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Release Number SEC Issue Date File Number Details
34-95848 S7-24-89 Order Disapproving the Fifty-First 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: January 11, 2005
Federal Register version (87 FR 58544)
34-95849 S7-24-89 Order Disapproving the Fifty-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: January 11, 2005
Federal Register version (87 FR 58592)
34-95850 SR-CTA/CQ-2021-02 Order Disapproving the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-Eighth Substantive Amendment to the Restated CQ Plan
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
Federal Register version (87 FR 58560)
34-95851 SR-CTA/CQ-2021-03 Order Disapproving the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
Federal Register version (87 FR 58613)
34-95791 SR-FINRA-2022-015 Order Instituting Proceedings To Determine Whether To Approve or Disapprove the 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
Federal Register version (87 FR 57731)
34-95795 SR-CBOE-2022-039 Order Approving a Proposed Rule Change To Expand the Nonstandard Expirations Pilot Program To Include P.M.-Settled Options on the Mini-S&P 500 Index That Expire on Tuesday or Thursday
Federal Register version (87 FR 57745)
34-95724 SR-FICC-2022-004 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
Federal Register version (87 FR 56732)
34-95729 SR-DTC-2022-006 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
Federal Register version (87 FR 56733)
34-95725 SR-DTC-2022-006 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
Federal Register version (87 FR 56735)
34-95707 SR-CBOE-2022-036 Order Approving a Proposed Rule Change To Amend Cboe Rule 5.6 and Cboe Rule 5.33 To Allow Delta-Adjusted at Close Orders To Be Submitted in FLEX Equity Options
Federal Register version (87 FR 56477)
34-95685 SR-ICEEU-2022-014 Order Approving Proposed Rule Change Relating to the ICE Clear Europe Outsourcing Policy
Federal Register version (87 FR 56129)
34-95691 SR-NYSE-2022-32 Order Approving a Proposed Rule Change To Amend NYSE Rule 7.35B Relating to the Closing Auction and Make Certain Conforming and Non-Substantive Changes to NYSE Rules 7.31, 7.35, 7.35B and 104
Federal Register version (87 FR 56099)
34-95656 SR-NSCC-2022-005 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Revise the Excess Capital Premium Charge
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
Federal Register version (87 FR 55058)
34-95654 SR-ICC-2022-012 Order Approving Proposed Rule Change Relating to the Clearing Rules
Federal Register version (87 FR 55045)
34-95658 SR-CboeBZX-2022-037 Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend BZX Rule 11.17, Clearly Erroneous Executions
Federal Register version (87 FR 55060)
34-95657 SR-CBOE-2022-038 Order Approving a Proposed Rule Change To Amend CBOE Rule 5.32 With Respect to the Handling of Cancel/Replace Messages
Federal Register version (87 FR 55053)
34-95635 SR-FINRA-2022-013 Order Approving a Proposed Rule Change To Amend FINRA Rule 6730 (Transaction Reporting) To Enhance TRACE Reporting Obligations for U.S. Treasury Securities
Federal Register version (87 FR 54579)
34-95634 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
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
View Received Comments
Federal Register version (87 FR 54558)
34-95622 SR-CboeBZX-2022-031 Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
View Received Comments
Federal Register version (87 FR 54270)
34-95616 SR-FICC-2021-009 Order Approving of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Comments Due: January 19, 2022
Federal Register version (87 FR 53818)
34-95615 SR-DTC-2021-017 Order Approving of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Comments Due: January 19, 2022
Federal Register version (87 FR 53807)
34-95618 SR-NSCC-2021-016 Order Approving of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Comments Due: January 19, 2022
View Received Comments
Federal Register version (87 FR 53796)
34-95605 SR-FICC-2022-005 Order Approving Proposed Rule Change To Revise the Formula Used To Calculate the VaR Charge for Repo Interest Volatility
Comments Due: 21 days after publication in the Federal Register
