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)
34-89186
June 29, 2020
SR-ICEEU-2020-007
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Auction Terms for CDS Default Auctions and CDS Default Management Policy Comments Due: Federal Register version (85 FR 40369)
34-89154
June 25, 2020
SR-MSRB-2020-02
Order Granting Approval of a Proposed Rule Change To Align Certain MSRB Rules to Securities Exchange Act Rule 15 l Comments Due: View Received Comments Federal Register version (85 FR 39613)
34-89145
June 24, 2020
SR-NSCC-2020-003
Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 39244)
34-89142
June 24, 2020
SR-ICC-2020-002
Order Approving Proposed Rule Change Relating to the ICC Risk Management Model Description, ICC Stress Testing Framework, ICC Liquidity Risk Management Framework, ICC Back-Testing Framework, and ICC Risk Parameter Setting and Review Policy Comments Due: Federal Register version (85 FR 39226)
34-89084
June 17, 2020
4-762
Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and MEMX LLC Federal Register version (85 FR 37701)
34-89068
June 15, 2020
SR-NYSEArca-2020-37
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Make Certain Changes Regarding the Investments of the PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund Comments Due: View Received Comments Federal Register version (85 FR 37139)
34-89066
June 12, 2020
4-757
Order Denying Stay; In the Matter of Order Directing the Exchanges and the Financial Industry Regulatory Authority to Submit a New National Market System Plan Regarding Consolidated Equity Market Data Comments Due: View Received Comments
34-89015
June 4, 2020
SR-NYSEAMER-2020-29
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Rule 967NY Regarding the Treatment of Orders Subject to Trade Collar Protection Federal Register version (85 FR 35457)
34-89014
June 4, 2020
SR-OCC-2020-003
Order Approving Proposed Rule Change Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management Comments Due: Federal Register version (85 FR 35446)
34-89008
June 4, 2020
SR-NYSEArca-2020-31
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Rule 6.60-O Regarding the Treatment of Orders Subject to Trade Collar Protection Comments Due: View Received Comments Federal Register version (85 FR 35459)
34-89010
June 4, 2020
SR-BX-2020-007
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA Under the Exchanges Authority and Supervision Comments Due: Federal Register version (85 FR 35453)
34-88989
June 2, 2020
SR-OCC-2020-004
Order Approving Proposed Rule Change To Modify the Sequence for Processing Options Transactions Comments Due: Federal Register version (85 FR 35151)
34-88954
May 27, 2020
SR-ICC-2020-007
Order Approving Proposed Rule Change Relating to the ICC Clearing Rules Comments Due: Federal Register version (85 FR 33762)
34-88944
May 26, 2020
SR-ICC-2020-005
Order Approving Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures Comments Due: Federal Register version (85 FR 33221)
34-88945
May 26, 2020
SR-FINRA-2020-005
Order Approving a Proposed Rule Change To Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes To Apply Minimum Fees To Requests for Expungement of Customer Dispute Information Federal Register version (85 FR 33212)
34-88934
May 22, 2020
SR-BOX-2020-04
Order Granting Approval of a Proposed Rule Change To Amend the Provisions of the Limited Liability Company Agreement and Bylaws Comments Due: Federal Register version (85 FR 32085)
34-88925
May 21, 2020
SR-ICC-2020-004
Order Approving Proposed Rule Change Relating to the ICC CDS Instrument On-Boarding Policies and Procedures Comments Due: Federal Register version (85 FR 32073)
34-88927
May 21, 2020
SR-ICC-2020-006
Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures Comments Due: Federal Register version (85 FR 32067)
34-88929
May 21, 2020
SR-ICC-2020-003
Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts Comments Due: Federal Register version (85 FR 32066)
34-88910
May 20, 2020
SR-FICC-2020-002
Order Approving a Proposed Rule Change To Amend the Government Securities Division Rulebook Relating to the Legal Entity Identifier Requirement Comments Due: Federal Register version (85 FR 31837)
34-88911
May 20, 2020
SR-DTC-2020-008
Order Approving a Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework File Nos.: Comments Due: Federal Register version (85 FR 31828)
