34-87914
Jan. 8, 2020
SR-NYSE-2019-62
Order Approving Proposed Rule Change To Amend Article II, Section 2.03 of the Twelfth Amended and Restated Operating Agreement of the Exchange To Remove the Independence Requirement for the Director Elected by Exchange Membership Organizations Comments Due: Federal Register version (85 FR 2191)
34-87881
Jan. 2, 2020
SR-LCHSA-2019-009
Order Approving Proposed Rule Change Relating to Amendments to CDSClear Reference Guide To Allow Index Basis Packages Margining Federal Register version (85 FR 947)
34-87879
Jan. 2, 2020
SR-DTC-2019-009
Order Approving a Proposed Rule Change To Amend the Redemptions Guide Relating to the Call Lottery Process for Partial Redemptions Comments Due: Federal Register version (85 FR 751)
34-87859
Dec. 26, 2019
SR-ICC-2019-012
Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures Comments Due: Federal Register version (85 FR 157)
34-87837
Dec. 20, 2019
SR-FINRA-2019-028
Order Approving Proposed Rule Change To Allow FINRA To Publish or Distribute Aggregated Transaction Information and Statistics on U.S. Treasury Securities Federal Register version (84 FR 71986)
34-87804
Dec. 19, 2019
SR-ICC-2019-011
Order Approving Proposed Rule Change Relating to the ICC Default Auction Procedures-Initial Default Auctions and the ICC Secondary Auction Procedures Comments Due: Federal Register version (84 FR 71501)
34-87761
Dec. 16, 2019
SR-NYSEAMER-2019-41
Order Types on the Exchange Federal Register version (84 FR 70221)
34-87758
Dec. 16, 2019
SR-NYSEArca-2019-71
Order Types on the Exchange Comments Due: Federal Register version (84 FR 70234)
34-87717
Dec. 11, 2019
SR-OCC-2019-009
Order Approving Proposed Rule Change Related to Proposed Changes to the Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology Comments Due: Federal Register version (84 FR 68985)
34-87718
Dec. 11, 2019
SR-OCC-2019-010
Order Approving Proposed Rule Change Related to Proposed Changes to the Options Clearing Corporation's Rules, Margin Policy, Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology To Address Specific Wrong-Way Risk Comments Due: Federal Register version (84 FR 68992)
34-87720
Dec. 11, 2019
SR-LCHSA-2019-008
Order Approving Rule Change Relating to the Updated 2018 Version of the Recovery Plan Federal Register version (84 FR 68989)
34-87699
Dec. 9, 2019
SR-NYSE-2019-46
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchanges' Co-Location Price Lists To Offer Co-Location Users Access to the NMS Network and Establish Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (84 FR 68239)
34-87699
Dec. 9, 2019
SR-NYSEAMER-2019-34
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchanges' Co-Location Price Lists To Offer Co-Location Users Access to the NMS Network and Establish Associated Fees File Nos.: Comments Due: Federal Register version (84 FR 68239)
34-87699
Dec. 9, 2019
SR-NYSEArca-2019-61
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchanges' Co-Location Price Lists To Offer Co-Location Users Access to the NMS Network and Establish Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (84 FR 68239)
34-87699
Dec. 9, 2019
SR-NYSENAT-2019-19
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchanges' Co-Location Price Lists To Offer Co-Location Users Access to the NMS Network and Establish Associated Fees File Nos.: Comments Due: View Received Comments Federal Register version (84 FR 68239)
34-87696
Dec. 9, 2019
SR-NSCC-2019-003
Order Approving a Proposed Rule Change To Require Confirmation of Cybersecurity Program Comments Due: Federal Register version (84 FR 68243)
34-87697
Dec. 9, 2019
SR-FICC-2019-005
Order Approving a Proposed Rule Change To Require Confirmation of Cybersecurity Program Comments Due: Federal Register version (84 FR 68266)
34-87698
Dec. 9, 2019
SR-DTC-2019-008
Order Approving a Proposed Rule Change To Require Confirmation of Cybersecurity Program Comments Due: Federal Register version (84 FR 68269)
34-87692
Dec. 9, 2019
SR-CboeEDGX-2019-064
Order Approving a Proposed Rule Change To Adopt Rule 21.23 (Complex Solicitation Auction Mechanism) Comments Due: Federal Register version (84 FR 68231)
34-87656
Dec. 4, 2019
SR-FINRA-2019-008
