34-94089
Jan. 27, 2022
SR-EMERALD-2021-42
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt a Tiered Pricing Structure for Certain Connectivity Fees Comments Due: View Received Comments Federal Register version (87 FR 5910)
34-94087
Jan. 27, 2022
SR-MIAX-2021-60
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend Fee Schedules To Adopt Tiered-Pricing Structures for Additional Limited Service MIAX and MIAX Emerald Express Interface Ports File Nos.: Comments Due: View Received Comments Federal Register version (87 FR 5918)
34-94087
Jan. 27, 2022
SR-EMERALD-2021-43
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend Fee Schedules To Adopt Tiered-Pricing Structures for Additional Limited Service MIAX and MIAX Emerald Express Interface Ports File Nos.: Comments Due: View Received Comments Federal Register version (87 FR 5918)
34-94088
Jan. 27, 2022
SR-MIAX-2021-59
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedules To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees File Nos.: Comments Due: View Received Comments Federal Register version (87 FR 5901)
34-94088
Jan. 27, 2022
SR-PEARL-2021-57
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedules To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees File Nos.: Comments Due: View Received Comments Federal Register version (87 FR 5901)
34-94080
Jan. 27, 2022
SR-CboeBZX-2021-039
Order Disapproving a Proposed Rule Change To List and Trade Shares of the Wise Origin Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Comments Due: View Received Comments Federal Register version (87 FR 5527)
34-94061
Jan. 25, 2022
SR-FINRA-2021-016
Order Approving a Proposed Rule Change To Amend Rule 2165 (Financial Exploitation of Specified Adults) Federal Register version (87 FR 4974)
34-94038
Jan. 24, 2022
SR-NASDAQ-2021-040
Order Types Comments Due: View Received Comments Federal Register version (87 FR 4683)
34-94024
Jan. 21, 2022
SR-NYSEArca-2021-28
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of ConvexityShares Daily 1.5x SPIKES Futures ETF Under NYSE Arca Rule 8.200-E (Trust Issued Receipts) Comments Due: View Received Comments Federal Register version (87 FR 4308)
34-94025
Jan. 21, 2022
SR-NYSEArca-2021-29
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of ConvexityShares 1x SPIKES Futures ETF Under NYSE Arca Rule 8.200-E (Trust Issued Receipts) Comments Due: View Received Comments Federal Register version (87 FR 4314)
34-94006
Jan. 20, 2022
SR-NYSEArca-2021-37
Order Disapproving a Proposed Rule Change To List and Trade Shares of the First Trust SkyBridge Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (87 FR 3869)
34-94014
Jan. 20, 2022
SR-ICC-2021-021
Order Approving Proposed Rule Change Relating to the ICC Clearing Rules and ICC Exercise Procedures Comments Due: Federal Register version (87 FR 4069)
34-94014
Jan. 20, 2022
SR-ICC-2021-023
Order Approving Proposed Rule Change Relating to the ICC Clearing Rules and ICC Exercise Procedures Comments Due: Federal Register version (87 FR 4069)
34-94013
Jan. 20, 2022
SR-FINRA-2021-010
Order 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 to SR-FINRA-2015-036 Bond Dealers of America and Brean Capital Statement In Opposition , 2022 FINRA Statement in Support , LLP , Letter from Assistant Secretary , LLP Letter 020322 Federal Register version (87 FR 4076)
34-93966
Jan. 12, 2022
SR-FINRA-2021-029
Order Approving Proposed Rule Change To Amend FINRA Rule 6732 and Expand the Scope of Exemptions That FINRA May Grant ATSs From the TRACE Reporting Requirements Federal Register version (87 FR 2976)
34-93963
Jan. 12, 2022
SR-CboeBZX-2021-076
Order Granting Approval of Proposed Rule Changes To Amend Each Exchange's Rules in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities File Nos.: Comments Due: Federal Register version (87 FR 2961)
34-93963
Jan. 12, 2022
SR-CboeEDGA-2021-024
Order Granting Approval of Proposed Rule Changes To Amend Each Exchange's Rules in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities File Nos.: Comments Due: Federal Register version (87 FR 2961)
34-93963
Jan. 12, 2022
SR-CboeBYX-2021-027
Order Granting Approval of Proposed Rule Changes To Amend Each Exchange's Rules in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities File Nos.: Comments Due: Federal Register version (87 FR 2961)
34-93963
Jan. 12, 2022
SR-CboeEDGX-2021-048
Order Granting Approval of Proposed Rule Changes To Amend Each Exchange's Rules in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities File Nos.: Comments Due: Federal Register version (87 FR 2961)
34-93953
Jan. 11, 2022
SR-NSCC-2021-013
Order Approving Proposed Rule Change To Provide for a Passive Acknowledgment Process, Codify Certain Settlement Processes, and Make Technical and Conforming Changes to the NSCC Rules & Procedures Comments Due: Federal Register version (87 FR 2650)
