34-83651
July 17, 2018
SR-ICEEU-2017-016
Order Approving Proposed Rule Changes Related to the ICE Clear Europe Recovery and Wind-Down Plans File Nos.: Comments Due: Federal Register version (83 FR 34891)
34-83624
July 12, 2018
SR-BOX-2018-18
Order Granting Approval of a Proposed Rule Change To Adopt IM-7130-1 to Rule 7130 Comments Due: Federal Register version (83 FR 33969)
34-83559
June 29, 2018
SR-FINRA-2018-013
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Second Trade Reporting Facility Federal Register version (83 FR 31589)
34-83467
June 19, 2018
SR-CboeBZX-2018-019
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To List and Trade Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares Comments Due: View Received Comments Federal Register version (83 FR 29589)
34-83457
June 18, 2018
SR-FICC-2018-004
Order Approving Proposed Rule Change To Introduce a Floor to the Calculation of the Fails Charges and Make Other Changes Comments Due: Federal Register version (83 FR 29150)
34-83451
June 15, 2018
SR-LCHSA-2017-012
Order Approving Proposed Rule Changes Related to LCH SA's Recovery and Wind Down Plans File Nos.: Federal Register version (83 FR 28886)
34-83425
June 13, 2018
SR-CHX-2018-001
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt the Route QCT Cross Routing Option Comments Due: View Received Comments Federal Register version (83 FR 28477)
34-83401
June 8, 2018
SR-FICC-2018-003
Order Approving Proposed Rule Change To Amend the Fee Structure of the Government Securities Division Rulebook Comments Due: View Received Comments Federal Register version (83 FR 27812)
34-83389
June 6, 2018
SR-ICEEU-2018-006
Order Approving Proposed Rule Change Relating to the ICE Clear Europe CDS End-of-Day Price Discovery Policy Comments Due: Federal Register version (83 FR 27356)
34-83326
May 24, 2018
SR-OCC-2017-022
Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology Comments Due: View Received Comments Federal Register version (83 FR 25081)
34-83319
May 24, 2018
SR-NYSEArca-2018-15
Order Approving a Proposed Rule Change, As Modified by Amendment No. 1 Thereto, To Continue Listing and Trading Shares of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (83 FR 25097)
34-83294
May 21, 2018
SR-NASDAQ-2018-008
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value Comments Due: View Received Comments Federal Register version (83 FR 24379)
34-83293
May 21, 2018
SR-CboeBZX-2018-010
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge Mid Cap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF Comments Due: View Received Comments Federal Register version (83 FR 24367)
34-83276
May 17, 2018
SR-FINRA-2018-003
Order Granting Approval of a Proposed Rule Change Relating to Simplified Arbitration Federal Register version (83 FR 23959)
34-83243
May 15, 2018
SR-ICEEU-2018-001
Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Clearing Stress Testing Policy Comments Due: Federal Register version (83 FR 23506)
34-83209
May 10, 2018
SR-Phlx-2018-22
Order Granting Approval of Proposed Rule Change To Create a New Rule 1081, To Amend Electronic Market Maker Obligations and Quoting Requirements for Electronic ROTs, Which Will Be Defined To Include SQTs, RSQTs, Directed SQTs, Directed RSQTs, Specialists, and Remote Specialists Comments Due: Federal Register version (83 FR 22717)
34-83205
May 9, 2018
SR-CBOE-2018-008
Order Approving a Proposed Rule Change Relating to Flexibly Structured Options Federal Register version (83 FR 22550)
34-83177
May 7, 2018
SR-MSRB-2018-01
Order Granting Approval of a Proposed Rule Change, Consisting to Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors Comments Due: View Received Comments Federal Register version (83 FR 21794)
34-83167
May 3, 2018
SR-Phlx-2018-20
