34-91257
March 4, 2021
SR-CBOE-2020-106
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend its Rules Regarding the Minimum Increments for Electronic Bids and Offers and Exercise Prices of Certain FLEX Options and Clarify in the Rules How the System Ranks FLEX Option Bids and Offers for Allocation Purposes Comments Due: View Received Comments Federal Register version (86 FR 13769)
34-91236
March 2, 2021
SR-NYSEArca-2020-56
Order Disapproving a Proposed Rule Change To Amend NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E, and 8.900-E Comments Due: View Received Comments Federal Register version (86 FR 13414)
34-91227
March 1, 2021
SR-NYSE-2020-95
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Permanent Commentaries to Rule 7.35A and Commentaries to Rule 7.35B and Make Related Changes to Rules 7.32, 7.35C, 46B, and 47 Comments Due: View Received Comments Federal Register version (86 FR 12991)
34-91141
Feb. 17, 2021
SR-ICEEU-2020-018
Order Approving Proposed Rule Change as Modified by Partial Amendment No. 1 Relating to Amendments to the ICE Clear Europe CDS Procedures and CDS Default Management Policy. Comments Due: Federal Register version (86 FR 10610)
34-91120
Feb. 12, 2021
SR-NYSE-2020-90
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Requirement Applicable to Special Purpose Acquisition Companies Upon Consummation of a Business Combination Concerning Compliance With the Round Lot Shareholder Requirement Comments Due: View Received Comments Federal Register version (86 FR 10379)
34-91121
Feb. 12, 2021
SR-NYSE-2020-93
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rules 7.35 and 7.35A Comments Due: View Received Comments Federal Register version (86 FR 10386)
34-91124
Feb. 12, 2021
SR-BX-2020-033
Order Granting Approval of a Proposed Rule Change To Utilize the FIX Protocol To Submit Orders to BX's Price Improvement Auction Mechanism Comments Due: Federal Register version (86 FR 10363)
34-91122
Feb. 12, 2021
SR-CBOE-2020-052
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 5.37, 5.38, and 5.73 Related to Auction Notification Messages and Index Combo Orders in SPX in the Automated Improvement Mechanism, Complex Automated Improvement Mechanism, and FLEX Automated Improvement Mechanism Comments Due: View Received Comments Federal Register version (86 FR 10364)
34-91109
Feb. 11, 2021
SR-NASDAQ-2020-090
Order Approving a Proposed Rule Change To Amend the Exchange's Rules at Equity 4, Section 4703(h) Relating to Reserve Orders Comments Due: Federal Register version (86 FR 10141)
34-91112
Feb. 11, 2021
SR-PEARL-2020-30
Order Granting Approval of a Proposed Rule Change To Amend the Exchange's By-Laws in Connection With an Equity Rights Program Comments Due: Federal Register version (86 FR 10149)
34-91116
Feb. 11, 2021
SR-CBOE-2020-050
Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Rules 5.37 and 5.73 Related to the Solicitation of Market Makers for SPX Initiating Orders in the Automated Improvement Mechanism and FLEX Automated Improvement Mechanism Comments Due: View Received Comments Federal Register version (86 FR 10154)
34-91092
Feb. 9, 2021
SR-FICC-2020-017
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount Comments Due: View Received Comments Federal Register version (86 FR 9560)
34-91079
Feb. 8, 2021
SR-OCC-2020-016
Order Approving Proposed Rule Change to Concerning the Options Clearing Corporation's System for Theoretical Analysis and Numerical Simulation ("STANS") Methodology Documentation Comments Due: Federal Register version (86 FR 9410)
34-91075
Feb. 8, 2021
SR-ICC-2020-014
Order Approving Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures Comments Due: Federal Register version (86 FR 9404)
34-91070
Feb. 5, 2021
SR-FINRA-2020-037
Order Approving Proposed Rule Change To Amend the By-Laws of FINRA Regulation, Inc. To Align the Grounds for Member Removal From the NAC With an Existing Provision in the FINRA By-Laws Federal Register version (86 FR 9110)
34-91067
Feb. 5, 2021
SR-CBOE-2020-116
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Add Options on the Mini-Russell 2000 Index to Its P.M. Pilot Program Comments Due: View Received Comments Federal Register version (86 FR 9108)
