34-86191
June 24, 2019
SR-Phlx-2019-20
Order Granting Approval of Proposed Rule Change Relating to the Allocation and Prioritization of Automatically Executed Trades Comments Due: Federal Register version (84 FR 31131)
34-86184
June 24, 2019
SR-ICEEU-2019-009
Order Approving Proposed Rule Change Relating to the ICE Clear Europe Operational Risk Management Policy Comments Due: Federal Register version (84 FR 31132)
34-86178
June 21, 2019
SR-FINRA-2019-014
Order Approving Proposed Rule Change To Allow Additional Time for Reporting to TRACE of Transactions in U.S. Treasury Securities Executed To Hedge a Primary Market Transaction Federal Register version (84 FR 30783)
34-86161
June 20, 2019
4-274
Order Approving Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the NYSE Chicago, Inc. Federal Register version (84 FR 29923)
34-86119
June 17, 2019
SR-OCC-2019-004
Order Approving Proposed Rule Change Related to the Introduction of a New Liquidation Cost Model in the Options Clearing Corporation's Margin Methodology Comments Due: Federal Register version (84 FR 29267)
34-86112
June 14, 2019
SR-NYSEArca-2019-28
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the Virtus WMC Risk-Managed Alternative Equity ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (84 FR 28871)
34-86117
June 14, 2019
SR-NYSE-2018-46
Order Disapproving a Proposed Rule Change To Amend the Listed Company Manual for Special Purpose Acquisition Companies To Reduce the Continued Listing Standards for Public Holders From 300 to 100 and To Enable the Exchange To Exercise Discretion To Allow Special Purpose Acquisition Companies a Reasonable Time Period Following a Business Combination to Demonstrate Compliance With the Applicable Quantitative Listing Standards Comments Due: View Received Comments Federal Register version (84 FR 28879)
34-86039
June 5, 2019
SR-ICC-2019-004
Order Approving Proposed Rule Change Relating to the ICC Model Validation Framework Comments Due: Federal Register version (84 FR 27167)
34-86017
June 3, 2019
SR-NYSEArca-2019-06
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Certain Generic Listing Standards for Managed Fund Shares Applicable to Holdings of Fixed Income Securities Comments Due: View Received Comments Federal Register version (84 FR 26711)
34-85946
May 28, 2019
SR-NYSEArca-2019-04
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(3) and To Adopt Generic Listing Standards for Investment Company Units Based on an Index or Portfolio of Municipal Securities Comments Due: View Received Comments Federal Register version (84 FR 27374)
34-85935
May 24, 2019
SR-MRX-2019-08
Order Functionality Comments Due: Federal Register version (84 FR 25332)
34-85944
May 24, 2019
SR-FICC-2019-001
Order Approving a Proposed Rule Change To Amend the GSD and MBSD Methodology Documents and the MBSD Clearing Rules Comments Due: Federal Register version (84 FR 25315)
34-85927
May 23, 2019
SR-BOX-2018-24
In the Matter of the BOX Exchange LLC Regarding an Order Disapproving Proposed Rule Changes To Amend the Fee Schedule on the BOX Market LLC Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network; Order Granting Petition for Review and Scheduling Filing of Statements Comments Due: View Received Comments Inc. Federal Register version (84 FR 25092)
34-85927
May 23, 2019
SR-BOX-2018-37
In the Matter of the BOX Exchange LLC Regarding an Order Disapproving Proposed Rule Changes To Amend the Fee Schedule on the BOX Market LLC Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network; Order Granting Petition for Review and Scheduling Filing of Statements Comments Due: View Received Comments Inc. Federal Register version (84 FR 25092)
34-85927
May 23, 2019
SR-BOX-2019-04
In the Matter of the BOX Exchange LLC Regarding an Order Disapproving Proposed Rule Changes To Amend the Fee Schedule on the BOX Market LLC Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network; Order Granting Petition for Review and Scheduling Filing of Statements Comments Due: View Received Comments Inc. Federal Register version (84 FR 25092)