34-93934
Jan. 7, 2022
SR-NYSE-2020-96
New York Stock Exchange LLC; Order Granting Petition for Review and Scheduling Filing of Statements Regarding an Order Disapproving Proposed Rule Change To Amend Its Rules Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners Comments Due: View Received Comments Federal Register version (87 FR 2189)
34-93914
Jan. 6, 2022
SR-FINRA-2021-008
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Security-Based Swaps Federal Register version (87 FR 1962)
34-93883
Dec. 30, 2021
SR-IEX-2021-14
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Its Fee Schedule for Market Data Fees Comments Due: View Received Comments Federal Register version (87 FR 523)
34-93880
Dec. 30, 2021
SR-ICEEU-2021-015
Order Approving Proposed Rule Change Relating to Adoption of the Counterparty Credit Risk Policy and Counterparty Credit Risk Procedures Federal Register version (87 FR 513)
34-93859
Dec. 22, 2021
SR-NYSEArca-2021-31
Order Disapproving a Proposed Rule Change To List and Trade Shares of the Valkyrie Bitcoin Fund Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) Comments Due: View Received Comments Federal Register version (86 FR 74156)
34-93860
Dec. 22, 2021
SR-CboeBZX-2021-029
Order Disapproving a Proposed Rule Change To List and Trade Shares of the Kryptoin Bitcoin ETF Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Comments Due: View Received Comments Federal Register version (86 FR 74166)
34-93840
Dec. 21, 2021
SR-NYSEArca-2021-67
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the One River Carbon Neutral Bitcoin Trust Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (86 FR 73826)
34-93848
Dec. 21, 2021
SR-BX-2021-051
Order Approving Proposed Rule Changes Regarding the Transfer of Ownership of Nasdaq BX Equities LLC and the Merger of Nasdaq BX Equities LLC With and Into the Exchange File Nos.: Comments Due: Federal Register version (86 FR 73831)
34-93845
Dec. 21, 2021
SR-ICEEU-2021-020
Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Liquidity Management Procedures and Investment Management Procedures Federal Register version (86 FR 73833)
34-93818
Dec. 17, 2021
SR-NYSEArca-2021-91
Order Approving a Proposed Rule Change To Amend Rule 6.87-O Comments Due: View Received Comments Federal Register version (86 FR 73009)
34-93809
Dec. 17, 2021
SR-NYSE-2021-44
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Rules 7.31, 7.35, 7.35B, 7.35C, 98, and 104 Relating to the Closing Auction Comments Due: View Received Comments Federal Register version (86 FR 73060)
34-93810
Dec. 17, 2021
SR-NYSEArca-2021-97
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Offer Wireless Connectivity to CME Group Data and Establish Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 73026)
34-93810
Dec. 17, 2021
SR-NYSEAMER-2021-43
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Offer Wireless Connectivity to CME Group Data and Establish Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 73026)
34-93810
Dec. 17, 2021
SR-NYSECHX-2021-17
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Offer Wireless Connectivity to CME Group Data and Establish Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 73026)
34-93810
Dec. 17, 2021
SR-NYSE-2021-67
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Offer Wireless Connectivity to CME Group Data and Establish Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 73026)
34-93810
Dec. 17, 2021
SR-NYSENAT-2021-23
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Offer Wireless Connectivity to CME Group Data and Establish Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 73026)
34-93795
Dec. 15, 2021
SR-ICC-2021-022
Order Approving Proposed Rule Change Relating to the ICC End-of-Day Price Discovery Policies and Procedures Comments Due: Federal Register version (86 FR 72291)
34-93778
Dec. 14, 2021
SR-BOX-2021-19
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Related to BOX Exchange LLC and BOX Holdings Group LLC Ownership Transfer Transactions Comments Due: View Received Comments Federal Register version (86 FR 72021)
34-93741
Dec. 8, 2021
SR-NYSE-2021-45
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Listing Standards for Subscription Warrants Issued by a Company Organized Solely for the Purpose of Identifying an Acquisition Target Comments Due: View Received Comments Federal Register version (86 FR 71111)
34-93731
Dec. 7, 2021
SR-NASDAQ-2021-066
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 Valkyrie XBTO Bitcoin Futures Fund Under Nasdaq Rule 5711(g) Comments Due: Federal Register version (86 FR 70882)
34-93727
Dec. 7, 2021
SR-MEMX-2021-10
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish a Retail Midpoint Liquidity Program Comments Due: View Received Comments Federal Register version (86 FR 70874)
34-93720
Dec. 6, 2021