Order Approving a Proposed Rule Change Amending Rule 1079, FLEX Index, Equity and Currency Options, and Rule 1059, Accommodation Transactions, To Allow the Closing of Flexible Exchange Options ("FLEX options") in Cabinet Trading Comments Due: Federal Register version (83 FR 21319)
34-83149
May 1, 2018
S7-24-89
Order of Summary Abrogation of the Forty-Second Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Comments Due: Federal Register version (83 FR 20129)
34-83148
May 1, 2018
SR-CTA/CQ-2018-01
Order of Summary Abrogation of the Twenty-Third Charges Amendment to the Second Restatement of the CTA Plan and the Fourteenth Charges Amendment to the Restated CQ Plan Comments Due: View Received Comments Federal Register version (83 FR 20126)
34-83120
April 26, 2018
SR-NYSEArca-2018-04
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt New NYSE Arca Rule 8.900-E and To List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF Under Proposed NYSE Arca Rule 8.900-E Comments Due: View Received Comments Federal Register version (83 FR 19371)
34-83094
April 23, 2018
SR-NYSEArca-2018-02
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E Comments Due: View Received Comments Federal Register version (83 FR 18603)
34-83071
April 19, 2018
SR-ICC-2018-003
Order Approving Proposed Rule Change Relating to Amendments to the ICC Operational Risk Management Framework Comments Due: Federal Register version (83 FR 18108)
34-83055
April 17, 2018
SR-ICEEU-2017-017
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Related to ICEEU's Recovery and Wind-Down Plans File Nos.: Comments Due: Federal Register version (83 FR 17575)
34-83055
April 17, 2018
SR-ICEEU-2017-016
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Related to ICEEU's Recovery and Wind-Down Plans File Nos.: Comments Due: Federal Register version (83 FR 17575)
34-83046
April 13, 2018
SR-NASDAQ-2018-012
Order Granting Approval of a Proposed Rule Change To List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF Comments Due: Federal Register version (83 FR 17462)
34-83044
April 12, 2018
4-631
Order Approving the Seventeenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. Comments Due: View Received Comments Federal Register version (83 FR 17205)
34-83039
April 12, 2018
SR-PEARL-2018-02
Order Granting Approval of a Proposed Rule Change To Adopt Rules Relating to Index Options Comments Due: View Received Comments Federal Register version (83 FR 17206)
34-83033
April 11, 2018
SR-Phlx-2018-14
Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Adopt Protections for Butterfly Spreads and Box Spreads Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 16907)
34-83007
April 6, 2018
SR-NASDAQ-2017-128
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Western Asset Total Return ETF Comments Due: View Received Comments Federal Register version (83 FR 15883)
34-82995
April 5, 2018
SR-CboeBZX-2018-001
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts Comments Due: View Received Comments Federal Register version (83 FR 15425)
34-82960
March 28, 2018
SR-ICC-2018-002
Order Approving Proposed Rule Change Relating to ICC's End-of-Day Price Discovery Policies and Procedures Comments Due: Federal Register version (83 FR 14300)
34-82959
March 28, 2018
SR-BOX-2018-06
Orders To Be Submitted With an Auction Only Designation Comments Due: Federal Register version (83 FR 14304)
34-82949
March 27, 2018
SR-CBOE-2018-016
Order Book Federal Register version (83 FR 14066)
34-82939
March 23, 2018
SR-NYSEArca-2017-139
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF Under NYSE Arca Rule 8.200-E, Commentary .02 Comments Due: View Received Comments Federal Register version (83 FR 13537)
34-82926
March 22, 2018
SR-OCC-2017-020
Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Concerning Enhanced and New Tools for Recovery Scenarios Comments Due: View Received Comments Federal Register version (83 FR 13171)
34-82927
March 22, 2018
SR-OCC-2017-021
Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan Comments Due: Federal Register version (83 FR 13176)
34-82907
March 20, 2018
SR-NYSEArca-2018-08
Order Approving a Proposed Rule Change To Amend NYSE Arca Rule 1.1(ll) To Establish How the Official Closing Price Would Be Determined for an Exchange-Listed Security That Is a Derivative Securities Product if the Exchange Does Not Conduct a Closing Auction or if a Closing Auction Trade Is Less Than a Round Lot Comments Due: Federal Register version (83 FR 12980)
34-82908
March 20, 2018
SR-NSCC-2017-017
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules Comments Due: View Received Comments Federal Register version (83 FR 12986)
34-82910
March 20, 2018
SR-NSCC-2017-018
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Federal Register version (83 FR 12968)
34-82916
March 20, 2018
SR-NSCC-2018-001
Order Approving Proposed Rule Change To Amend the By-Laws Comments Due: Federal Register version (83 FR 12974)
34-82911
March 20, 2018
SR-ISE-2017-106
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Permit the Listing and Trading of NQX Index Options on a Pilot Basis Comments Due: View Received Comments Federal Register version (83 FR 12966)
34-82909
March 20, 2018
SR-FICC-2017-022
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Federal Register version (83 FR 12990)
34-82913
March 20, 2018
SR-FICC-2017-021
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules Comments Due: View Received Comments Federal Register version (83 FR 12997)
34-82917
March 20, 2018
SR-FICC-2018-002
Order Approving Proposed Rule Change To Amend the By-Laws Comments Due: Federal Register version (83 FR 12982)
34-82912
March 20, 2018
SR-DTC-2017-021
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules Comments Due: View Received Comments Federal Register version (83 FR 12999)
34-82914
March 20, 2018
SR-DTC-2017-022
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Federal Register version (83 FR 12978)
34-82915
March 20, 2018
SR-DTC-2018-001
Order Approving Proposed Rule Change To Amend the By-Laws Comments Due: Federal Register version (83 FR 12970)
34-82906
March 20, 2018
SR-CboeBZX-2017-012
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the LHA Market State Tactical U.S. Equity ETF, a Series of the ETF Series Solutions, Under Rule 14.11(i), Managed Fund Shares Comments Due: View Received Comments Federal Register version (83 FR 12992)
34-82901
March 19, 2018
SR-LCHSA-2017-013
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Related to LCH SA's Recovery and Wind Down Plans File Nos.: Comments Due: Federal Register version (83 FR 12833)
34-82901
March 19, 2018
SR-LCHSA-2017-012
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Related to LCH SA's Recovery and Wind Down Plans File Nos.: Comments Due: Federal Register version (83 FR 12833)
34-82896
March 16, 2018
SR-BatsBZX-2017-34
Order Granting Motion for Extension of Time Comments Due: View Received Comments
34-82890
March 16, 2018
SR-ICEEU-2018-002
Order Granting Accelerated Approval of Proposed Rule Change Relating to the ICE Clear Europe Limited CDS Procedures, CDS Risk Policy, and CDS Risk Model Description Comments Due: Federal Register version (83 FR 12630)
34-82883
March 15, 2018
SR-LCHSA-2018-001
Order Granting Approval on an Accelerated Basis of Proposed Rule Change Relating to Self-Referencing Transactions Federal Register version (83 FR 12447)
34-82876
March 14, 2018
SR-FICC-2018-001
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to the Required Fund Deposit Calculation in the Government Securities Division Rulebook Comments Due: View Received Comments Federal Register version (83 FR 12229)
34-82872
March 14, 2018
SR-CboeBZX-2017-011
Order Granting Approval of a Proposed Rule Change To List and Trade the Common Shares of Beneficial Interest of the PowerShares Income Builder Portfolio, a Series of PowerShares Exchange-Traded Fund Trust II Comments Due: View Received Comments Federal Register version (83 FR 12218)