34-91063
Feb. 4, 2021
SR-DTC-2020-019
Order Approving a Proposed Rule Change To Update the Distributions Service Guide Comments Due: Federal Register version (86 FR 8953)
34-91031
Feb. 1, 2021
SR-NYSEArca-2020-98
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Availability of Information for the iShares Gold Trust, the iShares Silver Trust, and the iShares S&P GSCI Commodity-Indexed Trust Comments Due: View Received Comments Federal Register version (86 FR 8464)
34-91029
Feb. 1, 2021
SR-NYSE-2020-86
Order Approving a Proposed Rule Change To Adopt NYSE Rule 5.2(j)(8) Governing the Listing and Trading of Exchange-Traded Fund Shares Comments Due: Federal Register version (86 FR 8420)
34-91016
Jan. 29, 2021
SR-IEX-2020-18
Order Granting Approval of Proposed Rule Change To Amend IEX Rule 11.510 To Reduce the Outbound Latency That Presently Applies to All Messages Sent From IEX Back to Users of the Exchange Comments Due: Federal Register version (86 FR 8238)
34-90995
Jan. 26, 2021
SR-NASDAQ-2020-069
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Exclude Special Purpose Acquisition Companies From the Requirement That at Least 50% of a Company's Round Lot Holders Each Hold Unrestricted Securities With a Market Value of at Least $2,500 Comments Due: Federal Register version (86 FR 7757)
34-90987
Jan. 25, 2021
SR-BOX-2020-16
Order Disapproving Proposed Rule Change, as Modified by Amendment No. 1, in Connection With the Proposed Establishment of the Boston Security Token Exchange LLC as a Facility of the Exchange Comments Due: View Received Comments Federal Register version (86 FR 7597)
34-90948
Jan. 19, 2021
SR-FICC-2020-015
Order Approving Proposed Rule Change To Include Same-Day Settling Trades in the Risk Management, Novation, Guarantee, and Settlement Services of the Government Securities Division's Delivery-Versus-Payment Service, and Make Other Changes Comments Due: Federal Register version (86 FR 7159)
34-90939
Jan. 15, 2021
SR-FINRA-2019-008
Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service Federal Register version (86 FR 6922)
34-90893
Jan. 11, 2021
SR-NYSE-2020-94
Order Granting Approval of Proposed Rule Change To Amend Section 907.00 of the Manual To Extend the Period of Time for the Entitlement of Certain Eligible Issuers To Receive Complimentary Products and Services Under That Rule Comments Due: Federal Register version (86 FR 4166)
34-90885
Jan. 11, 2021
4-757
Order Instituting Proceedings to Determine Whether To Approve or Disapprove a National Market System Plan Regarding Consolidated Equity Market Data Comments Due: View Received Comments Federal Register version (86 FR 4142)
34-90895
Jan. 11, 2021
SR-DTC-2020-017
Order Approving a Proposed Rule Change To Allow for the Deposit of Electronic Certificates of Deposit and Technical Changes Comments Due: Federal Register version (86 FR 4151)
34-90835
Dec. 31, 2020
SR-NYSEArca-2020-84
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 8.900-E To Adopt Generic Listing Standards for Managed Portfolio Shares Comments Due: View Received Comments Federal Register version (86 FR 630)
34-90827
Dec. 30, 2020
SR-OCC-2020-015
Order Granting Accelerated Approval of Proposed Rule Change Concerning the Implementation of New Sufficiency Scenarios in the Options Clearing Corporation's Stress Testing Inventory Comments Due: Federal Register version (86 FR 659)
34-90819
Dec. 29, 2020
SR-CboeBZX-2020-036
Order Disapproving a Proposed Rule Change Relating to Rule 14.11, Other Securities, To Modify a Continued Listing Criterion for Certain Exchange-Traded Products Comments Due: View Received Comments Federal Register version (86 FR 332)
34-90804
Dec. 28, 2020
SR-CboeEDGA-2020-029
Order Granting Approval of Proposed Rule Changes To Revise Each Exchange's Process for Re-Opening Trading of NYSE-Listed Securities Outside of Regular Trading Hours File Nos.: Comments Due: Federal Register version (86 FR 158)
34-90804
Dec. 28, 2020
SR-CboeBYX-2020-032