Federal Register version (87 FR 53522)
34-95603 SR-ICC-2022-010 Order Approving Proposed Rule Change Relating to the Clearing Rules and the End-of-Day Price Discovery Policies and Procedures
Federal Register version (87 FR 53529)
34-95602 SR-MSRB-2022-05 Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices
34-95581 SR-NYSEARCA-2022-31 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 6.64P-O
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
View Received Comments
Federal Register version (87 FR 52827)
34-95504 SR-ICC-2022-008 Order Approving Proposed Rule Change Relating to the Stress Testing Framework and the Liquidity Risk Management Framework
Federal Register version (87 FR 51466)
34-95503 SR-LCHSA-2022-004 Order Approving Proposed Rule Change Relating to the Clearing of Markit iTraxx Australia Indices and the Associated Single-Name Constituents and Remediation of WWR Margin Instability
Federal Register version (87 FR 51471)
34-95472 SR-ICC-2022-007 Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts
Federal Register version (87 FR 50672)
34-95465 SR-FINRA-2022-011 Order Approving Proposed Rule Change To Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities
Federal Register version (87 FR 50354)
34-95438 SR-FINRA-2022-017 Order Approving a Proposed Rule Change To Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. Treasury Securities
Federal Register version (87 FR 49626)
34-95393 SR-ISE-2022-13 Order Granting Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq-100 Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program
Federal Register version (87 FR 47807)
34-95391 SR-Phlx-2022-22 Order Granting Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq-100 Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program
Federal Register version (87 FR 47797)
34-95319 SR-OCC-2022-001 Order Granting Approval of Proposed Rule Change Concerning The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility
Comments Due: March 4, 2022
View Received Comments
Federal Register version (87 FR 44167)
34-95314 SR-CBOE-2022-015 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 10.3 Regarding Margin Requirements
Comments Due: 15 days after publication in the Federal Register Rebuttal comments due: 21 days after publication in the Federal Register
Federal Register version (87 FR 44163)
34-95312 SR-NYSE-2022-14 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
Federal Register version (87 FR 43914)
34-95233 SR-FICC-2022-003 Order Approving a Proposed Rule Change To Require Applicants and Members To Maintain or Upgrade Their Network or Communications Technology
Comments Due: 21 days after publication in the Federal Register
Federal Register version (87 FR 42218)
34-95232 SR-DTC-2022-004 Order Approving a Proposed Rule Change To Require Applicants, Participants, and Pledgees To Maintain or Upgrade Their Network or Communications Technology
Federal Register version (87 FR 42239)
34-95237 SR-NSCC-2022-004 Order Approving a Proposed Rule Change To Require Applicants and Members To Maintain or Upgrade Their Network or Communications Technology
Federal Register version (87 FR 42233)
34-95214 SR-ICC-2022-006 Order Approving Proposed Rule Change Relating to the ICC Model Validation Framework
Federal Register version (87 FR 41776)
34-95220 SR-NASDAQ-2022-027 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
Federal Register version (87 FR 41780)
34-95179 SR-NYSEArca-2021-89 Order Disapproving a Proposed Rule Change To List and Trade Shares of the Bitwise Bitcoin ETP Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Comments Due: November 24, 2021
View Received Comments
Federal Register version (87 FR 40282)
34-95180 SR-NYSEArca-2021-90 Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of Grayscale Bitcoin Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Comments Due: November 29, 2021
View Received Comments
Federal Register version (87 FR 40299)
34-95145 SR-MSRB-2022-02 Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-19 Regarding Regulation Best Interest for Certain Municipal Securities Activities of Bank Dealers and MSRB Rule G-48 Regarding Quantitative Suitability for Institutional Sophisticated Municipal Market Professionals