34-85896
May 20, 2019
SR-CboeBZX-2019-004
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the VanEck SolidX Bitcoin Trust Comments Due: View Received Comments Federal Register version (84 FR 24188)
34-85873
May 16, 2019
SR-OCC-2019-002
Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures Comments Due: Federal Register version (84 FR 23620)
34-85860
May 15, 2019
SR-NYSEArca-2019-02
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of 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 23103)
34-85779
May 6, 2019
SR-OCC-2019-003
Order Approving Proposed Rule Change To Require That an Actionable Identifier Be Included on Customer and Non-Customer Securities Options Trades Other Than Market Maker Trades Comments Due: Federal Register version (84 FR 20689)
34-85781
May 6, 2019
SR-FINRA-2019-004
Order Approving a Proposed Rule Change To Expand Time for Non-Parties To Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents Federal Register version (84 FR 20669)
34-85776
May 3, 2019
SR-ICEEU-2019-006
Order Approving Proposed Rule Change Relating to Amendments to the CDS Risk Management Model Description Comments Due: Federal Register version (84 FR 20454)
34-85754
April 30, 2019
SR-CBOE-2019-015
Order Approving a Proposed Rule Change To Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds Comments Due: Federal Register version (84 FR 19823)
34-85682
April 17, 2019
SR-CboeBZX-2018-044
Cboe BZX Exchange, Inc.; Order Scheduling Filing of Statements on Review Comments Due: View Received Comments Federal Register version (84 FR 18098)
34-85623
April 11, 2019
4-631
Order Approving the Eighteenth 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, 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 (84 FR 16086)
34-85495
April 3, 2019
SR-ICC-2019-002
Order Approving Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy Comments Due: Federal Register version (84 FR 14158)
34-85470
March 29, 2019
SR-FICC-2018-013
Order Approving a Proposed Rule Change To Expand Sponsoring Member Eligibility in the Government Securities Division Rulebook and Make Other Changes Comments Due: View Received Comments Federal Register version (84 FR 13328)
34-85459
March 29, 2019
SR-BOX-2018-24
Order Disapproving Proposed Rule Changes To Amend the Fee Schedule on the BOX Market LLC Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network File Nos.: Comments Due: View Received Comments Petition for Review of Order Disapproving BOX Exchange LLC's Proposal to Amend the Fee Schedule on BOX Market LLC , Letter from Deputy Secretary to Alanna Barton, Vice Present, Legal Affairs, BOX Exchange LLC , 2019 Notice of Intention to Petition for Review Federal Register version (84 FR 13363)
34-85420
March 26, 2019
SR-FINRA-2019-003
Order Approving Proposed Rule Change To Allow the Publication or Distribution of Aggregated Transaction Information and Statistics on Certain Non-Disseminated TRACE-Eligible Securities Federal Register version (84 FR 12306)
34-85399
March 22, 2019
SR-BOX-2019-04
Order Granting BOX Exchange LLC's Petition for Review of Division of Trading and Markets Order by Delegated Authority Temporarily Suspending and Instituting Proceedings on SR-BOX-2019-04; Affirming the Division's Order; and Lifting the Automatic Stay Comments Due: View Received Comments
34-85374
March 20, 2019
SR-NYSE-2018-54
Order Granting Approval of a Proposed Rule Change Amending Sections 312.03 and 312.04 of the Listed Company Manual To Amend the Price Requirements for Certain Exceptions From the Shareholder Approval Rules Comments Due: Federal Register version (84 FR 11354)
34-85362
March 19, 2019
SR-NASDAQ-2018-079
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Nasdaq Rules 5705 and 5710 To Adopt a Disclosure Requirement for Certain Securities Comments Due: View Received Comments Federal Register version (84 FR 11148)
34-85357
March 19, 2019
SR-ICC-2019-001
Order Approving Proposed Rule Change Relating to the ICE CDS Clearing: Back-Testing Framework Comments Due: Federal Register version (84 FR 11146)