Order Granting Approval of Proposed Rule Changes To Revise Each Exchange's Process for Re-Opening Trading of NYSE-Listed Securities Outside of Regular Trading Hours File Nos.: Comments Due: Federal Register version (86 FR 158)
34-90804
Dec. 28, 2020
SR-CboeEDGX-2020-055
Order Granting Approval of Proposed Rule Changes To Revise Each Exchange's Process for Re-Opening Trading of NYSE-Listed Securities Outside of Regular Trading Hours File Nos.: Comments Due: Federal Register version (86 FR 158)
34-90804
Dec. 28, 2020
SR-CboeBZX-2020-083
Order Granting Approval of Proposed Rule Changes To Revise Each Exchange's Process for Re-Opening Trading of NYSE-Listed Securities Outside of Regular Trading Hours File Nos.: Comments Due: Federal Register version (86 FR 158)
34-90797
Dec. 23, 2020
SR-OCC-2020-014
Order Approving Proposed Rule Change To Adopt the OCC Third-Party Risk Management Framework and Retire the OCC Counterparty Credit Risk Management Framework Comments Due: Federal Register version (85 FR 86592)
34-90732
Dec. 18, 2020
SR-NYSECHX-2020-26
Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE Chicago, Inc.; Notice of Filings of Amendment No. 1 and Order Granting Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1, Amending the Exchanges’ Co-Location Services to Establish Procedures for the Allocation of Cabinets to Co-Located Users if Cabinet Inventory Falls Below Certain Thresholds File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 84443)
34-90732
Dec. 18, 2020
SR-NYSE-2020-73
Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE Chicago, Inc.; Notice of Filings of Amendment No. 1 and Order Granting Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1, Amending the Exchanges’ Co-Location Services to Establish Procedures for the Allocation of Cabinets to Co-Located Users if Cabinet Inventory Falls Below Certain Thresholds File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 84443)
34-90732
Dec. 18, 2020
SR-NYSENAT-2020-28
Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE Chicago, Inc.; Notice of Filings of Amendment No. 1 and Order Granting Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1, Amending the Exchanges’ Co-Location Services to Establish Procedures for the Allocation of Cabinets to Co-Located Users if Cabinet Inventory Falls Below Certain Thresholds File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 84443)
34-90732
Dec. 18, 2020
SR-NYSEArca-2020-82
Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE Chicago, Inc.; Notice of Filings of Amendment No. 1 and Order Granting Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1, Amending the Exchanges’ Co-Location Services to Establish Procedures for the Allocation of Cabinets to Co-Located Users if Cabinet Inventory Falls Below Certain Thresholds File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 84443)
34-90732
Dec. 18, 2020
SR-NYSEAMER-2020-66
Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE Chicago, Inc.; Notice of Filings of Amendment No. 1 and Order Granting Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1, Amending the Exchanges’ Co-Location Services to Establish Procedures for the Allocation of Cabinets to Co-Located Users if Cabinet Inventory Falls Below Certain Thresholds File Nos.: Comments Due: Federal Register version (85 FR 84443)
34-90729
Dec. 18, 2020
SR-NASDAQ-2020-060
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Treat as an Eligible Switch, for Purposes of IM-5900-7, an Acquisition Company That Switches From NYSE to Nasdaq After Announcing a Business Combination Comments Due: Federal Register version (85 FR 84434)
34-90735
Dec. 18, 2020
SR-BOX-2020-14
Order Disapproving Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC Comments Due: View Received Comments Federal Register version (85 FR 84403)
34-90717
Dec. 17, 2020
SR-NASDAQ-2020-057
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Allow Companies To List in Connection With a Direct Listing With a Primary Offering In Which the Company Will Sell Shares Itself In the Opening Auction on the First Day of Trading on Nasdaq and To Explain How the Opening Transaction for Such a Listing Will Be Effected Comments Due: View Received Comments Federal Register version (85 FR 84025)
34-90705