34-95147 SR-FINRA-2022-009 Order Approving a Proposed Rule Change To Amend Certain FINRA Rules To Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals
Federal Register version (87 FR 38803)
34-95093 SR-NYSE-2022-11 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the NYSE Listed Company Manual To Provide a Limited Exemption From the Shareholder Approval Requirements for Closed-End Management Investment Companies With Equity Securities Listed Under Section 102.04 of the Listed Company Manual
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
Federal Register version (87 FR 36548)
34-95085 SR-ISE-2022-10 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend ISE Options 4, Section 5, Series of Options Contracts Open for Trading
Federal Register version (87 FR 36353)
34-95086 SR-NYSE-2021-74 Order Granting Approval of a Proposed Rule Change to Amend the Provisions of NYSE Rule 7.35B
Comments Due: January 19, 2022
34-95070 SR-FICC-2022-002 Order Granting Approval of Proposed Rule Change To Revise the MBSD Clearing Rules To Move Certain DRC Items (Mark-to-Market Items, Cash Obligation Items and Accrued Principal and Interest) From the Required Fund Deposit Calculation to Cash Settlement, Revise Certain Thresholds and Parameters in the Intraday Mark-to-Market Charge, Establish a New Intraday VaR Charge and Make Certain Other Clarifications
Comments Due: May 16, 2022
View Received Comments
Federal Register version (87 FR 36014)
34-95069 SR-NASDAQ-2022-017 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Modify Equity 4, Rule 4120 To Add Categories of Regulatory and Operational Halts, To Reorganize the Remaining Text of the Rule, and To Make Conforming Changes to Related Rules
Federal Register version (87 FR 36018)
34-95040 4-533 Order Approving Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by The Nasdaq Stock Market LLC, BOX Exchange LLC, Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., CBOE EDGX Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., MEMX LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
Federal Register version (87 FR 35270)
34-95018 SR-FINRA-2021-024 Order Approving a Proposed Rule Change To Amend FINRA Rule 2231 (Customer Account Statements), as Modified by Amendment No. 1
Comments Due: January 31, 2022 Rebuttal comments due: February 14, 2022
Federal Register version (87 FR 36157)
34-95012 SR-DTC-2022-002 Order Approving the Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation
Federal Register version (87 FR 34325)
34-95011 SR-NSCC-2022-003 Order Approving Proposed Rule Change To Introduce Central Clearing for Securities Financing Transaction Clearing Service
Federal Register version (87 FR 34339)
34-95004 SR-ICEEU-2022-008 Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Operational Risk Management Policy and Risk Identification Framework
Federal Register version (87 FR 33858)
34-94999 SR-NYSEArca-2021-67 Order Disapproving a Proposed Rule Change To List and Trade Shares of the One River Carbon Neutral Bitcoin Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Comments Due: October 26, 2021
View Received Comments
Federal Register version (87 FR 33548)
34-94988 SR-OCC-2022-002 Order Granting Approval of Proposed Rule Change Concerning the Options Clearing Corporation's Governance Arrangements
Comments Due: 21 days after publication in the Federal Register
View Received Comments
Federal Register version (87 FR 33535)
34-94980 SR-ICC-2022-003 Order Approving Proposed Rule Change Relating to the ICC Governance Playbook
Federal Register version (87 FR 33220)
34-94983 SR-ICC-2022-004 Order Approving Proposed Rule Change Relating to the ICC Recovery Plan and the ICC Wind-Down Plan
Federal Register version (87 FR 33223)
34-94938 SR-OCC-2022-005 Order Granting Approval of Proposed Rule Change by the Options Clearing Corporation Concerning Revisions to OCC's Partial Tear-Up Rules
Federal Register version (87 FR 31596)
34-94941 SR-NASDAQ-2022-015 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Exempt Non-Convertible Bonds Listed Under Rule 5702 From Certain Corporate Governance Requirements
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
View Received Comments
Federal Register version (87 FR 31594)