34-82856
March 12, 2018
SR-OCC-2018-001
Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Fee Policy Comments Due: Federal Register version (83 FR 11807)
34-82853
March 12, 2018
SR-ICC-2018-001
Order Approving Proposed Rule Change Relating to the ICC Rules, ICC Risk Management Model Description Document, ICC Risk Management Framework, ICC Stress Testing Framework, and ICC Liquidity Risk Management Framework Comments Due: Federal Register version (83 FR 11570)
34-82842
March 9, 2018
SR-CboeBZX-2017-005
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of a Series of the Cboe Vest S&P 500 Buffer Protect Strategy ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3), Index Fund Shares Comments Due: View Received Comments Federal Register version (83 FR 11273)
34-82843
March 9, 2018
SR-CboeBZX-2017-006
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of a Series of the Cboe Vest S&P 500 Enhanced Growth Strategy ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3), Index Fund Shares Comments Due: View Received Comments Federal Register version (83 FR 11264)
34-82831
March 8, 2018
SR-NYSE-2018-01
Order Approving Proposed Rule Change To Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 907.00 of the Exchange's Listed Company Manual Comments Due: Federal Register version (83 FR 11267)
34-82804
March 5, 2018
SR-NYSE-2017-53
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holders Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the 300 Public Stockholders Continued Listing Requirement, To Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and To Impose a 30-Day Deadline To Demonstrate Compliance With Certain Initial Listing Requirements Following a Business Combination Comments Due: View Received Comments Federal Register version (83 FR 10530)
34-82801
March 2, 2018
SR-OCC-2017-022
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology Comments Due: View Received Comments Federal Register version (83 FR 9761)
34-82794
March 1, 2018
SR-BatsBZX-2017-34
Securities Exchange Act of 1934; Order Granting Petitions for Review and Scheduling Filing of Statements Comments Due: View Received Comments Motion for Extension of Time [Nasdaq and NYSE] , Response to Motion for Extension of Time [Cboe BZX] Federal Register version (83 FR 9561)
34-82796
March 1, 2018
SR-NYSE-2017-42
Order Granting Approval of Proposed Rule Change To Amend the NYSE Listed Company Manual To Modify Its Requirements With Respect to Physical Delivery of Proxy Materials to the Exchange Comments Due: Federal Register version (83 FR 9765)
34-82793
Feb. 28, 2018
SR-OCC-2018-004
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Revise The Options Clearing Corporation's Schedule of Fees Comments Due: View Received Comments Federal Register version (83 FR 9562)
34-82785
Feb. 27, 2018
SR-OCC-2017-011
Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Model Risk Management Policy Comments Due: Federal Register version (83 FR 9345)
34-82739
Feb. 20, 2018
SR-BatsBZX-2017-72
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Innovator S&P 500 15% Shield Strategy ETF Series, Innovator S&P 500 "5% to "35% Shield Strategy ETF Series, Innovator S&P 500 Enhance and 10% Shield Strategy ETF Series, and Innovator S&P 500 Ultra Strategy ETF Series Under Rule 14.11(i) Comments Due: View Received Comments Federal Register version (83 FR 8309)
34-82730
Feb. 16, 2018
SR-NASDAQ-2017-131
Order Granting Approval of a Proposed Rule Change To List and Trade the Shares of the Reinhart Intermediate Bond NextShares Fund Under Nasdaq Rule 5745 Comments Due: Federal Register version (83 FR 8118)
34-82727
Feb. 15, 2018
SR-CHX-2016-20