34-85282
March 11, 2019
SR-FINRA-2018-040
Order Approving Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information) Federal Register version (84 FR 9573)
34-85288
March 11, 2019
SR-DTC-2018-010
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Settlement Guide Procedures To Provide Status Information for Institutional Transactions to a Matching Utility Comments Due: View Received Comments Federal Register version (84 FR 9565)
34-85278
March 8, 2019
SR-CboeBZX-2018-044
Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend BZX Rule 14.11(c) (Index Fund Shares) Comments Due: View Received Comments 2019 Federal Register version (84 FR 9395)
34-85244
March 4, 2019
SR-NYSEArca-2018-82
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Regarding Certain Changes Relating to Investments of the PGIM Active High Yield Bond ETF Comments Due: View Received Comments Federal Register version (84 FR 8553)
34-85236
March 1, 2019
SR-ICEEU-2018-010
Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Risk Policy (the "CDS Risk Policy"), CDS Clearing Back-Testing Policy (the "Back-Testing Policy") and CDS Stress-Testing Policy (the "Stress-Testing Policy") (Collectively, the "CDS Policies") Comments Due: Federal Register version (84 FR 8348)
34-85209
Feb. 27, 2019
SR-FINRA-2018-039
Order Approving Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records) Federal Register version (84 FR 7945)
34-85191
Feb. 25, 2019
SR-C2-2018-022
Order Approving a Proposed Rule Change To Provide for the Trading of Complex Reserve Orders Comments Due: Federal Register version (84 FR 7159)
34-85184
Feb. 25, 2019
SR-BOX-2018-24
Order Affirming Order by Delegated Authority Temporarily Suspending and Instituting Proceedings on SR-BOX-2018-24 and Notice of Additional Comment Period for the Proceedings Comments Due: View Received Comments Federal Register version (84 FR 6842)
34-85189
Feb. 25, 2019
4-678
Order Approving Proposed Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities E Federal Register version (84 FR 7153)
34-85166
Feb. 19, 2019
SR-CboeBZX-2018-077
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the JPMorgan Inflation Managed Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust Under Rule 14.11(i), Managed Fund Shares Comments Due: View Received Comments Federal Register version (84 FR 6026)
34-85158
Feb. 15, 2019
SR-NYSE-2018-52
Order Granting Approval of a Proposed Rule Change To Amend NYSE Rule 7.31 Relating to Discretionary Orders, Auction-Only Orders, Discretionary Modifier, and Yielding Modifier and Related Amendments to Rules 7.16, 7.34, 7.36, and 7.37 Comments Due: Federal Register version (84 FR 5794)
34-85160
Feb. 15, 2019
SR-NYSE-2018-28
Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS Comments Due: View Received Comments Exhibit 5 Federal Register version (84 FR 5754)
34-85152
Feb. 15, 2019
SR-BX-2018-066
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchanges' Port Fee Schedules File Nos.: Comments Due: Federal Register version (84 FR 5737)
34-85152
Feb. 15, 2019
SR-Phlx-2018-83
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchanges' Port Fee Schedules File Nos.: Comments Due: Federal Register version (84 FR 5737)
34-85136
Feb. 14, 2019
SR-Phlx-2018-72
Order Approving a Proposed Rule Change To Establish Rules Governing the Give Up of a Clearing Member by a Member Organization on Exchange Transactions Comments Due: View Received Comments Exhibit 3 Federal Register version (84 FR 5526)
34-85121
Feb. 13, 2019
SR-OCC-2015-02
Order Disapproving Proposed Rule Change Concerning The Options Clearing Corporation's Capital Plan Comments Due: View Received Comments Federal Register version (84 FR 5157)
34-85129
Feb. 13, 2019
SR-OCC-2018-015
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Changes to The Options Clearing Corporation's Management Structure Comments Due: Federal Register version (84 FR 5129)
34-85128
Feb. 13, 2019
SR-ICEEU-2018-024
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the ICE Clear Europe Model Risk Governance Framework Comments Due: Federal Register version (84 FR 5137)