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service 2019 , 2019 Federal Register version (84 FR 67491)
34-87636
Nov. 27, 2019
SR-CboeBZX-2019-023
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 14.11(c) (Index Fund Shares) To Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities Comments Due: View Received Comments Federal Register version (84 FR 66248)
34-87635
Nov. 26, 2019
SR-CboeEDGX-2019-059
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: Federal Register version (84 FR 66242)
34-87634
Nov. 26, 2019
SR-CboeEDGA-2019-015
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: Federal Register version (84 FR 66257)
34-87629
Nov. 26, 2019
SR-CboeBZX-2019-086
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: Federal Register version (84 FR 66245)
34-87631
Nov. 26, 2019
SR-CboeBYX-2019-015
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: Federal Register version (84 FR 66259)
34-87603
Nov. 22, 2019
SR-OCC-2019-007
Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility Comments Due: Rebuttal comments due : December 20, 2019
View Received Comments Federal Register version (84 FR 65858)
34-87577
Nov. 20, 2019
SR-OCC-2019-008
Order Approving Proposed Rule Change To Establish a Regulatory Committee of the Options Clearing Corporation's Board of Directors Comments Due: Federal Register version (84 FR 65202)
34-87576
Nov. 20, 2019
SR-NYSEArca-2019-14
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Permitted Investments of the PGIM Ultra Short Bond ETF Comments Due: View Received Comments Federal Register version (84 FR 65206)
34-87485
Nov. 7, 2019
SR-LCHSA-2019-005
Order Approving Proposed Rule Change Relating to (i) Introduction of Clearing of the New Markit iTraxx Subordinated Financials Index CDS and the Related Single Name CDS Constituents; (ii) Enhancements to Wrong Way Risk Margin; and (iii) Modification to Default Fund Additional Margin Federal Register version (84 FR 61947)
34-87421
Oct. 30, 2019
SR-CboeBZX-2019-068
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 iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i), Managed Fund Shares Comments Due: View Received Comments Federal Register version (84 FR 59669)
34-87385
Oct. 23, 2019
SR-NYSEArca-2019-51
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF Currently Listed and Traded on the Exchange Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (84 FR 57921)
34-87391
Oct. 23, 2019
SR-NASDAQ-2019-057
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 4121 Comments Due: Federal Register version (84 FR 57929)
34-87374
Oct. 21, 2019
SR-CBOE-2019-035
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Regarding Off-Floor Position Transfers Comments Due: View Received Comments Federal Register version (84 FR 57542)
34-87350
Oct. 18, 2019
SR-NYSEArca-2019-63
Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 57106)
34-87360
Oct. 18, 2019
SR-ICEEU-2019-017
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to the ICE Clear Europe CDS Clearing Back-Testing Policy Comments Due: Federal Register version (84 FR 57100)
34-87340
Oct. 17, 2019
SR-CBOE-2019-048
Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Adopt Rule 6.9 (In-Kind Exchange of Options Positions and ETF Shares) Comments Due: View Received Comments Federal Register version (84 FR 56877)
34-87315
Oct. 16, 2019
SR-NYSEAMER-2019-30
Order Approving a Proposed Rule Change To Modify Rules 967NY and 953.1NY Regarding the Treatment of Orders Subject To Trade Collar Protection Federal Register version (84 FR 56498)
34-87316
Oct. 16, 2019
SR-NYSEArca-2019-58
Order Approving a Proposed Rule Change To Modify Rules 6.60-O and 6.65A-O Regarding the Treatment of Orders Subject to Trade Collar Protection Comments Due: Federal Register version (84 FR 56494)
34-87296
Oct. 11, 2019
SR-LCHSA-2019-006
Order Approving Proposed Rule Change Relating to Extension of Weekly Backloading Cycle to Index Swaptions Federal Register version (84 FR 55992)
34-87267
Oct. 9, 2019
SR-NYSEArca-2019-01
Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E Comments Due: View Received Comments 2019 Federal Register version (84 FR 55382)
34-87258
Oct. 9, 2019
SR-FICC-2019-004