34-88911
May 20, 2020
SR-FICC-2020-004
Order Approving a Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework File Nos.: Comments Due: Federal Register version (85 FR 31828)
34-88911
May 20, 2020
SR-NSCC-2020-008
Order Approving a Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework File Nos.: Comments Due: Federal Register version (85 FR 31828)
34-88901
May 18, 2020
SR-NYSE-2020-11
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections and Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 31273)
34-88901
May 18, 2020
SR-NYSE-2020-05
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections and Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 31273)
34-88901
May 18, 2020
SR-NYSE-2020-05
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections and Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 31273)
34-88837
May 7, 2020
SR-NYSENAT-2019-19
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Exchanges' Co-Location Services To Offer Co-Location Users Access to the NMS Network File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 28671)
34-88837
May 7, 2020
SR-NYSE-2019-46
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Exchanges' Co-Location Services To Offer Co-Location Users Access to the NMS Network File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 28671)
34-88837
May 7, 2020
SR-NYSEAMER-2019-34
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Exchanges' Co-Location Services To Offer Co-Location Users Access to the NMS Network File Nos.: Comments Due: Federal Register version (85 FR 28671)
34-88837
May 7, 2020
SR-NYSEArca-2019-61
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Exchanges' Co-Location Services To Offer Co-Location Users Access to the NMS Network File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 28671)
34-88827
May 6, 2020
4-757
Order Directing the Exchanges and the Financial Industry Regulatory Authority To Submit a New National Market System Plan Regarding Consolidated Equity Market Data Comments Due: View Received Comments Motion for Stay of NMS Governance Order by the NASDAQ Stock Market LLC, NASDAQ BX, Inc., and NASDAQ PHLX LLC , Petition for Review Federal Register version (85 FR 28702)
34-88824
May 6, 2020
S7-24-89
Order Approving the Forty-Fourth 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, as Modified by the Commission, Concerning Conflicts of Interest Comments Due: Federal Register version (85 FR 28119)
34-88826
May 6, 2020
S7-24-89
Order Approving the Forty-Seventh 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, as Modified by the Commission, Concerning a Confidentiality Policy Comments Due: Federal Register version (85 FR 28069)
34-88823
May 6, 2020
SR-CTA/CQ-2019-01
Order Approving the Thirtieth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Second Substantive Amendment to the Restated CQ Plan, as Modified by the Commission, Concerning Conflicts of Interest Comments Due: View Received Comments Federal Register version (85 FR 28046)
34-88825
May 6, 2020
SR-CTA/CQ-2019-04
Order Approving the Thirty-Third Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Fourth Substantive Amendment to the Restated CQ Plan, as Modified by the Commission, Concerning a Confidentiality Po Comments Due: View Received Comments Federal Register version (85 FR 28090)
34-88793
May 1, 2020
SR-NYSEArca-2020-17
Order Granting Approval of Proposed Rule Changes Relating to Repricing of Depth-of-Book Orders in Response to a Locked or Crossed Market File Nos.: Comments Due: Federal Register version (85 FR 27259)
34-88793
May 1, 2020
SR-NYSEAMER-2020-12
Order Granting Approval of Proposed Rule Changes Relating to Repricing of Depth-of-Book Orders in Response to a Locked or Crossed Market File Nos.: Comments Due: Federal Register version (85 FR 27259)
34-88793
May 1, 2020
SR-NYSE-2020-13
Order Granting Approval of Proposed Rule Changes Relating to Repricing of Depth-of-Book Orders in Response to a Locked or Crossed Market File Nos.: Comments Due: View Received Comments Federal Register version (85 FR 27259)
34-88793
May 1, 2020
SR-NYSECHX-2020-06
Order Granting Approval of Proposed Rule Changes Relating to Repricing of Depth-of-Book Orders in Response to a Locked or Crossed Market File Nos.: Comments Due: Federal Register version (85 FR 27259)