34-94928 SR-CBOE-2022-009 Order Approving a Proposed Rule Change To Amend Rule 4.3.06 To Allow the Exchange To List and Trade Options on the Goldman Sachs Physical Gold ETF
Federal Register version (87 FR 31287)
34-94921 SR-ICC-2022-002 Order Approving Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy
Federal Register version (87 FR 31020)
34-94910 SR-OCC-2022-003 Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning Cash-Settled FLEX ETF Options
Federal Register version (87 FR 30531)
34-94907 SR-CboeBZX-2022-006 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
View Received Comments
Federal Register version (87 FR 30546)
34-94900 SR-OCC-2022-001 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Concerning the Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
View Received Comments
Federal Register version (87 FR 30284)
34-94898 SR-LCHSA-2022-003 Order Approving Proposed Rule Change Relating to the Restructuring Notification Process for Swaptions
Federal Register version (87 FR 30318)
34-94883 SR-CboeEDGX-2022-004 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Codify Certain Practices and Requirements Related to the Exchange's Port Message Rate Thresholds
Comments Due: March 2, 2022
Federal Register version (87 FR 29776)
34-94866 SR-MEMX-2021-10 Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Retail Midpoint Liquidity Program
Comments Due: September 29, 2021
View Received Comments
See Also - 34-96788.pdf, Letter from Assistant Secretary J. Matthew DeLesDernier to Anders Franzon, General Counsel, MEMX LLC, dated May 10, 2022
Federal Register version (87 FR 29193)
34-94853 SR-NASDAQ-2021-066 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund Under Nasdaq Rule 5711(g)
Comments Due: September 30, 2021
Federal Register version (87 FR 28848)
34-94821 SR-LCHSA-2022-002 Order Approving Proposed Rule Change Relating to the CDS Clearing Rule Book, Supplement, and Procedures
Federal Register version (87 FR 26792)
34-94814 SR-NYSE-2022-04 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98
Comments Due: May 25, 2022 Rebuttal comments due: June 8, 2022
View Received Comments
Federal Register version (87 FR 26378)
34-94620 SR-NYSEArca-2021-53 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Teucrium Bitcoin Futures Fund Under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts)
Comments Due: September 1, 2021
View Received Comments
Federal Register version (87 FR 21676)
34-94607 SR-ICEEU-2022-004 Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Clearing Stress-Testing Policy and CDS Clearing Back-Testing Policy
Comments Due: 21 days after publication in the Federal Register
Federal Register version (87 FR 21227)
34-94571 SR-CboeBZX-2021-051 Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments Due: August 27, 2021
View Received Comments
Federal Register version (87 FR 20014)
34-94495 SR-DTC-2021-017 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Comments Due: April 20, 2022 Rebuttal comments due: May 4, 2022
View Received Comments
Federal Register version (87 FR 18451)
34-94497 SR-FICC-2021-009 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Comments Due: April 20, 2022 Rebuttal comments due: May 4, 2022
View Received Comments
Federal Register version (87 FR 18409)
34-94494 SR-NSCC-2021-016 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Comments Due: April 20, 2022 Rebuttal comments due: May 4, 2022
View Received Comments
Federal Register version (87 FR 18444)
34-94483 SR-NYSE-2021-74 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Provisions of NYSE Rule 7.35B
Comments Due: April 18, 2022 Rebuttal comments due: May 2, 2022
View Received Comments
Federal Register version (87 FR 17346)
34-94450 SR-NASDAQ-2021-099 Order Approving Proposed Rule Change To Amend Nasdaq Rule 5815(d)(4) Regarding the Use of a Hearings Panel Monitor Following a Compliance Determination by a Nasdaq Listings Qualification Hearings Panel
Comments Due: January 11, 2022
Federal Register version (87 FR 16518)
34-94431 SR-NASDAQ-2022-006 Order Approving Proposed Rule Change To Enable Exchange Participants To Enter Midpoint Extended Life Orders and M-ELO Plus Continuous Book Orders With an Immediate-or-Cancel Time-in-Force Instruction
Comments Due: February 23, 2022