Order Approving a Proposed Rule Change To Amend the GSD Rulebook To Establish a Process To Address Liquidity Needs in Certain Situations in the GCF Repo and CCIT Services and Make Other Changes Comments Due: Federal Register version (84 FR 55362)
34-87223
Oct. 4, 2019
SR-NYSEArca-2019-55
Order Approving a Proposed Rule Change To Amend NYSE Arca Rule 8.700-E and To List and Trade Shares of the Dynamic Short Short-Term Volatility Futures ETF Comments Due: Federal Register version (84 FR 54707)
34-87212
Oct. 3, 2019
SR-NYSE-2019-44
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add Certain Rules to the List of Minor Rule Violations in Rule 9217, Delete Obsolete Rules, and Increase the Maximum Fine for Minor Rule Violations Comments Due: View Received Comments Federal Register version (84 FR 54193)
34-87199
Oct. 2, 2019
SR-MIAX-2019-37
Order Approving a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders, To Adopt New Interpretation and Policy .07, SPIKES Combo Orders Comments Due: Federal Register version (84 FR 53786)
34-87200
Oct. 2, 2019
SR-CboeEDGX-2019-012
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce Retail Priority Comments Due: View Received Comments Federal Register version (84 FR 53788)
34-87190
Oct. 1, 2019
SR-NYSEArca-2019-57
Order Granting Approval of Proposed Rule Change To List and Trade Shares of the Franklin Liberty Systematic Style Premia ETF, a Series of the Franklin Templeton ETF Trust Under NYSE Arca Rule 8.600-E Comments Due: Federal Register version (84 FR 53522)
34-87168
Sept. 30, 2019
SR-EMERALD-2019-29
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee Comments Due: Federal Register version (84 FR 53210)
34-87167
Sept. 30, 2019
SR-PEARL-2019-23
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee Comments Due: View Received Comments Federal Register version (84 FR 53189)
34-87169
Sept. 30, 2019
SR-MIAX-2019-35
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee Comments Due: View Received Comments Federal Register version (84 FR 53195)
34-87163
Sept. 30, 2019
SR-CboeEDGX-2019-048
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: Federal Register version (84 FR 53203)
34-87172
Sept. 30, 2019
SR-CboeEDGX-2019-051
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee Comments Due: View Received Comments Federal Register version (84 FR 53192)
34-87165
Sept. 30, 2019
SR-CboeEDGA-2019-013
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: Federal Register version (84 FR 53205)
34-87164
Sept. 30, 2019
SR-CboeBZX-2019-069
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: Federal Register version (84 FR 53208)
34-87154
Sept. 30, 2019
SR-CboeBYX-2019-014
Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS Comments Due: Federal Register version (84 FR 53183)
34-87166
Sept. 30, 2019
SR-CboeBYX-2019-012
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program Comments Due: Federal Register version (84 FR 53197)
34-87170
Sept. 30, 2019
SR-CBOE-2019-040
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee Comments Due: View Received Comments Federal Register version (84 FR 53213)
34-87171
Sept. 30, 2019
SR-C2-2019-018
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee Comments Due: View Received Comments Federal Register version (84 FR 53200)
34-87150
Sept. 27, 2019
SR-NYSEARCA-2013-107
Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Programs Until October 31, 2019 Comments Due: Federal Register version (84 FR 52920)
34-87144
Sept. 27, 2019
SR-CboeEDGX-2019-050
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee Comments Due: View Received Comments Federal Register version (84 FR 52925)
34-87143
Sept. 27, 2019
SR-CboeEDGA-2019-014
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee Comments Due: View Received Comments Federal Register version (84 FR 55993)
34-87142
Sept. 27, 2019
SR-CboeBZX-2019-072
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee Comments Due: View Received Comments Federal Register version (84 FR 52902)
34-87140
Sept. 27, 2019
SR-CboeBYX-2019-013
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee Comments Due: View Received Comments Federal Register version (84 FR 52917)
34-87126
Sept. 26, 2019
SR-CboeEDGX-2019-049
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule To Adopt a Pricing Structure for EDGX Top Derived Data API Service Comments Due: Federal Register version (84 FR 52544)