34-85105
Feb. 11, 2019
SR-ICC-2018-011
Order Approving Proposed Rule Change Relating to ICC's New Initiatives Approval Policy and Procedural Framework Comments Due: Federal Register version (84 FR 4570)
34-85047
Feb. 4, 2019
SR-ICC-2019-001
Proposed Rule Change Relating to the ICE CDS Clearing: Back-Testing Framework Comments Due: Federal Register version (84 FR 2938)
34-85021
Jan. 31, 2019
SR-NYSE-2018-58
Order Imbalance Information for the Closing Auction Comments Due: Federal Register version (84 FR 2292)
34-84984
Jan. 15, 2019
SR-NYSE-2018-46
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Listed Company Manual for Acquisition Companies To Reduce the Continued Listing Standards for Public Stockholders From 300 to 100 and To Enable the Exchange To Exercise Discretion To Allow Acquisition Companies a Reasonable Time Period Following a Business Combination To Demonstrate Compliance With the Applicable Quantitative Listing Standards Comments Due: View Received Comments Federal Register version (84 FR 855)
34-84976
Dec. 26, 2018
SR-NYSEARCA-2018-77
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 7.44-E To Expand and Modify the Exchange's Retail Liquidity Program Comments Due: Federal Register version (84 FR 833)
34-84879
Dec. 20, 2018
SR-OCC-2018-014
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility Comments Due: Federal Register version (83 FR 67392)
34-84870
Dec. 19, 2018
SR-NYSEAMER-2018-39
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Allow Flexible Exchange Equity Options Where the Underlying Security Is an Exchange-Traded Fund That Is Included in the Option Penny Pilot To Be Settled in Cash Comments Due: Federal Register version (83 FR 66779)
34-84863
Dec. 19, 2018
SR-NYSEARCA-2018-67
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 Equity Index-Linked Securities Listing Standards Set Forth in NYSE Arca Rule 5.2-E(j)(6)(B)(I) Comments Due: Federal Register version (83 FR 66787)
34-84846
Dec. 18, 2018
SR-BX-2014-048
Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Price Improvement Program Until June 30, 2019 Comments Due: Federal Register version (83 FR 66325)
34-84836
Dec. 17, 2018
SR-OCC-2018-013
Order Approving Proposed Rule Change To Extend Term Limits for Member Directors Serving on The Options Clearing Corporation's Board of Directors Comments Due: Federal Register version (83 FR 65775)
34-84826
Dec. 14, 2018
SR-NYSEArca-2018-25
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, Regarding the Continued Listing and Trading of Shares of the Natixis Loomis Sayles Short Duration Income ETF Comments Due: View Received Comments Federal Register version (83 FR 65386)
34-84818
Dec. 13, 2018
SR-NYSEArca-2018-75
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Regarding the Listing and Trading of Shares of the PGIM Ultra Short Bond ETF Comments Due: View Received Comments Federal Register version (83 FR 65189)
34-84809
Dec. 12, 2018
SR-MSRB-2018-08
Order Granting Approval of a Proposed Rule Change Concerning Certain Data Elements on Form G-45 Under MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities Comments Due: Federal Register version (83 FR 64907)
34-84762
Dec. 10, 2018
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 June 30, 2019 Comments Due: Federal Register version (83 FR 64167)
34-84761
Dec. 10, 2018
SR-NYSE-2011-55
Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Program Until June 30, 2019 Comments Due: View Received Comments Federal Register version (83 FR 64166)
34-84737
Dec. 6, 2018
SR-NYSEArca-2018-74
Order Types and Quotation Designations Comments Due: View Received Comments Federal Register version (83 FR 63919)
34-84738
Dec. 6, 2018
SR-CboeBZX-2018-079
Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Establish How the BZX Official Closing Price Would Be Determined for BZX-Listed Securities Comments Due: Federal Register version (83 FR 63932)
34-84719
Dec. 4, 2018
SR-CboeBZX-2018-076
