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Release Number	SEC Issue Date	File Number	Details
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 Submit a Comment on SR-ISE-2023-11
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 Submit a Comment on SR-FICC-2023-014
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 Submit a Comment on SR-NSCC-2023-009
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 Submit a Comment on SR-ICEEU-2023-021
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. Submit a Comment on SR-CboeBYX-2023-013
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 Submit a Comment on SR-CboeEDGX-2023-057
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. Submit a Comment on SR-CboeEDGX-2023-057
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. Submit a Comment on SR-EMERALD-2023-19
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 Submit a Comment on SR-CboeEDGA-2023-015
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 Submit a Comment on SR-MIAX-2023-30
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 Submit a Comment on SR-NASDAQ-2023-022
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 Submit a Comment
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 Submit a Comment on SR-CboeEDGX-2023-058
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. View Received Comments Submit a Comment on SR-CboeBZX-2023-068
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. Submit a Comment on SR-PEARL-2023-35
34-98649	Sept. 29, 2023	SR-C2-2023-020	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 Submit a Comment on SR-C2-2023-020
34-98628	Sept. 28, 2023	SR-FINRA-2023-010	Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements) View Received Comments
34-98623	Sept. 28, 2023	SR-CboeBZX-2023-042	Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the WisdomTree Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares *Comments Due:* October 25, 2023. Rebuttal comments should be submitted by November 8, 2023.
34-98610	Sept. 28, 2023	SR-NASDAQ-2023-016	Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the iShares Bitcoin Trust under Nasdaq Rule 5711(d), Commodity-Based Trust Shares *Comments Due:* October 25, 2023 Rebuttal comments: November 8, 2023 Submit a Comment on SR-NASDAQ-2023-016
34-98613	Sept. 28, 2023	SR-CboeBZX-2023-038	Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Invesco Galaxy Bitcoin ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares *Comments Due:* October 25, 2023. Rebuttal comments should be submitted by November 8, 2023. View Received Comments Submit a Comment on SR-CboeBZX-2023-038
34-98606	Sept. 28, 2023	SR-NASDAQ-2023-019	Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Valkyrie Bitcoin Fund under Nasdaq Rule 5711(d), Commodity-Based Trust Shares *Comments Due:* October 25, 2023 Rebuttal Comments: November 8, 2023 Submit a Comment on SR-NASDAQ-2023-019
34-98639	Sept. 28, 2023	SR-CboeBZX-2023-044	Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the Wise Origin Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares *Comments Due:* October 25, 2023. Rebuttal comments should be submitted by November 8, 2023. View Received Comments Submit a Comment on SR-CboeBZX-2023-044
34-98614	Sept. 28, 2023	SR-CboeBZX-2023-040	Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the VanEck Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares *Comments Due:* October 25, 2023. Rebuttal comments should be submitted by November 8, 2023. Submit a Comment on SR-CboeBZX-2023-040
34-98570	Sept. 27, 2023	SR-ICEEU-2023-019	Order Approving Proposed Rule Change Relating to Amendments to the Model Risk Policy Submit a Comment on SR-ICEEU-2023-019
34-98572	Sept. 27, 2023	SR-ICC-2023-013	Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures *Comments Due:* September 18, 2023 Submit a Comment on SR-ICC-2023-013
34-98514	Sept. 25, 2023	SR-OPRA-2023-01	Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Amendment to Modify the Options Price Reporting Authority's Fee Schedule Regarding Caps on the Amounts of Certain Port Fees *Comments Due:* October 20, 2023. Rebuttal comments should be submitted by November 3, 2023.