34-88793
May 1, 2020
SR-NYSE-2020-67
Order Granting Approval of Proposed Rule Changes Relating to Repricing of Depth-of-Book Orders in Response to a Locked or Crossed Market File Nos.: Comments Due: Federal Register version (85 FR 27259)
34-88793
May 1, 2020
SR-NYSENAT-2020-09
Order Granting Approval of Proposed Rule Changes Relating to Repricing of Depth-of-Book Orders in Response to a Locked or Crossed Market File Nos.: Comments Due: Federal Register version (85 FR 27259)
34-88776
April 29, 2020
SR-NYSE-2020-17
Order Approving a Proposed Rule Change To Amend Its Rules To Add New Rule 7.19 Comments Due: Federal Register version (85 FR 26768)
34-88775
April 29, 2020
SR-ICC-2020-002
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Relating to the ICC Risk Management Model Description, ICC Stress Testing Framework, ICC Liquidity Risk Management Framework, ICC Back-Testing Framework, and ICC Risk Parameter Setting and Review Policy Comments Due: Federal Register version (85 FR 26774)
34-88774
April 29, 2020
SR-CboeEDGX-2020-005
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), To Be Consistent with Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems Comments Due: Federal Register version (85 FR 26766)
34-88772
April 29, 2020
SR-CboeEDGA-2020-003
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), To Be Consistent With Certain Proposed Amendments To and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems Comments Due: Federal Register version (85 FR 26762)
34-88771
April 29, 2020
SR-CboeBZX-2020-011
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems Comments Due: Federal Register version (85 FR 26741)
34-88770
April 29, 2020
SR-CboeBYX-2020-005
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems Comments Due: Federal Register version (85 FR 26764)
34-88769
April 29, 2020
SR-CBOE-2020-004
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Chapter 7, Section B of the Rules, Which Contains the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems Comments Due: Federal Register version (85 FR 26758)
34-88743
April 24, 2020
SR-NASDAQ-2020-011
Order Approving Proposed Rule Change To Amend Rules 4702(b)(14) and (b)(15) To Shorten the Holding Period Requirements for Midpoint Extended Life Orders and Midpoint Extended Life Orders Plus Continuous Book Comments Due: View Received Comments Federal Register version (85 FR 24068)
34-88704
April 21, 2020
4-631
Order Approving the Twentieth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, 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. View Received Comments Federal Register version (85 FR 23383)
34-88716
April 21, 2020
SR-NASDAQ-2020-001
Order Approving a Proposed Rule Change To Modify the Delisting Process for Securities With a Bid Price at or Below $0.10 and for Securities That Have Had One or More Reverse Stock Splits With a Cumulative Ratio of 250 Shares or More to One Over the Prior Two-Year Period Comments Due: Federal Register version (85 FR 23393)
34-88699
April 20, 2020
SR-NYSEAMER-2020-03
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE American Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (85 FR 23086)
34-88697
April 20, 2020
SR-NYSENAT-2020-01
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE National Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (85 FR 23073)
34-88698
April 20, 2020
SR-NYSECHX-2020-01
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the NYSE Chicago Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (85 FR 23117)
34-88696
April 20, 2020
SR-NYSEARCA-2020-01
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE Arca Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (85 FR 23093)
34-88700
April 20, 2020
SR-NYSE-2020-01
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: View Received Comments Federal Register version (85 FR 23083)
34-88599
April 8, 2020
SR-CboeBZX-2020-006
Order Approving a Proposed Rule Change To Provide Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.13 Comments Due: Federal Register version (85 FR 20793)
34-88578
April 7, 2020
SR-LCHSA-2020-001
Order Approving Proposed Rule Change Relating to Amendments to the Wind Down Plan Federal Register version (85 FR 20561)
34-88558
April 3, 2020
SR-CboeBZX-2020-007