Order Setting Aside Action by Delegated Authority and Disapproving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, Regarding the Acquisition of CHX Holdings, Inc. by North America Casin Holdings, Inc. Comments Due: View Received Comments Federal Register version (83 FR 7793)
34-82659
Feb. 8, 2018
SR-ICEEU-2017-011
Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Collateral and Haircut Policy Comments Due: Federal Register version (83 FR 6660)
34-82662
Feb. 8, 2018
SR-DTC-2017-024
Order Approving Proposed Rule Change To Amend Procedures in the DTC Settlement Service Guide Relating to the Intra-Month Collection of Required Participants Fund Deposits Comments Due: Federal Register version (83 FR 6624)
34-82663
Feb. 8, 2018
SR-DTC-2017-023
Order Approving Proposed Rule Change To Restore the Timeframe for Processing Credit Post-Payable Adjustments Comments Due: Federal Register version (83 FR 6629)
34-82658
Feb. 7, 2018
SR-OCC-2017-007
Order Approving Proposed Rule Change Related to the Options Clearing Corporation's Margin Policy Comments Due: Federal Register version (83 FR 6646)
34-82611
Feb. 1, 2018
SR-Phlx-2017-103
Order Approving a Proposed Rule Change To Expand the Short Term Option Series Program To Allow Monday Expirations for SPY Options Comments Due: Federal Register version (83 FR 5473)
34-82612
Feb. 1, 2018
SR-ISE-2017-111
Order Approving a Proposed Rule Change To Establish a Nonstandard Expirations Pilot Program Comments Due: Federal Register version (83 FR 5470)
34-82593
Jan. 26, 2018
SR-NYSEArca-2017-140
Order Approving a Proposed Rule Change To List and Trade Shares of the Perth Mint Physical Gold ETF Trust Pursuant to NYSE Arca Rule 8.201-E Comments Due: Federal Register version (83 FR 4718)
34-82564
Jan. 22, 2018
SR-NASDAQ-2017-123
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Causeway International Value NextSharesTM Comments Due: View Received Comments Federal Register version (83 FR 3842)
34-82544
Jan. 19, 2018
SR-NSCC-2017-019
Order Approving Proposed Rule Change To Enhance the Process for Submitting and Accepting ETF Creations and Redemptions Comments Due: Federal Register version (83 FR 3804)
34-82530
Jan. 18, 2018
SR-NASDAQ-2017-124
Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To List and Trade Shares of Brandes Value NextShares Under Nasdaq Rule 5745 Comments Due: View Received Comments Federal Register version (83 FR 3377)
34-82498
Jan. 12, 2018
SR-NYSEAMER-2017-26
Order Approving a Proposed Rule Change To Amend Rule 971.1NY To Amend the Duration of a Customer Best Execution Auction Federal Register version (83 FR 2823)
34-82502
Jan. 12, 2018
SR-OCC-2017-019
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Concerning The Options Clearing Corporation's Adoption of a New Minimum Cash Requirement for the Clearing Fund Comments Due: View Received Comments Federal Register version (83 FR 2825)
34-82492
Jan. 12, 2018
SR-NYSEArca-2017-87
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 6, To List and Trade Shares of the JPMorgan Long/Short ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (83 FR 2850)
34-82476
Jan. 9, 2018
SR-BatsBZX-2017-58
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Cboe Vest S&P 500 Dividend Aristocrats Target Income Index ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3) Comments Due: View Received Comments Federal Register version (83 FR 2234)
34-82474
Jan. 9, 2018
SR-Phlx-2017-75
Order Granting Approval of a Proposed Rule Change To Amend Rule 1009 To Modify the Criteria for Listing an Option on an Underlying Covered Security Comments Due: View Received Comments Federal Register version (83 FR 2240)
34-82478
Jan. 9, 2018
SR-NASDAQ-2017-087
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards To Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing From 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline To Demonstrate Compliance With Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination Comments Due: View Received Comments Federal Register version (83 FR 2278)