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the FormulaFolios Sector Rotation ETF, a Series of the Northern Lights Fund Trust IV, Under Rule 14.11(i), Managed Fund Shares Comments Due: View Received Comments Federal Register version (83 FR 63689)
34-84639
Nov. 21, 2018
SR-NYSEArca-2018-60
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the First Trust Long Duration Opportunities ETF Under NYSE Arca Rule 8.600-E Comments Due: Federal Register version (83 FR 60931)
34-84630
Nov. 20, 2018
SR-MSRB-2018-07
Order Granting Approval of a Proposed Rule Change To Amend MSRB Rule G-3, on Professional Qualification Requirements, To Require Municipal Advisor Principals To Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination Comments Due: View Received Comments Federal Register version (83 FR 60927)
34-84610
Nov. 16, 2018
SR-Phlx-2018-59
Order Approving a Proposed Rule Change To Amend Rules 1000, 1064, and 1069 To Allow for the Snapshot Functionality of the Floor-Based Management System To Be Used for All Orders Comments Due: Federal Register version (83 FR 59433)
34-84600
Nov. 15, 2018
SR-CboeBYX-2018-014
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Permanent Exchange Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program Comments Due: Federal Register version (83 FR 58802)
34-84565
Nov. 9, 2018
SR-ODD-2018-01
Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting the Inclusion of Disclosure Regarding Foreign Currency Index Options and Implied Volatility Index Options, Certain Contract Adjustment Disclosures, and T+2 Settlement Federal Register version (83 FR 57778)
34-84517
Nov. 1, 2018
SR-NYSEArca-2018-54
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares Comments Due: Federal Register version (83 FR 55773)
34-84515
Nov. 1, 2018
SR-NYSE-2018-34
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Rule 104 Governing Transactions by Designated Market Makers Comments Due: View Received Comments Federal Register version (83 FR 55763)
34-84504
Oct. 30, 2018
SR-NYSEArca-2018-43
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF Comments Due: View Received Comments Federal Register version (83 FR 55439)
34-84473
Oct. 23, 2018
SR-OCC-2018-012
Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Board of Directors and Board Committee Charters Comments Due: Federal Register version (83 FR 54385)
34-84471
Oct. 23, 2018
SR-NYSEArca-2018-63
Order Approving a Proposed Rule Change To Amend NYSE Arca Rule 1.1(ll) To Modify the Formula for Establishing the Official Closing Price for a Derivative Securities Product When There Is No Closing Auction or if the Closing Auction Is Less Than One Round Lot, by Excluding the NBBO Midpoint if the Midpoint Multiplied by 10% Is Less Than the NBBO Spread or if the NBBO Is Crossed Comments Due: Federal Register version (83 FR 54384)
34-84454
Oct. 19, 2018
SR-NASDAQ-2018-068
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Extend the Cutoff Times for Accepting on Close Orders Entered for Participation in the Nasdaq Closing Cross and To Make Related Changes Comments Due: View Received Comments Federal Register version (83 FR 53923)
34-84436
Oct. 16, 2018
SR-CBOE-2018-062
Order Approving a Proposed Rule Change To Amend Rule 6.2, Interpretation and Policy .01, Concerning Strategy Orders Federal Register version (83 FR 53337)
34-84437
Oct. 16, 2018
SR-CBOE-2018-060
Order Approving a Proposed Rule Change To Amend Exchange Rule 6.49A, Transfer of Positions 2019 , Petition for Review [Susquehanna International Group] , Notice of Intention to Petition for Review [Susquehanna International Group] , 2018 Federal Register version (83 FR 53336)
34-84425
Oct. 15, 2018
SR-NASDAQ-2018-050
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV Comments Due: View Received Comments Federal Register version (83 FR 53124)
34-84417
Oct. 12, 2018
SR-MIAX-2018-14
Order Granting Approval of a Proposed Rule Change To List and Trade Options on the SPIKESTM Comments Due: Federal Register version (83 FR 52865)
34-84418
Oct. 12, 2018
SR-FINRA-2018-026
Order for Production or Appearance Federal Register version (83 FR 52857)