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Eliminate the Requirement That an Intraday Indicative Value Be Disseminated as Set Forth Under Rule 14.11(c) for Certain Series of Index Fund Shares and Under Rule 14.11(i) for All Series of Managed Fund Shares Comments Due: View Received Comments Federal Register version (85 FR 20012)
34-88538
April 1, 2020
SR-NYSENAT-2020-05
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed Comments Due: View Received Comments Federal Register version (85 FR 19541)
34-88532
April 1, 2020
4-443
Order Approving Amendment No. 5 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Adopt a Penny Interval Program Comments Due: Federal Register version (85 FR 19545)
34-88536
April 1, 2020
SR-BOX-2019-37
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change in Connection With the Proposed Commencement of Operations of the Boston Security Token Exchange LLC as a Facility of the Exchange Comments Due: View Received Comments Federal Register version (85 FR 19537)
34-88494
March 27, 2020
SR-NSCC-2020-002
Order Approving a Proposed Rule Change To Enhance the Calculation of the Family-Issued Securities Charge Comments Due: Federal Register version (85 FR 18615)
34-88501
March 27, 2020
SR-IEX-2019-15
Order Type Called D-Limit Comments Due: View Received Comments Federal Register version (85 FR 18612)
34-88493
March 27, 2020
SR-BOX-2019-04
Order Affirming Action by Delegated Authority and Disapproving Proposed Rule Changes Related to Connectivity and Port Fee Comments Due: View Received Comments
34-88493
March 27, 2020
SR-BOX-2018-24
Order Affirming Action by Delegated Authority and Disapproving Proposed Rule Changes Related to Connectivity and Port Fee Comments Due: View Received Comments
34-88493
March 27, 2020
SR-BOX-2018-37
Order Affirming Action by Delegated Authority and Disapproving Proposed Rule Changes Related to Connectivity and Port Fee Comments Due: View Received Comments
34-88485
March 26, 2020
SR-NYSE-2019-67
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Related to Direct Listings Comments Due: View Received Comments Federal Register version (85 FR 18292)
34-88482
March 26, 2020
SR-FINRA-2019-030
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Membership Application Program ("MAP") Rules To Address the Issue of Pending Arbitration Claims Federal Register version (85 FR 18299)
34-88378
March 13, 2020
SR-NYSEArca-2019-77
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change 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 15834)
34-88385
March 13, 2020
S7-24-89
Order Approving Forty-Fifth 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 (85 FR 15843)
34-88384
March 13, 2020
SR-CTA-2019-02
Order Approving the Thirty-First Substantive Amendment to the Second Restatement of the CTA Plan Regarding Publication of Trade Reports During Race Conditions Federal Register version (85 FR 15836)
34-88366
March 12, 2020
4-618
Order Approving and Declaring Effective a Proposed Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., BOX Exchange LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq ISE, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, Investors Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., and Long-Term Stock Exchange, Inc. Concerning Covered Regulation NMS and Consolidated Audit Trail Rules Federal Register version (85 FR 15238)
34-88360
March 11, 2020
SR-NASDAQ-2020-003
Order Granting Approval of a Proposed Rule Change To Amend Rule 4121(b) Comments Due: View Received Comments Federal Register version (85 FR 15240)
34-88337
March 5, 2020
SR-ICC-2020-001
Order Approving Proposed Rule Change Relating To Revising the ICC Clearing Rules To Consider the Possibility of ICC Receiving Proceeds From Default Insurance Comments Due: Federal Register version (85 FR 14284)
34-88315
March 4, 2020
SR-NASDAQ-2019-091
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a New Rule Concerning Nasdaq's Ability To Request Information From a Listed Company Regarding the Number of Unrestricted Publicly Held Shares in Certain Circumstances and Halt Trading in the Company's Security Upon the Request, and in Certain Circumstances Request a Plan To Increase the Number of Unrestricted Publicly Held Shares to an Amount That Is Higher Than the Applicable Publicly Held Shares Requirement Comments Due: View Received Comments Federal Register version (85 FR 13954)