Dec. 17, 2020
SR-FINRA-2020-035
Order Approving a Proposed Rule Change To Amend the FINRA Codes of Arbitration Procedure To Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees Federal Register version (85 FR 84053)
34-90683
Dec. 16, 2020
SR-NYSEArca-2020-94
Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, To List and Trade Shares of the AdvisorShares Q Portfolio Blended Allocation ETF and AdvisorShares Q Dynamic Growth ETF Under NYSE Arca Rule 8.900-E Comments Due: View Received Comments Federal Register version (85 FR 83665)
34-90682
Dec. 16, 2020
SR-NASDAQ-2020-062
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Listing Rules Applicable to Special Purpose Acquisition Companies Whose Business Plan Is To Complete One or More Business Combinations Comments Due: View Received Comments Federal Register version (85 FR 83113)
34-90659
Dec. 14, 2020
SR-CboeBZX-2020-070
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) ("Trust Issued Receipts") View Received Comments Federal Register version (85 FR 82536)
34-90652
Dec. 11, 2020
SR-NYSEArca-2020-77
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 8.601-E To Adopt Generic Listing Standards for Active Proxy Portfolio Shares Comments Due: Federal Register version (85 FR 82011)
34-90646
Dec. 11, 2020
SR-FINRA-2020-034
Order Approving Proposed Rule Change To Modify TRACE Dissemination Protocols for Agency Pass-Through MBS or SBA-Backed ABS Traded in Specified Pool Transactions Federal Register version (85 FR 82002)
34-90627
Dec. 10, 2020
SR-ICEEU-2020-013
Order Approving Proposed Rule Change Relating to the ICE Clear Europe Investment Management Procedures Comments Due: Federal Register version (85 FR 81548)
34-90635
Dec. 10, 2020
SR-FINRA-2020-011
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Address Brokers With a Significant History of Misconduct Federal Register version (85 FR 81540)
34-90611
Dec. 9, 2020
SR-MSRB-2020-08
Order Granting Approval of a Proposed Rule Change To Amend MSRB Form G-32 Comments Due: Federal Register version (85 FR 81248)
34-90573
Dec. 4, 2020
SR-Phlx-2020-41
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Options on a Nasdaq-100 Volatility Index Comments Due: View Received Comments Federal Register version (85 FR 79552)
34-90541
Dec. 1, 2020
SR-LCHSA-2020-006
Order Approving Proposed Rule Change Relating to the Amendments to LCH SA's Liquidity Risk Modelling Framework Federal Register version (85 FR 78888)
34-90528
Nov. 30, 2020
SR-NYSEArca-2020-80
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of Alger Mid Cap 40 ETF and Alger 25 ETF Under Rule 8.900-E Comments Due: View Received Comments Federal Register version (85 FR 78389)
34-90502
Nov. 24, 2020
SR-NSCC-2020-003
Order Approving a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV Comments Due: View Received Comments Federal Register version (85 FR 77281)
34-90505
Nov. 24, 2020
SR-ICC-2020-011
Order Approving Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Clearing Rules Comments Due: Federal Register version (85 FR 77315)
34-90481
Nov. 23, 2020
SR-DTC-2020-012
Order Approving a Proposed Rule Change To Establish the ClaimConnectTM Comments Due: Federal Register version (85 FR 76640)
34-90464
Nov. 19, 2020
SR-OCC-2020-011
Order Approving Proposed Rule Change To Adopt a New Second Amended and Restated Cross-Margining Agreement Between The Options Clearing Corporation and The Chicago Mercantile Exchange Comments Due: Federal Register version (85 FR 75384)
34-90396
Nov. 12, 2020
SR-FINRA-2020-029
Order Approving Proposed Rule Change Relating to Granularity of Timestamps in Trade Reports Submitted to FINRA's Equity Trade Reporting Facilities Federal Register version (85 FR 73541)
34-90372
Nov. 6, 2020
SR-DTC-2020-011
Order Approving a Proposed Rule Change To Amend Rule 4 Comments Due: Federal Register version (85 FR 72708)
34-90355
Nov. 5, 2020
SR-NASDAQ-2020-017
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Nasdaq Rule 5704 Comments Due: View Received Comments Federal Register version (85 FR 71977)
34-90319
Nov. 3, 2020
SR-CBOE-2020-014
Order Instruction Comments Due: View Received Comments Federal Register version (85 FR 71361)
