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: August 23, 2019 Rebuttal comments due: September 16, 2019
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: July 18, 2019
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: June 25, 2019
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: June 13, 2019
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: August 14, 2019 Rebuttal comments due: August 28, 2019
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: June 21, 2019
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: June 18, 2019
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: June 27, 2019
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: June 18, 2019
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: August 7, 2019
View Received Comments
See Also -
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: July 29, 2019 Rebuttal comments due: August 12, 2019
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: May 15, 2019
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: July 26, 2019 Rebuttal comments due: August 9, 2019
View Received Comments
Federal Register version (84 FR 32233)
34-86236
June 28, 2019
SR-CboeEDGA-2019-011
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: July 26, 2019 Rebuttal comments due: August 9, 2019
View Received Comments
Federal Register version (84 FR 32235)
34-86233
June 28, 2019
SR-CboeBZX-2019-041
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: July 26, 2019 Rebuttal comments due: August 9, 2019
View Received Comments
Federal Register version (84 FR 32230)
34-86232
June 28, 2019
SR-CboeBYX-2019-009
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: July 26, 2019
Rebuttal comments due: August 9, 2019
View Received Comments
34-86220
June 27, 2019
SR-NYSEArca-2019-14
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Permitted Investments of the PGIM Ultra Short Bond ETF
Comments Due: July 24, 2019 Rebuttal comments due: August 7, 2019
View Received Comments
Federal Register version (84 FR 31968)
34-86194
June 25, 2019
SR-BX-2019-011
Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS
Comments Due: July 22, 2019
View Received Comments
Federal Register version (84 FR 31385)
34-86183
June 24, 2019
SR-EMERALD-2019-19
Order Approving a Proposed Rule Change To Amend Exchange Rule 515A Concerning the PRIME Price Improvement and Solicitation Mechanisms and Rules 516 and 517 Regarding Post-Only Orders and Post-Only Quotes
Federal Register version (84 FR 31127)
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: June 12, 2019
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: May 31, 2019
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: May 28, 2019
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: May 24, 2019
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: November 8, 2018
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: May 14, 2019
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: March 27, 2019
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: June 24, 2019 Rebuttal comments due: July 8, 2019
View Received Comments
Federal Register version (84 FR 27374)
34-85935
May 24, 2019
SR-MRX-2019-08
Order Functionality
Comments Due: May 14, 2019
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: May 14, 2019
Federal Register version (84 FR 25315)
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: January 10, 2018 Rebuttal comments due: January 24, 2018
View Received Comments
See Also -
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: March 11, 2019 Rebuttal comments due: March 18, 2019
View Received Comments
See Also -
Inc.
Federal Register version (84 FR 25092)
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: August 23, 2018
View Received Comments
See Also -
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: June 14, 2019 Rebuttal comments due: June 28, 2019
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: April 24, 2019
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: June 11, 2019 Rebuttal comments due: June 25, 2019
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: April 24, 2019
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: 21 days after publication in the Federal Register
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: April 8, 2019
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: August 1, 2018
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: March 15, 2019
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: January 22, 2019
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.:
SR-BOX-2018-24, SR-BOX-2018-37, SR-BOX-2019-04
Comments Due: August 23, 2018
View Received Comments
See Also -
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: March 11, 2019 Rebuttal comments due: March 18, 2019
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: January 10, 2018
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: January 9, 2019
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: March 1, 2019
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: April 5, 2019 Rebuttal comments due: April 15, 2019
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: August 1, 2018
View Received Comments
See Also -
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: December 27, 2018
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: December 26, 2018
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: December 18, 2018
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: August 23, 2018
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: December 12, 2018
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: January 8, 2018
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: March 15, 2019
View Received Comments
See Also -
Exhibit 5
Federal Register version (84 FR 5754)
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.:
SR-Phlx-2018-83, SR-BX-2018-066
Comments Due: March 15, 2019 Rebuttal comments due: March 29, 2019
Federal Register version (84 FR 5737)
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.:
SR-Phlx-2018-83, SR-BX-2018-066
Comments Due: March 15, 2019 Rebuttal comments due: March 29, 2019
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: December 17, 2018
View Received Comments
See Also -
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: February 20, 2015
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: January 22, 2019
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: January 22, 2019
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: January 18, 2019
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: March 1, 2019
Federal Register version (84 FR 2938)
34-85021
Jan. 31, 2019
SR-NYSE-2018-58
Order Imbalance Information for the Closing Auction
Comments Due: January 8, 2018
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: February 21, 2019
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: February 21, 2019 Rebuttal comments due: March 7, 2019
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: November 29, 2018
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: January 17, 2019 Rebuttal comments due: January 31, 2019
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: January 17, 2019 Rebuttal comments due: January 31, 2019
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: November 19, 2014
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: November 28, 2018
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: May 24, 2018
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: November 21, 2018
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: November 23, 2018
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: December 4, 2013
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: November 30, 2011
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: November 14, 2018
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: November 26, 2018
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: November 13, 2018
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: December 18, 2018 Rebuttal comments due: January 2, 2019
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: October 30, 2018
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: October 23, 2018
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: December 12, 2018 Rebuttal comments due: December 26, 2018
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: November 28, 2018 Rebuttal comments due: December 12, 2018
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: November 28, 2018 Rebuttal comments due: December 12, 2018
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: November 26, 2018 Rebuttal comments due: December 10, 2018
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: October 1, 2018
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: October 9, 2018
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: September 26, 2018
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)