SR-NYSEArca-2021-73
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Franklin Responsibly Sourced Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) Comments Due: Federal Register version (86 FR 70555)
34-93714
Dec. 3, 2021
SR-NYSE-2021-42
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Requirements of Section 102.06 of the NYSE Listed Company Manual To Allow an Acquisition Company To Contribute a Portion of Its Trust Account to a New Acquisition Company and Spin-Off the New Acquisition Company to Its Shareholders Comments Due: View Received Comments Federal Register version (86 FR 70150)
34-93700
Dec. 1, 2021
SR-CboeBZX-2021-024
Order Disapproving 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: View Received Comments Federal Register version (86 FR 69322)
34-93683
Nov. 30, 2021
SR-MEMX-2021-15
Order Granting Accelerated Approval of a Proposed Rule Change To Amend the Corporate Documents of the Exchange's Parent Company Comments Due: Federal Register version (86 FR 69111)
34-93655
Nov. 23, 2021
SR-CBOE-2021-046
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Cboe Rule 5.4 and Make Corresponding Changes to Other Rules Comments Due: View Received Comments Federal Register version (86 FR 68001)
34-93644
Nov. 22, 2021
SR-EMERALD-2021-29
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 a Tiered-Pricing Structure for Certain Connectivity Fees Comments Due: Federal Register version (86 FR 67750)
34-93639
Nov. 22, 2021
SR-MIAX-2021-41
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedules To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 67758)
34-93639
Nov. 22, 2021
SR-PEARL-2021-45
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedules To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 67758)
34-93640
Nov. 22, 2021
SR-EMERALD-2021-31
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend Fee Schedules To Adopt Tiered-Pricing Structures for Additional Limited Service MIAX and MIAX Emerald Express Interface Ports File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 67745)
34-93640
Nov. 22, 2021
SR-MIAX-2021-43
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend Fee Schedules To Adopt Tiered-Pricing Structures for Additional Limited Service MIAX and MIAX Emerald Express Interface Ports File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 67745)
34-93628
Nov. 19, 2021
SR-Phlx-2021-56
Order Approving a Proposed Rule Change To Amend Options 4A, Section 12 Regarding the Calculation of the Closing Volume Weighted Average Price for Options on the Nasdaq-100 Volatility Index in Certain Circumstances Comments Due: Federal Register version (86 FR 67555)
34-93629
Nov. 19, 2021
SR-NYSE-2021-53
Order Approving of a Proposed Rule Change To Amend the Shareholder Voting Requirement Set Forth in Section 312.07 of the NYSE Listed Company Manual Comments Due: Federal Register version (86 FR 67507)
34-93610
Nov. 18, 2021
SR-ICC-2021-020
Order Approving Proposed Rule Change Relating to the Stress Testing Framework and the Indirect Participant Risk Monitoring and Review Policy Comments Due: Federal Register version (86 FR 67097)
34-93608
Nov. 18, 2021
SR-CboeBZX-2021-052
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: View Received Comments Federal Register version (86 FR 67094)
34-93603
Nov. 17, 2021
SR-ICEEU-2021-018
Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Collateral and Haircut Procedures Federal Register version (86 FR 66607)
34-93581
Nov. 16, 2021
SR-ICC-2021-019
Order Approving Proposed Rule Change Relating to the ICC CDS Instrument On-Boarding Policies and Procedures Comments Due: Federal Register version (86 FR 66382)
34-93559
Nov. 12, 2021
SR-CboeBZX-2021-019
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 Comments Due: View Received Comments 2021 Federal Register version (86 FR 64539)
34-93534
Nov. 8, 2021
SR-NYSEArca-2021-53
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change 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: View Received Comments Federal Register version (86 FR 63082)
34-93532
Nov. 5, 2021
SR-NSCC-2021-010
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish the Securities Financing Transaction Clearing Service and Make Other Changes Comments Due: View Received Comments Federal Register version (86 FR 62851)
34-93533
Nov. 5, 2021
SR-DTC-2021-014
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a 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 Comments Due: Federal Register version (86 FR 62853)
34-93510
Nov. 2, 2021
SR-CboeBZX-2021-051
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: View Received Comments Federal Register version (86 FR 61820)
34-93466
Oct. 29, 2021
SR-NYSEARCA-2021-68
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt New Exchange Rule 6.91P-O Comments Due: Federal Register version (86 FR 60955)
34-93484
