-29, SR-NYSENAT-2023-18, SR-NYSECHX-2023-16, SR-NYSEAMER-2023-39, SR-NYSEARCA-2023-53
34-98915
Nov. 13, 2023
SR-CBOE-2023-049
Order Approving a Proposed Rule Change to Adopt Monthly Options Series
View Received Comments
34-98917
Nov. 13, 2023
SR-MIAX-2023-36
Order Approving a Proposed Rule Change to Amend Exchange Rule 404, Series of Option Contracts Open for Trading
34-98905
Nov. 13, 2023
SR-ISE-2023-11
Order Approving a Proposed Rule Change to Amend the Short Term Option Series Program to Permit the Listing of Two Wednesday Expirations for Options on Certain Exchange Traded Products
View Received Comments
34-98882
Nov. 8, 2023
SR-FICC-2023-014
Order Approving Proposed Rule Change Relating to the GSD and MBSD Schedules of Haircuts for Eligible Clearing Fund Securities
34-98881
Nov. 8, 2023
SR-NSCC-2023-009
Order Approving Proposed Rule Change Relating to the Schedule of Haircuts for Eligible Clearing Fund Securities
34-98843
Nov. 1, 2023
SR-NASDAQ-2023-025
Order Approving a Proposed Rule Change Related to Notification and Disclosure of Reverse Stock Splits
34-98815
Oct. 27, 2023
SR-ICEEU-2023-011
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Wind Down Framework and Plan
34-98799
Oct. 25, 2023
SR-ICEEU-2023-021
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to its Operational Risk and Resilience Policy
34-98790
Oct. 24, 2023
SR-ICEEU-2023-022
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Clearing Membership Policy and Clearing Membership Procedures
34-98647
Sept. 29, 2023
SR-CboeBYX-2023-013
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend its Fee Schedule Related to Physical Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
34-98653
Sept. 29, 2023
SR-CboeEDGX-2023-057
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend its Fee Schedule Related to Physical Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
View Received Comments
34-98653
Sept. 29, 2023
SR-CboeEDGX-2023-057
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend its Fee Schedule Related to Physical Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
34-98656
Sept. 29, 2023
SR-EMERALD-2023-19
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Fee Schedule To Modify Certain Connectivity and Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
34-98652
Sept. 29, 2023
SR-CboeEDGA-2023-015
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend its Fee Schedule Related to Physical Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
View Received Comments
34-98657
Sept. 29, 2023
SR-MIAX-2023-30
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Fee Schedule To Modify Certain Connectivity and Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023
34-98659
Sept. 29, 2023
SR-NASDAQ-2023-022
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Create a New, Non-Trading Limited Underwriter Membership Class and Impose Related Requirements for Principal Underwriting Activity
View Received Comments
34-98659
Sept. 29, 2023
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Create a New, Non-Trading Limited Underwriter Membership Class and Impose Related Requirements for Principal Underwriting Activity
Comments Due: October 25, 2023
34-98651
Sept. 29, 2023
SR-CboeEDGX-2023-058
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend its Fee Schedule Related to Physical Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
View Received Comments
34-98650
Sept. 29, 2023
SR-CboeBZX-2023-068
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend its Fee Schedule Related to Physical Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
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34-98658
Sept. 29, 2023
SR-PEARL-2023-35
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the Fee Schedule To Modify Certain Connectivity and Port Fees
Comments Due: October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.