34-98496	Sept. 25, 2023	SR-ICC-2023-012	Order Approving Proposed Rule Change Relating to the Stress Testing Framework
34-98494	Sept. 25, 2023	SR-FICC-2023-011	Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a Portfolio Differential Charge as an Additional Component to the Government Securities Division Required Fund Deposit
34-98456	Sept. 20, 2023	SR-CBOE-2023-020	Order Granting Approval of a Proposed Rule Change to Make the Nonstandard Expirations Pilot Program Permanent
34-98455	Sept. 20, 2023	SR-CBOE-2023-019	Order Granting Approval of a Proposed Rule Change to Make Permanent the Operation of its Pilot Program that Allows the Exchange to List P.M.-Settled Third Friday-of-the-Month Mini-SPX Index ("XSP") Options and Mini-Russell 2000 Index ("MRUT") Options Seri
34-98450	Sept. 20, 2023	SR-ISE-2023-08	Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent Certain P.M.-Settled Pilots View Received Comments
34-98454	Sept. 20, 2023	SR-CBOE-2023-005	Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent the Operation of the Program that Allows the Exchange to List P.M.-Settled Third Friday-of-the-Month S&P 500 Stock Index Options ("SPX") Series View Received Comments
34-98451	Sept. 20, 2023	SR-Phlx-2023-07	Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent Certain P.M.-Settled Pilots View Received Comments
34-98409	Sept. 15, 2023	SR-ISE-2023-11	Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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 *Comments Due:* October 12, 2023. Rebuttal comments should be submitted by October 26, 2023. View Received Comments Submit a Comment on SR-ISE-2023-11
34-98387	Sept. 14, 2023	SR-ICEEU-2023-018	Order Approving Proposed Rule Change, as Modified by Amendment No. 1 and Partial Amendment No. 2, Relating to Amendments to the Outsourcing Policy
34-98367	Sept. 12, 2023	SR-NASDAQ-2023-017	Order Granting Approval of a Proposed Rule Change to Modify the Package of Complimentary Services Provided to Certain Eligible Switches and Make Other Changes to IM-5900-7 and IM-5900-7A Submit a Comment on SR-NASDAQ-2023-017
34-98353	Sept. 12, 2023	SR-MSRB-2023-05	Order Granting Approval of a Proposed Rule Change to Amend MSRB Rule G-3 to Create an Exemption for Municipal Advisor Representatives from Requalification by Examination and Remove Waiver Provisions and to Amend MSRB Rule G-8 to Establish Related Books an
34-98337	Sept. 8, 2023	SR-ICEEU-2023-020	Order Approving Proposed Rule Change Relating to Amendments to Recovery Plan
34-98327	Sept. 8, 2023	SR-FICC-2023-010	Order Granting Approval of Proposed Rule Change to Amend and Restate the Cross-Margining Agreement between FICC and CME
34-98317	Sept. 7, 2023	SR-FINRA-2022-033	Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Codes of Arbitration Procedure to Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Indepen
34-98302	Sept. 6, 2023	SR-NYSEARCA-2023-37	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 *Comments Due:* October 17, 2023 Submit a Comment on SR-NYSEARCA-2023-37
34-98290	Sept. 6, 2023	4-698	Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments See Also - Fact Sheet, Press Release
34-98276	Sept. 1, 2023	SR-LCH SA-2023-005	Order Approving Proposed Rule Change Relating to Portfolio Margining
34-98271	Sept. 1, 2023	4-757	Amended Order Directing the Exchanges and the Financial Industry Regulatory Authority, Inc., to File a National Market System Plan Regarding Consolidated Equity Market Data View Received Comments
34-98212	Aug. 24, 2023	SR-FINRA-2022-032	Order Approving Proposed Rule Change Relating to Alternative Display Facility New Entrant *Comments Due:* January 17, 2023 View Received Comments See Also - Letter from Deputy Secretary J. Matthew DeLesDernier to Faisal Sheikh, Assistant General Counsel, FINRA, dated August 25, 2023 Submit a Comment on SR-FINRA-2022-032
34-98143	Aug. 16, 2023	SR-ICC-2023-010	Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts
34-98101	Aug. 10, 2023	SR-OCC-2022-012	Order Approving Proposed Rule Change Concerning Collateral Haircuts and Standards for Clearing Banks and Letters of Credit *Comments Due:* 21 days after date of publication in the Federal Register. Submit a Comment on SR-OCC-2022-012
34-98086	Aug. 8, 2023	SR-NSCC-2022-015	Order Approving a Proposed Rule Change to Make Certain Enhancements to the Gap Risk Measure and the VaR Charge
34-98071	Aug. 7, 2023	SR-ICEEU-2023-010	Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, to the ICE Clear Europe Clearing Rules Relating to Non-Default Losses *Comments Due:* May 31, 2023
34-98055	Aug. 4, 2023	SR-ICC-2023-007	Order Approving Proposed Rule Change Relating to the ICC Recovery Plan and the ICC Wind-Down Plan
34-98047	Aug. 2, 2023	SR-FINRA-2022-031	Order Approving a Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)
34-98045	Aug. 2, 2023	SR-MIAX-2023-19	Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend MIAX Rule 307, Position Limits *Comments Due:* August 29, 2023. Rebuttal comments should be submitted by September 12, 2023. Submit a Comment on SR-MIAX-2023-19
34-98032	Aug. 1, 2023	SR-ICEEU-2023-013	Order Approving Proposed Rule Change Relating to Amendments to the Collateral and Haircut Procedures
34-98029	July 31, 2023	SR-FINRA-2023-008	Order Approving a Proposed Rule Change to Amend FINRA Rules 1015, 9261, 9341, 9524, 9830 and Funding Portal Rule 900 (Code of Procedure) to Permit Hearings Under Those Rules to Be Conducted by Video Conference
34-98013	July 27, 2023	SR-NYSEAMER-2023-27	Order Granting Approval of a Proposed Rule Change to Amend Rule 915 (Criteria for Underlying Securities) to Accelerate the Listing of Options on Certain IPOs View Received Comments
34-98009	July 27, 2023	SR-LCH-SA-2023-004	Order Approving Proposed Rule Change Relating to Triparty Collateral Mechanism
34-98008	July 27, 2023	SR-CBOE-2023-020	Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change To Make the Nonstandard Expirations Pilot Program Permanent *Comments Due:* August 23, 2023. Rebuttal comments should be submitted by September 6, 2023.