34-90217
Oct. 16, 2020
SR-NYSENAT-2020-05
Order Approving a Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed Comments Due: View Received Comments Federal Register version (85 FR 67392)
34-90207
Oct. 15, 2020
SR-LCHSA-2020-004
Order Approving Proposed Rule Change Relating to the Clearing of Single Name Credit Default Swaps Referencing Monoline Insurance Companies and the Amendment of LCH SA's Rules in Accordance With Its Risk Policies Federal Register version (85 FR 67055)
34-90204
Oct. 15, 2020
SR-CBOE-2020-034
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Authorize for Trading Flexible Exchange Options on Full-Value Indexes With a Contract Multiplier of One Comments Due: View Received Comments Federal Register version (85 FR 67037)
34-90179
Oct. 14, 2020
SR-CBOE-2020-074
Order Granting Approval of a Proposed Rule Change To Adopt Position Compression Cross ("PCC") Orders for SPX Comments Due: View Received Comments Federal Register version (85 FR 66590)
34-90116
Oct. 7, 2020
SR-FINRA-2020-020
Order Approving a Proposed Rule Change To Adopt FINRA Rule 3241 (Registered Person Being Named a Customer's Beneficiary or Holding a Position of Trust for a Customer) Federal Register version (85 FR 65095)
34-90118
Oct. 7, 2020
SR-CboeBZX-2020-053
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 2x Long VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts) Comments Due: View Received Comments Federal Register version (85 FR 64563)
34-90100
Oct. 6, 2020
SR-OCC-2020-010
Order Approving Proposed Rule Change Concerning the Commingling of Certain Non-Customer Margin Assets With Clearing Fund Contributions in the Options Clearing Corporation's Account at the Federal Reserve Bank of Chicago Comments Due: Federal Register version (85 FR 64603)
34-90101
Oct. 6, 2020
SR-FICC-2020-010
Order Approving a Proposed Rule Change To Describe Key Components of the Mortgage-Backed Securities Division Stress Testing Program Comments Due: Federal Register version (85 FR 64539)
34-90075
Oct. 2, 2020
SR-NYSEArca-2020-56
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E, and 8.900-E Comments Due: View Received Comments Federal Register version (85 FR 63597)
34-89948
Sept. 22, 2020
SR-ICC-2020-010
Order Approving Proposed Rule Change Relating to the ICC Risk Management Model Description Comments Due: Federal Register version (85 FR 60845)
34-89915
Sept. 17, 2020
SR-NASDAQ-2020-044
Order Granting Approval of Proposed Rule Change To Adopt Listing Rule IM-5900-8 To Offer a Complimentary Global Targeting Tool to Acquisition Companies Listed Pursuant to Nasdaq IM-5101-2 That Have Publicly Announced Entering Into a Binding Agreement for a Business Combination Comments Due: View Received Comments Federal Register version (85 FR 59845)
34-89898
Sept. 16, 2020
SR-NYSEArca-2020-46
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities Comments Due: Federal Register version (85 FR 59572)
34-89809
Sept. 10, 2020
SR-OCC-2020-008
Order Approving Proposed Rule Change To Enhance OCC's Stock Loan Close-Out Process Comments Due: Federal Register version (85 FR 57897)
34-89799
Sept. 9, 2020
SR-NASDAQ-2020-027
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets Comments Due: View Received Comments Federal Register version (85 FR 57282)
34-89793
Sept. 9, 2020
SR-LCHSA-2020-003
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to LCH SA's Governance Arrangements Federal Register version (85 FR 57266)
34-89768
Sept. 4, 2020
SR-CBOE-2020-060
Order Type Comments Due: View Received Comments Federal Register version (85 FR 55869)
34-89739
Sept. 2, 2020
SR-NASDAQ-2020-028
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend IM-5101-1 (Use of Discretionary Authority) To Deny Listing or Continued Listing or To Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market Comments Due: View Received Comments Federal Register version (85 FR 55708)
34-89731
Sept. 1, 2020
SR-BX-2020-016
Order Approving Proposed Rule Change To Amend BX's Opening Process in Connection With a Technology Migration Comments Due: Federal Register version (85 FR 55524)
34-89722
Sept. 1, 2020
SR-CboeBZX-2020-042