34-88310
March 2, 2020
SR-OCC-2020-001
Order Approving Proposed Rule Change To Modify the Fees for Exercise Notices Submitted After the Deadlines and To Change the Deadline for Submitting a Late Exercise Notice on Non-Expiration Dates Comments Due: Federal Register version (85 FR 13198)
34-88284
Feb. 26, 2020
SR-NYSEArca-2019-39
Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and To List and Trade Shares of the United States Bitcoin and Treasury Investment Trust Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments Federal Register version (85 FR 12595)
34-88262
Feb. 21, 2020
SR-FICC-2019-007
Order Approving a Proposed Rule Change Regarding the Close-Out and Funds-Only Settlement Processes Associated With the Sponsoring Member/Sponsored Member Service Comments Due: Federal Register version (85 FR 11401)
34-88261
Feb. 21, 2020
SR-CboeEDGA-2019-012
Order Disapproving Proposed Rule Change To Introduce a Liquidity Provider Protection Delay Mechanism on EDGA Comments Due: View Received Comments Federal Register version (85 FR 11426)
34-88253
Feb. 20, 2020
SR-ICC-2019-010
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, Relating to Amendments to the ICC Clearing Rules To Address Non-Default Losses, on an Accelerated Basis Comments Due: View Received Comments Federal Register version (85 FR 11129)
34-88254
Feb. 20, 2020
SR-FINRA-2019-027
Order Approving a Proposed Rule Change To Amend FINRA Rule 12000 Series To Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive Federal Register version (85 FR 11157)
34-88225
Feb. 18, 2020
SR-MSRB-2019-13
Order Granting Approval of a Proposed Rule Change To Amend the Information Facility of the MSRB's Electronic Municipal Market Access (EMMA) System Comments Due: View Received Comments Federal Register version (85 FR 10487)
34-88214
Feb. 14, 2020
SR-FINRA-2019-008
In the Matter of the Financial Industry Regulatory Authority, Inc. for an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service (File No. SR-FINRA-2019-008); Order Granting Petition for Review and Scheduling Filing of Statements Reply of Bloomberg in Support of its Motion for Leave to Adduce Additional Evidence , Motion to Adduce Additional Evidence Federal Register version (85 FR 9887)
34-88191
Feb. 13, 2020
SR-NSCC-2019-004
Order Approving a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds Comments Due: Federal Register version (85 FR 9843)
34-88136
Feb. 6, 2020
SR-ICEEU-2019-019
Order Approving Proposed Rule Change Relating to the ICE Clear Europe Collateral and Haircut Policy and Collateral and Haircut Procedures Comments Due: Federal Register version (85 FR 8075)
34-88109
Jan. 31, 2020
SR-NYSENAT-2019-31
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed Comments Due: View Received Comments Federal Register version (85 FR 6982)
34-88029
Jan. 24, 2020
SR-OCC-2019-007
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility Comments Due: View Received Comments Federal Register version (85 FR 5500)
34-88039
Jan. 24, 2020
SR-LCHSA-2019-007
Order Approving Proposed Rule Change Relating to Amendments to LCH SA's Liquidity Risk Modelling Framework Federal Register version (85 FR 5489)
34-88013
Jan. 22, 2020
SR-ICEEU-2019-027
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to the ICE Clear Europe CDS Procedures Comments Due: Federal Register version (85 FR 5058)
34-88008
Jan. 21, 2020
SR-BatsBZX-2017-34
Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Introduce Cboe Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28 Comments Due: View Received Comments Federal Register version (85 FR 4726)
34-88003
Jan. 17, 2020
SR-NYSE-2019-54
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Permit the Exchange To List and Trade Exchange Traded Products Comments Due: Federal Register version (85 FR 4051)
34-87971
Jan. 15, 2020
SR-ICC-2019-013
Order Approving Proposed Rule Change Relating to the ICC Clearing Rules To Reflect the ISDA NTCE Supplement Comments Due: Exhibit 5 Federal Register version (85 FR 3724)
34-87951
Jan. 13, 2020
SR-CboeBZX-2019-076
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 Clearbridge Small Cap Value ETF Under BZX Rule 14.11(k) Comments Due: Federal Register version (85 FR 3099)