34-98005	July 27, 2023	SR-CBOE-2023-019	Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Make Permanent the Operation of its Pilot Program that Allows the Exchange to List P.M.-Settled Third Friday-of-the-Month Mini-SPX Index Options and Mini-R *Comments Due:* August 23, 2023. *Rebuttal comments* should be submitted by September 6, 2023.
34-98003	July 27, 2023	SR-FINRA-2021-010	Order Setting Aside Action by Delegated Authority and Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant
34-97950	July 19, 2023	SR-CBOE-2023-018	Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Make Permanent the Operation of its Flexible Exchange Options Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options *Comments Due:* August 15, 2023 View Received Comments Submit a Comment on SR-CBOE-2023-018
34-97914	July 14, 2023	SR-ICC-2023-006	Order Approving Proposed Rule Change Relating to ICC's New Initiatives Approval Policy and Procedural Framework
34-97908	July 14, 2023	SR-ICC-2023-005	Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts
34-97792	June 26, 2023	SR-ICC-2023-008	Order Approving Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures
34-97763	June 20, 2023	SR-OCC-2023-004	Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation to amend and enhance the Options Clearing Corporation's Model Risk Management Policy
34-97750	June 16, 2023	4-698	Order Instituting Proceedings to Determine Whether to Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail File Nos.: SR– NYSEArca–2023–42, 4-698 *Comments Due:* July 14, 2023 View Received Comments
34-97647	June 5, 2023	SR-ICC-2023-004	Order Approving Proposed Rule Change Relating to Clearance of Additional Credit Default Swap Contracts
34-97585	May 25, 2023	SR-MSRB-2023-03	Order Granting Approval of a Proposed Rule Change to Amend MSRB Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring One Business Day after the Trade Date and to Amend Rule G-12 to Update an Outdated Cros
34-97528	May 19, 2023	SR-ICEEU-2023-009	Order Approving Proposed Rule Change Relating to Amendments of the Investment Management Procedures
34-97506	May 15, 2023	SR-Phlx-2023-09	Order Granting Approval of Proposed Rule Change to Permit the Listing and Trading of Options on the Nasdaq-100 ESG Index
34-97489	May 11, 2023	SR-ICC-2023-003	Order Approving Proposed Rule Change Relating to British Pounds Sterling as Client-Related Margin
34-97483	May 11, 2023	SR-MSRB-2023-01	Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records
34-97439	May 5, 2023	SR-OCC-2023-002	Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning the Amendment of its Clearing Membership Standards
34-97437	May 4, 2023	SR-CboeBZX-2023-020	Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the BZX Equities Fee Schedule to Add and Modify Certain Step-Up Tiers, Add a Non-Displayed Step-Up Tier and Modify Certain Fee Code *Comments Due:* 21 days after publication in the Federal Register Submit a Comment on SR-CboeBZX-2023-020
34-97406	April 28, 2023	SR-CboeEDGX-2023-016	Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend the EDGX Equities Fee Schedule to Eliminate and Modify Certain Growth Tiers and Non-Displayed Step-Up Volume Tiers, Modify a Retail *Comments Due:* Comments should be submitted on or before May 25, 2023. Rebuttal comments should be submitted by June 8, 2023. View Received Comments Submit a Comment on SR-CboeEDGX-2023-016
34-97342	April 21, 2023	SR-FICC-2023-003	Order Granting Proposed Rule Change to Revise the Description of the Stressed Period Used to Calculate the Value-at-Risk Charge and Make Other Changes
34-97195	March 24, 2023	SR-FINRA-2022-032	Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Alternative Display Facility New Entrant *Comments Due:* 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register View Received Comments Submit a Comment on SR-FINRA-2022-032 Federal Register version (88 FR 19173)
34-97193	March 24, 2023	4-698	Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments Federal Register version (88 FR 18605)
34-97178	March 21, 2023	SR-OCC-2022-012	Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Concerning the Options Clearing Corporation's Collateral Haircuts and Standards for Clearing Banks and Letters of Credit *Comments Due:* 15 days after publication in the Federal Register Rebuttal comments due: 29 days after publication in the Federal Register View Received Comments Submit a Comment on SR-OCC-2022-012 Federal Register version (88 FR 18205)