34-87125
Sept. 26, 2019
SR-CboeBZX-2019-070
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule To Adopt a Pricing Structure for BZX Top Derived Data API Service Comments Due: Federal Register version (84 FR 52546)
34-87108
Sept. 25, 2019
SR-CboeBZX-2019-067
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, to List and Trade Shares of the Innovator-100 Buffer ETF Series, Innovator Russell 2000 Buffer ETF Series, Innovator-100 Power Buffer ETF Series, Innovator Russell 2000 Power Buffer ETF Series, Innovator-100 Ultra Buffer ETF Series, and Innovator Russell 2000 Ultra Buffer ETF Series Under Rule 14.11(i) Comments Due: View Received Comments Federal Register version (84 FR 52152)
34-87107
Sept. 25, 2019
SR-CBOE-2019-044
Order Approving a Proposed Rule Change To Adopt Rule 6.49B, Off-Floor RWA Transfers Comments Due: View Received Comments Federal Register version (84 FR 52149)
34-87071
Sept. 24, 2019
SR-NYSEArca-2019-39
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change 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 (84 FR 51646)
34-87096
Sept. 24, 2019
SR-CboeEDGA-2019-012
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Liquidity Provider Protection Delay Mechanism on EDGA Comments Due: View Received Comments Federal Register version (84 FR 51657)
34-87060
Sept. 23, 2019
SR-CboeEDGX-2019-047
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 21.21 (Solicitation Auction Mechanism) Comments Due: View Received Comments Federal Register version (84 FR 51211)
34-87059
Sept. 23, 2019
SR-CboeBZX-2019-057
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under Currently Proposed Rule 14.11(k) Comments Due: View Received Comments Federal Register version (84 FR 51215)
34-86969
Sept. 13, 2019
SR-NASDAQ-2019-049
Order Instituting Proceedings To Determine Whether To Disapprove Proposed Rule Change To Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director Comments Due: View Received Comments Federal Register version (84 FR 49353)
34-86927
Sept. 11, 2019
SR-FICC-2019-003
Order Approving a Proposed Rule Change To Revise the MBSD VaR Floor Comments Due: Federal Register version (84 FR 48974)
34-86700A
Sept. 4, 2019
SR-FINRA-2019-017
Order Approving a Proposed Rule Change To Amend FINRA Rules 2210 (Communications With the Public) and 2241 (Research Analysts and Research Reports); Correction Federal Register version (84 FR 47608)
34-86833
Aug. 30, 2019
SR-NYSEAMER-2019-27
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee Comments Due: Federal Register version (84 FR 47029)
34-86832
Aug. 30, 2019
SR-NYSEArca-2019-49
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee Comments Due: View Received Comments Federal Register version (84 FR 46980)
34-86841
Aug. 30, 2019
SR-NYSEArca-2019-38
Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, To Amend the Listing Rule Applicable to Shares of the Aware Ultra-Short Duration Enhanced Income ETF Comments Due: View Received Comments Federal Register version (84 FR 47024)
34-86838
Aug. 30, 2019
SR-ICC-2019-008
Order Approving Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures and ICC Risk Management Framework Comments Due: Federal Register version (84 FR 47019)
34-86783
Aug. 28, 2019
SR-ICEEU-2019-014
Order Approving Proposed Rule Change Relating to the ICE Clear Europe CDS Default Management Framework Comments Due: Federal Register version (84 FR 46575)
34-86760
Aug. 26, 2019
SR-NYSEArca-2019-33
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Regarding Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF Comments Due: View Received Comments Federal Register version (84 FR 45816)
34-86731
Aug. 22, 2019
SR-OCC-2019-005
Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm Comments Due: Federal Register version (84 FR 45188)
34-86737
Aug. 22, 2019
SR-CboeBZX-2019-044
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Allow the JPMorgan Core Plus Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust To Hold Certain Instruments in a Manner That May Not Comply With Rule 14.11(i), Managed Fund Shares Comments Due: Federal Register version (84 FR 45184)
34-86722
Aug. 21, 2019
SR-LTSE-2019-01