34-82456
Jan. 8, 2018
SR-BOX-2017-33
Order Size for the Floor Broker Guarantee Provided in BOX Rule 7600(f) Comments Due: Federal Register version (83 FR 1651)
34-82445
Jan. 5, 2018
SR-Phlx-2017-99
Order Granting Accelerated Approval of a Proposed Rule Change To Amend Rule 1059 To Make Permanent a Program That Allows Cabinet Trade Transactions To Take Place at a Price Below $1 Per Option Contract Comments Due: Federal Register version (83 FR 1445)
34-82421
Dec. 29, 2017
SR-LCHSA-2017-010
Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Implementation of the Markets in Financial Instruments Regulation Comments Due: Rel. No. 34-82194 Federal Register version (83 FR 557)
34-82388
Dec. 22, 2017
SR-BatsBZX-2017-54
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To List and Trade Shares of the iShares Inflation Hedged Corporate Bond ETF, a Series of the iShares U.S. ETF Trust, Under Rule 14.11(i), Managed Fund Shares Comments Due: View Received Comments Rel. No. 34-82025 , Rel. No. 34-81671 , Rel. No. 34-81671 Federal Register version (82 FR 61596)
34-82398
Dec. 22, 2017
SR-CBOE-2017-070
Order Approving a Proposed Rule Change To Amend Rule 6.56 To Include Procedures for Multi-Leg Positions Comments Due: Rel. No. 34-82102 Federal Register version (82 FR 61637)
34-82345
Dec. 18, 2017
SR-LCHSA-2017-009
Order Approving Proposed Rule Change Relating to Wrong Way Risk Margin Comments Due: Rel. No. 34-82043 Federal Register version (82 FR 60781)
34-82337
Dec. 15, 2017
SR-CboeEDGA-2017-001
Order Granting Accelerated Approval of a Proposed Rule Change Relating to Its Director Nomination and Committee Appointment Process and Its Nominating and Governance Committee File Nos.: Comments Due: Rel. No. 34-82122 , Rel. No. 34-82123 , Rel. No. 34-82125 , Rel. No. 34-82126 Federal Register version (82 FR 60649)
34-82337
Dec. 15, 2017
SR-CboeBYX-2017-001
Order Granting Accelerated Approval of a Proposed Rule Change Relating to Its Director Nomination and Committee Appointment Process and Its Nominating and Governance Committee File Nos.: Comments Due: Rel. No. 34-82122 , Rel. No. 34-82123 , Rel. No. 34-82125 , Rel. No. 34-82126 Federal Register version (82 FR 60649)
34-82337
Dec. 15, 2017
SR-CboeEDGX-2017-001
Order Granting Accelerated Approval of a Proposed Rule Change Relating to Its Director Nomination and Committee Appointment Process and Its Nominating and Governance Committee File Nos.: Comments Due: Rel. No. 34-82122 , Rel. No. 34-82123 , Rel. No. 34-82125 , Rel. No. 34-82126 Federal Register version (82 FR 60649)
34-82337
Dec. 15, 2017
SR-CboeBZX-2017-001
Order Granting Accelerated Approval of a Proposed Rule Change Relating to Its Director Nomination and Committee Appointment Process and Its Nominating and Governance Committee File Nos.: Comments Due: Rel. No. 34-82122 , Rel. No. 34-82123 , Rel. No. 34-82125 , Rel. No. 34-82126 Federal Register version (82 FR 60649)
34-82336
Dec. 15, 2017
SR-C2-2017-030
Order Granting Accelerated Approval to a Proposed Rule Change Relating to Its Nominating and Governance Committee and Regulatory Oversight and Compliance Committee as Well as Its Director Nomination and Committee Appointment Process Comments Due: Rel. No. 34-82119 Federal Register version (82 FR 60654)
34-82336
Dec. 15, 2017
SR-CBOE-2017-072
Order Granting Accelerated Approval to a Proposed Rule Change Relating to Its Nominating and Governance Committee and Regulatory Oversight and Compliance Committee as Well as Its Director Nomination and Committee Appointment Process Comments Due: Rel. No. 34-82119 Federal Register version (82 FR 60654)
34-82321
Dec. 14, 2017
SR-MSRB-2017-06
Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements Comments Due: View Received Comments Rel. No. 34-82053 , Rel. No. 34-81595 Federal Register version (82 FR 60433)