Oct. 29, 2021
4-698
Order Disapproving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments Federal Register version (86 FR 60933)
34-93434
Oct. 27, 2021
SR-NYSEArca-2021-65
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Sprott ESG Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) Comments Due: View Received Comments Federal Register version (86 FR 60516)
34-93388
Oct. 20, 2021
SR-ICC-2021-018
Order Approving Proposed Rule Change Relating to the ICC Back-Testing Framework Comments Due: Federal Register version (86 FR 59258)
34-93278
Oct. 8, 2021
SR-NSCC-2021-007
Order Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes Comments Due: Federal Register version (86 FR 57229)
34-93277
Oct. 8, 2021
SR-NASDAQ-2021-065
Order Granting Approval of a Proposed Rule Change To Amend Nasdaq Rule 5750 (Proxy Portfolio Shares) To Provide for the Use of Custom Baskets Consistent With the Exemptive Relief Issued Pursuant to the Investment Company Act of 1940 Applicable to a Series of Proxy Portfolio Shares Comments Due: Federal Register version (86 FR 57227)
34-93280
Oct. 8, 2021
SR-FICC-2021-004
Order Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes Comments Due: Federal Register version (86 FR 57208)
34-93279
Oct. 8, 2021
SR-DTC-2021-011
Order Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes Comments Due: View Received Comments Federal Register version (86 FR 57221)
34-93256
Oct. 4, 2021
SR-NASDAQ-2021-007
Order Granting Approval of a Proposed Rule Change To Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB With the Ability To Inspect Public Accounting Firms Comments Due: View Received Comments Federal Register version (86 FR 56338)
34-93234
Oct. 1, 2021
SR-FICC-2021-007
Order Approving Proposed Rule Change To Remove the Early Unwind Intraday Charge, Change the Treatment of Short-Term Treasuries, and Make Other Changes Comments Due: Federal Register version (86 FR 55891)
34-93229
Oct. 1, 2021
SR-CboeBZX-2020-053
Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment Nos. 2 and 4, To List and Trade Shares of the 2x Long VIX Futures ETF Under BZX Rule 14.11(f)(4) (Trust Issued Receipts) Comments Due: View Received Comments Federal Register version (86 FR 55873)
34-93230
Oct. 1, 2021
SR-CboeBZX-2020-070
Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, To List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4) (Trust Issued Receipts) View Received Comments Federal Register version (86 FR 55881)
34-93212
Sept. 30, 2021
SR-NYSE-2021-40
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in Rule 7.12 Comments Due: View Received Comments Federal Register version (86 FR 55066)
34-93214
Sept. 30, 2021
SR-NYSEAMER-2021-04
Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees File Nos.: Letter from Assistant Secretary , 2021 Notice of Intention to Petition for Review , 2021 Petition for Review , Order Granting Petition for Review and Scheduling Filing of Statements , Statement of the Exchanges in Opposition to Order by Delegated Authority Disapproving Proposed Rule Changes , Inc. to establish certain co-location fees Federal Register version (86 FR 55672)
34-93214
Sept. 30, 2021
SR-NYSECHX-2021-01
Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees File Nos.: Comments Due: View Received Comments Letter from Assistant Secretary , 2021 Notice of Intention to Petition for Review , 2021 Petition for Review , Order Granting Petition for Review and Scheduling Filing of Statements , Statement of the Exchanges in Opposition to Order by Delegated Authority Disapproving Proposed Rule Changes , Inc. to establish certain co-location fees Federal Register version (86 FR 55672)
34-93214
Sept. 30, 2021
SR-NYSE-2021-05
Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees File Nos.: Comments Due: View Received Comments Letter from Assistant Secretary , 2021 Notice of Intention to Petition for Review , 2021 Petition for Review , Order Granting Petition for Review and Scheduling Filing of Statements , Statement of the Exchanges in Opposition to Order by Delegated Authority Disapproving Proposed Rule Changes , Inc. to establish certain co-location fees Federal Register version (86 FR 55672)
34-93214
Sept. 30, 2021
SR-NYSENAT-2021-01
Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees File Nos.: Comments Due: Letter from Assistant Secretary , 2021 Notice of Intention to Petition for Review , 2021 Petition for Review , Order Granting Petition for Review and Scheduling Filing of Statements , Statement of the Exchanges in Opposition to Order by Delegated Authority Disapproving Proposed Rule Changes , Inc. to establish certain co-location fees Federal Register version (86 FR 55672)
34-93214
Sept. 30, 2021
SR-NYSEArca-2021-07
Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees File Nos.: Comments Due: View Received Comments Letter from Assistant Secretary , 2021 Notice of Intention to Petition for Review , 2021 Petition for Review , Order Granting Petition for Review and Scheduling Filing of Statements , Statement of the Exchanges in Opposition to Order by Delegated Authority Disapproving Proposed Rule Changes , Inc. to establish certain co-location fees Federal Register version (86 FR 55672)
34-93219
Sept. 30, 2021
SR-NASDAQ-2021-054
Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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: View Received Comments Federal Register version (86 FR 55664)
34-93191
Sept. 29, 2021
SR-NYSEArca-2021-57
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the NYDIG Bitcoin ETF Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (86 FR 55090)
34-93176
Sept. 29, 2021
SR-LCHSA-2021-002
Order Approving Proposed Rule Change Relating to Eligible Collateral and Liquidity Risk Management Federal Register version (86 FR 55061)
34-93178
Sept. 29, 2021
SR-ICEEU-2021-014
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Clearing Membership Policy and Clearing Membership Procedures Federal Register version (86 FR 55045)
34-93157
Sept. 28, 2021
SR-Phlx-2021-43
Order Approving a Proposed Rule Change To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Options Program on the iShares Russell 2000 ETF (IWM) Comments Due: View Received Comments Federal Register version (86 FR 54749)
34-93147
Sept. 28, 2021
SR-CboeBZX-2021-053
Order Granting Approval of a Proposed Rule Change To Amend Rule 14.11(m) (Tracking Fund Shares) To Provide for the Use of Custom Baskets Consistent With the Exemptive Relief Issued Pursuant to the Investment Company Act of 1940 Applicable to a Series of Tracking Fund Shares Comments Due: Federal Register version (86 FR 54772)
34-93120
Sept. 24, 2021
SR-NYSEArca-2021-64
Order Granting Approval of a Proposed Rule Change To Amend Rule 8.601-E (Active Proxy Portfolio Shares) To Provide for the Use of Custom Baskets Comments Due: Federal Register version (86 FR 54257)
34-93119
Sept. 24, 2021
SR-NASDAQ-2021-045
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing Primary Offering Comments Due: View Received Comments Federal Register version (86 FR 54262)
34-93122
Sept. 24, 2021
SR-CBOE-2021-041
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Certain Rules To Accommodate the Listing and Trading of Micro FLEX Index Options and To Make Other Clarifying and Non-Substantive Changes Comments Due: View Received Comments Federal Register version (86 FR 54269)
34-93102
Sept. 22, 2021
SR-OCC-2021-007
Order Granting Approval of Proposed Rule Change Concerning the Options Clearing Corporation's Governance Arrangements Comments Due: Federal Register version (86 FR 53718)
34-93103
Sept. 22, 2021
SR-FINRA-2021-016
Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Amend Rule 2165 (Financial Exploitation of Specified Adults) Comments Due: Federal Register version (86 FR 53696)
34-93097
Sept. 21, 2021
SR-FINRA-2021-015
Order Approving a Proposed Rule Change To Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements) Federal Register version (86 FR 53358)
34-92932
Sept. 10, 2021
SR-FINRA-2021-014
Order Granting Approval of a Proposed Rule Change Relating to Members' Filing Requirements Under FINRA Rule 6432 (Compliance With the Information Requirements of SEA Rule 15c2-11) Federal Register version (86 FR 51700)
34-92918
Sept. 9, 2021
SR-ICC-2021-017
Order Approving Proposed Rule Change Relating to the ICE Clear Credit Operating Agreement and Governance Playbook Comments Due: Federal Register version (86 FR 51391)
34-92895
Sept. 8, 2021
SR-ICC-2021-016
Order Approving Proposed Rule Change Relating to the ICC Exercise Procedures Comments Due: Federal Register version (86 FR 51206)
34-92798
Aug. 27, 2021
SR-PEARL-2021-33
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the MIAX Pearl Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Ports Comments Due: View Received Comments Federal Register version (86 FR 49360)
34-92797
Aug. 27, 2021
SR-PEARL-2021-32
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the MIAX Pearl Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees Comments Due: View Received Comments Federal Register version (86 FR 49399)
34-92789
Aug. 27, 2021
SR-EMERALD-2021-21
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for the Exchanges' cToM Market Data Products File Nos.: Comments Due: Federal Register version (86 FR 49364)
34-92789
Aug. 27, 2021
SR-MIAX-2021-28
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for the Exchanges' cToM Market Data Products File Nos.: Comments Due: Federal Register version (86 FR 49364)
34-92792
Aug. 27, 2021
SR-EMERALD-2021-22
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend Fees for Purge Ports File Nos.: Comments Due: View Received Comments Federal Register version (86 FR 49384)