34-84410
Oct. 11, 2018
SR-LCHSA-2018-004
Order Approving Proposed Rule Change Relating to Implementation of Electronic Exercise Platform Federal Register version (83 FR 52581)
34-84374
Oct. 5, 2018
SR-FINRA-2018-032
Order Approving Proposed Rule Change to FINRA Rule 6710 To Modify the Dissemination Protocols for Agency Debt Securities Federal Register version (83 FR 51722)
34-84369
Oct. 4, 2018
SR-NYSEArca-2017-139
Securities Exchange Act of 1934 Comments Due: View Received Comments Federal Register version (83 FR 51520)
34-84370
Oct. 4, 2018
SR-NYSEArca-2018-02
In the Matter of the NYSE Arca, Inc. For an Order of Disapproval of Proposed Rule Change Relating To Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares, and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E (File No. SR-NYSEArca-2018-02); Order Scheduling Filing of Statements on Review Comments Due: Federal Register version (83 FR 51531)
34-84366
Oct. 4, 2018
SR-FINRA-2018-030
Order Approving Proposed Rule Change To Amend FINRA Rule 7730 To Remove Computer-to-Computer Interface as a Technological Option for TRACE Reporting Federal Register version (83 FR 51514)
34-84367
Oct. 4, 2018
SR-CboeBZX-2018-001
Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To List and Trade Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust, Under Rule 14.11(f)(4), Trust Issued Receipts Comments Due: View Received Comments Federal Register version (83 FR 51521)
34-84368
Oct. 4, 2018
SR-CboeBZX-2018-001
In the Matter of the Cboe BZX Exchange, Inc.; For an Order of Disapproval of Proposed Rule Change To List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF (File No. SR-CboeBZX-2018-001); Order Scheduling Filing of Statements on Review Comments Due: View Received Comments Federal Register version (83 FR 51520)
34-84348
Oct. 3, 2018
SR-NYSEArca-2018-57
Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 4 and 6, To List and Trade Shares of the Amplify BlackSwan Growth & Treasury Core ETF Under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3) Comments Due: View Received Comments Federal Register version (83 FR 51027)
34-84351
Oct. 3, 2018
SR-NYSE-2018-30
Order Approving a Proposed Rule Change To Provide for the Listing of Exchange Traded Products With No Component NMS Stock Listed on the Exchange, Delete Obsolete Listing Rules for Exchange Traded Products and Amend Rules Regarding Unlisted Trading Privileges Comments Due: View Received Comments Federal Register version (83 FR 50980)
34-84337
Oct. 2, 2018
SR-CHX-2017-04
In the Matter of Chicago Stock Exchange, Inc., 440 South LaSalle Street, Suite 800, Chicago, IL 60605; File No. SR-CHX-2017-04; Order Setting Aside the Order by Delegated Authority Approving SR-CHX-2017-04 Comments Due: View Received Comments Federal Register version (83 FR 50720)
34-84344
Oct. 2, 2018
SR-CBOE-2018-056
Order Approving a Proposed Rule Change To Adopt Rule 6.57, Risk-Weighted Asset ("RWA") Packages Federal Register version (83 FR 50721)
34-84311
Sept. 28, 2018
SR-Phlx-2018-55
Order Approving a Proposed Rule Change Relating to Anticipatory Hedging Comments Due: Federal Register version (83 FR 50131)
34-84312
Sept. 28, 2018
SR-ICC-2018-009
Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures Comments Due: Federal Register version (83 FR 50124)
34-84299
Sept. 27, 2018
SR-CboeEDGX-2018-035
Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, To Permit the Listing and Trading of Options That Overlie the Mini-SPX Index and the Russell 2000 Index Comments Due: View Received Comments Federal Register version (83 FR 49960)
34-84298
Sept. 27, 2018
SR-CboeBZX-2018-058
Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Permit the Listing and Trading of Options That Overlie the Mini-SPX Index and the Russell 2000 Index Comments Due: View Received Comments Federal Register version (83 FR 49962)
34-84278
Sept. 25, 2018
SR-FICC-2018-007
Order Approving Proposed Rule Change To Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules Comments Due: Federal Register version (83 FR 49445)