34-97169	March 20, 2023	SR-ICEEU-2023-004	Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Counterparty Credit Risk Policy and Counterparty Credit Risk Procedures *Comments Due:* 21 days after publication in the Federal Register Submit a Comment on SR-ICEEU-2023-004 Federal Register version (88 FR 17886)
34-97158	March 17, 2023	SR-NYSEARCA-2022-61	Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade the Shares of the Breakwave Tanker Shipping ETF *Comments Due:* January 4, 2023 Rebuttal comments due: January 18, 2023 Submit a Comment on SR-NYSEARCA-2022-61 Federal Register version (88 FR 17632)
34-97129	March 13, 2023	SR-NSCC-2022-009	Order Approving Proposed Rule Change to Adopt Intraday Volatility Charge and Eliminate Intraday Backtesting Charge *Comments Due:* Novemeber 10, 2022 Rebuttal comments due: 35 days after publication in the Federal Register Submit a Comment on SR-NSCC-2022-009
34-97102	March 10, 2023	SR-CboeBZX-2022-035	Order Disapproving a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Federal Register version (88 FR 16055)
34-97100	March 9, 2023	SR-LCHSA-2023-001	Order Approving Proposed Rule Change Relating to the Liquidity Risk Model Framework Federal Register version (88 FR 16040)
34-97039	March 3, 2023	SR-FINRA-2022-031	Order Routing Information for OTC Equity Securities) *Comments Due:* 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register View Received Comments Submit a Comment on SR-FINRA-2022-031 Federal Register version (88 FR 14653)
34-97018	March 2, 2023	SR-ICEEU-2022-027	Order Approving Proposed Rule Change Relating to the Capital Replenishment Plan Federal Register version (88 FR 14412)
34-97019	March 2, 2023	SR-CBOE-2022-058	Order Approving a Proposed Rule Change To Amend Rule 10.3 Regarding Margin Requirements Federal Register version (88 FR 14416)
34-96965	Feb. 22, 2023	SR-CBOE-2022-057	Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Increase Position Limits for Options on Apple Inc. Stock *Comments Due:* March 21, 2023 Rebuttal comments due: April 4, 2023 Submit a Comment on SR-CBOE-2022-057 Federal Register version (88 FR 12705)
34-96861	Feb. 9, 2023	SR-CboeBZX-2022-038	Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 11.28(a) To Extend the MOC Cut-Off Time for Cboe Market Close Federal Register version (88 FR 9940)
34-96798	Feb. 3, 2023	SR-FINRA-2022-015	Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm *Comments Due:* 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Submit a Comment on SR-FINRA-2022-015 Federal Register version (88 FR 8494)
34-96786	Feb. 1, 2023	SR-NSCC-2022-005	Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Revise the Excess Capital Premium Charge *Comments Due:* December 22, 2022 Rebuttal comments due: December 28, 2022 Submit a Comment on SR-NSCC-2022-005 Federal Register version (88 FR 8013)
34-96781	Jan. 31, 2023	SR-NASDAQ-2022-057	Order Approving of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Listing Rule 5732 To Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market *Comments Due:* February 27, 2023 See Also - Exhibit 4, Exhibit 5 Submit a Comment on SR-NASDAQ-2022-057 Federal Register version (88 FR 7766)
34-96751	Jan. 26, 2023	SR-CboeBZX-2022-031	Order Disapproving a Proposed Rule Change to List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares View Received Comments Federal Register version (88 FR 6328)
34-96684	Jan. 18, 2023	SR-CBOE-2022-051	Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rules Relating to the Processing of Auction Responses *Comments Due:* February 14, 2023 Rebuttal comments due: February 28, 2023 Federal Register version (88 FR 4243)
34-96611	Jan. 9, 2023	SR-IEX-2022-10	Order Granting Approval of a Proposed Rule Change To Modify IEX Rule 11.190(b)(7) To Adopt an Optional Cancel or Re-Price Functionality for D-Limit Orders *Comments Due:* December 16, 2022 Submit a Comment on SR-IEX-2022-10 Federal Register version (88 FR 2379)
34-96566	Dec. 22, 2022	SR-OCC-2022-010	Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning a Risk Management Framework and Corporate Risk Management Policy Federal Register version (87 FR 80207)