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Accommodate Exchange Listing and Trading of Options-Linked Securities Comments Due: Federal Register version (85 FR 55337)
34-89684
Aug. 26, 2020
SR-NYSE-2019-67
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings Comments Due: View Received Comments 2020 , 2020 , 2020 , 2020 , 2020 , 2020 , 2020 , 2020 , 2020 Federal Register version (85 FR 54454)
34-89678
Aug. 26, 2020
SR-LCHSA-2020-002
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Clearing of Markit iTraxx MSCI ESG Screened Europe Index Contracts Federal Register version (85 FR 54452)
34-89686
Aug. 26, 2020
SR-IEX-2019-15
Order Type Called D-Limit Comments Due: View Received Comments Federal Register version (85 FR 54438)
34-89663
Aug. 25, 2020
SR-NYSEArca-2020-48
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of Gabelli ETFs Under Rule 8.900-E, Managed Portfolio Shares Comments Due: View Received Comments Federal Register version (85 FR 53868)
34-89639
Aug. 21, 2020
SR-ICC-2020-009
Order Approving Proposed Rule Change Relating to the ICC Risk Management Framework, ICC Risk Management Model Description, ICC Risk Parameter Setting and Review Policy, ICC Stress Testing Framework, and ICC Liquidity Risk Management Framework Comments Due: Federal Register version (85 FR 53036)
34-89608
Aug. 19, 2020
SR-NYSEArca-2019-77
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the AdvisorShares Pure US Cannabis ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (85 FR 52394)
34-89593
Aug. 18, 2020
SR-FICC-2020-006
Order Approving Proposed Rule Change To Provide for a Passive Acknowledgement Process and Make Other Changes Comments Due: Federal Register version (85 FR 52164)
34-89563
Aug. 14, 2020
SR-PEARL-2020-03
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Rules Governing the Trading of Equity Securities Federal Register version (85 FR 51510)
34-89499
Aug. 6, 2020
SR-NYSE-2020-55
Order Granting Approval of a Proposed Rule Change To Amend Rules 7.36 and 7.37 Relating to Setter Priority and Allocation Comments Due: Federal Register version (85 FR 48746)
34-89484
Aug. 5, 2020
SR-MSRB-2020-04
Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-6 That Are Designed To Improve Board Governance Comments Due: View Received Comments Federal Register version (85 FR 48579)
34-89472
Aug. 4, 2020
SR-CboeBZX-2020-036
Order Instituting Proceedings To Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Rule 14.11, Other Securities, To Modify a Continued Listing Criterion for Certain Exchange-Traded Products Comments Due: View Received Comments Federal Register version (85 FR 48318)
34-89438
July 31, 2020
SR-NYSEArca-2020-51
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of Natixis Vaughan Nelson Select ETF and Natixis Vaughan Nelson MidCap ETF Under NYSE Arca Rule 8.601-E Comments Due: View Received Comments Federal Register version (85 FR 47821)
34-89436
July 31, 2020
SR-ICC-2020-008
Order Approving Proposed Rule Change Relating to the ICC Exercise Procedures and ICC Clearing Rules Comments Due: Federal Register version (85 FR 47827)
34-89409
July 28, 2020
SR-ICEEU-2020-005
Order Approving Proposed Rule Change Relating to Amendments to the ICEEU Clearing Rules Comments Due: Federal Register version (85 FR 46763)
34-89397
July 24, 2020
4-698
Order Approving Amendment to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments Federal Register version (85 FR 45941)
34-89305
July 13, 2020
SR-FINRA-2020-011
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Address Broker-Dealers With a Significant History of Misconduct Comments Due: Federal Register version (85 FR 43627)
34-89217
July 2, 2020
SR-CboeBZX-2020-029
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the JPMorgan Large Cap Growth ETF Under Rule 14.11(k), Managed Portfolio Shares Comments Due: View Received Comments Federal Register version (85 FR 41263)
34-89213
July 1, 2020
SR-MIAX-2020-11
Order Approving a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders, To Adopt New Interpretation and Policy .08, Related Futures Cross Orders Comments Due: Federal Register version (85 FR 41077)