Federal Register version (87 FR 16279)
34-94396 SR-CboeBZX-2021-052 Order Disapproving 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: September 13, 2021
View Received Comments
Federal Register version (87 FR 14912)
34-94395 SR-NYSEArca-2021-57 Order Disapproving a Proposed Rule Change To List and Trade Shares of the NYDIG Bitcoin ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Comments Due: August 9, 2021
View Received Comments
Federal Register version (87 FR 14932)
34-94389 SR-NASDAQ-2021-054 Order Disapproving a Proposed Rule Change To Modify Nasdaq IM-5101-2 To Permit an Acquisition Company To Contribute a Portion of Its Deposit Account to Another Entity in a Spin-Off or Similar Corporate Transaction
Comments Due: August 3, 2021
View Received Comments
Federal Register version (87 FR 14592)
34-94369 SR-CboeEDGX-2021-049 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report
Comments Due: April 1, 2022 Rebuttal comments due: April 15, 2022
View Received Comments
Federal Register version (87 FR 14056)
34-94372 SR-CboeBZX-2021-078 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report
Comments Due: April 1, 2022 Rebuttal comments due: April 15, 2022
View Received Comments
Federal Register version (87 FR 14053)
34-94373 SR-CboeBYX-2021-028 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report
Comments Due: April 1, 2022 Rebuttal comments due: April 15, 2022
View Received Comments
Federal Register version (87 FR 14060)
34-94367 SR-CboeEDGA-2021-025 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report
Comments Due: April 1, 2022 Rebuttal comments due: April 15, 2022
View Received Comments
Federal Register version (87 FR 14058)
34-94332 SR-MEMX-2021-22 Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Connectivity Fees
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
View Received Comments
Federal Register version (87 FR 12513)
34-94304 SR-OCC-2021-014 Order Granting Approval of Proposed Rule Change Concerning The Options Clearing Corporation's Cash and Investment Management
Comments Due: February 2, 2022
Federal Register version (87 FR 11776)
34-94307 S7-24-89 Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Fifty-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: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
Federal Register version (87 FR 11787)
34-94308 S7-24-89 Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Fifty-First 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: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
Federal Register version (87 FR 11755)
34-94309 SR-CTA/CQ-2021-03 Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
Federal Register version (87 FR 11763)
34-94310 SR-CTA/CQ-2021-02 Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Eighth Substantive Amendment to the Restated CQ Plan
Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register
Federal Register version (87 FR 11748)
34-94311 SR-NASDAQ-2021-045 Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing Primary Offering
Comments Due: July 21, 2021
View Received Comments
Federal Register version (87 FR 11780)
34-94277 SR-NASDAQ-2021-101 Order Handling in the Limit Up-Limit Down Closing Cross
Comments Due: January 26, 2022
Federal Register version (87 FR 10418)
34-94253 SR-CBOE-2021-068 Order Granting Approval of a Proposed Rule Change To Adopt a Modified Trading Schedule for Holidays
Comments Due: December 27, 2021
Federal Register version (87 FR 9729)
34-94217 SR-NYSE-2021-73 Order Approving a Proposed Rule Change To Amend NYSE Rule 37 To Incorporate Standards of Conduct for the Exchange's Trading Floor
Comments Due: January 19, 2022
Federal Register version (87 FR 8901)
34-94151 SR-NYSEArca-2021-90 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of Grayscale Bitcoin Trust (BTC) Under NYSE Arca Rule 8.201-E
Comments Due: March 3, 2022 Rebuttal comments due: March 17, 2022
View Received Comments
Federal Register version (87 FR 7889)
34-94126 SR-NYSEArca-2021-89 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Bitwise Bitcoin ETP Trust Under NYSE Arca Rule 8.201-E
Comments Due: February 28, 2022 Rebuttal comments due: March 14, 2022
View Received Comments
Federal Register version (87 FR 6903)