Order Approving Proposed Rule Change To Adopt Rule 14.425, Which Would Require Companies Listed on the Exchange To Develop and Publish Certain Long-Term Policies Comments Due: View Received Comments Federal Register version (84 FR 44952)
34-86700
Aug. 16, 2019
SR-FINRA-2019-017
Order Approving a Proposed Rule Change To Amend FINRA Rules 2210 (Communications With the Public) and 2241 (Research Analysts and Research Reports) Federal Register version (84 FR 43833)
34-86619
Aug. 9, 2019
SR-IEX-2019-05
Order Granting Approval of a Proposed Rule Change to Establish a Retail Price Improvement Program Comments Due: Federal Register version (84 FR 41769)
34-86587
Aug. 7, 2019
4-747
Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Long- Federal Register version (84 FR 39883)
34-86532
July 31, 2019
SR-NYSEArca-2019-02
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF Under NYSE Arca Rule 8.200-E Comments Due: View Received Comments Federal Register version (84 FR 38312)
34-86509
July 29, 2019
SR-FINRA-2019-012
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) To Make Substantive, Organizational and Terminology Changes Comments Due: View Received Comments Federal Register version (84 FR 37921)
34-86432
July 23, 2019
SR-CBOE-2019-030
Order Granting Accelerated Approval of a Proposed Rule Change To Adopt Rules To Permit Cboe Trading, Inc. To Become a Trading Permit Holder and an Inbound and Outbound Router of the Exchange Comments Due: Federal Register version (84 FR 36650)
34-86416
July 19, 2019
SR-NASDAQ-2019-044
Order To Be Eligible for the Midpoint Extended Life Order Comments Due: Federal Register version (84 FR 35918)
34-86406
July 18, 2019
SR-NYSE-2019-20
Order Granting Approval of a Proposed Rule Change Amending Section 302 of the Listed Company Manual To Provide Exemptions for the Issuers of Certain Categories of Securities From the Obligation To Hold Annual Shareholders' Meetings Comments Due: Federal Register version (84 FR 35431)
34-86410
July 18, 2019
SR-CboeBZX-2019-023
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 14.11(c) (Index Fund Shares) To Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities Comments Due: View Received Comments Federal Register version (84 FR 35698)
34-86376
July 15, 2019
SR-LCHSA-2019-003
Order Approving Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Implement Settled-to-Market Treatment of Variation Margin, Permit the Creation of Multiple Account Structures, Permit Select Members to Provide Clearing Services to Affiliated Firms, and Update the Onboarding Procedures Federal Register version (84 FR 34955)
34-86378
July 15, 2019
SR-ICC-2019-005
Order Approving Proposed Rule Change Relating to ICC's Stress Testing Framework Comments Due: Federal Register version (84 FR 34990)
34-86364
July 12, 2019
SR-ICEEU-2019-013
Order Approving Proposed Rule Changes Related to the ICE Clear Europe Revised Recovery Plan Comments Due: Federal Register version (84 FR 34455)
34-86351
July 11, 2019
SR-NYSE-2019-32
Order Granting Approval of a Proposed Rule Change To Amend NYSE Rule 123D Comments Due: Federal Register version (84 FR 34219)
34-86359
July 11, 2019
SR-ICEEU-2019-010
Order Approving Proposed Rule Change to Clearing Membership Policy Comments Due: Federal Register version (84 FR 34241)
34-86358
July 11, 2019
SR-ICC-2019-007
Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Rules, ICC End-of-Day Price Discovery Policies and Procedures, and ICC Risk Management Framework Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 34220)
34-86256
July 1, 2019
SR-FINRA-2019-008
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish a Corporate Bond New Issue Reference Data Service Comments Due: View Received Comments Federal Register version (84 FR 32506)
34-86246
June 28, 2019
SR-NASDAQ-2019-017
Order Granting Approval of a Proposed Rule Change To Adopt Additional Requirements for Listings in Connection With an Offering Under Regulation A of the Securities Act Comments Due: View Received Comments Federal Register version (84 FR 32245)
34-86231
June 28, 2019
SR-CboeEDGX-2019-029
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee Comments Due: View Received Comments Federal Register version (84 FR 32233)
