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)
34-84275
Sept. 24, 2018
SR-NYSEArca-2018-40
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Investments of the REX BKCM ETF Comments Due: Federal Register version (83 FR 49142)
34-84255
Sept. 21, 2018
SR-FICC-2018-008
Order Approving Proposed Rule Change To Apply the Government Securities Division Corporation Default Rule to Sponsored Members and Make Other Changes Comments Due: Federal Register version (83 FR 48890)
34-84236
Sept. 20, 2018
SR-FICC-2018-006
Order Granting Approval of Proposed Rule Change To Codify the Processing of Conditional Prepayment Rate Claims in the MBSD Rules and Make Other Changes Comments Due: Federal Register version (83 FR 48675)
34-84231
Sept. 20, 2018
SR-CboeBZX-2018-040
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Comments Due: View Received Comments Federal Register version (83 FR 48665)
34-84183
Sept. 18, 2018
SR-NYSE-2018-28
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Permanent the Retail Liquidity Program Pilot, Which Is Set To Expire on December 31, 2018 Comments Due: View Received Comments Federal Register version (83 FR 48350)
34-84177
Sept. 17, 2018
SR-PEARL-2018-16
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members Comments Due: View Received Comments Federal Register version (83 FR 47953)
34-84175
Sept. 17, 2018
SR-MIAX-2018-19
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members Comments Due: View Received Comments Federal Register version (83 FR 47955)
34-84168
Sept. 17, 2018
SR-BOX-2018-24
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change 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 Comments Due: View Received Comments s Proposal to Amend the Fee Schedule on Box Market LLC , Proposed Rule Changeto Amend the Fee Schedule on the BOX Market LLC Options Facility to EstablishBOX Connectivity Fees for Participants and Non-Participants Who Connect to theBOX Network , s Proposal to Amend the Fee Schedule on Box Market LLC , 2018 , Letter from BOX Exchange LLC supplementing its petition for review Federal Register version (83 FR 47947)
34-84130
Sept. 14, 2018
SR-ICC-2018-007
Order Approving Proposed Rule Change Relating to the Clearance of an Additional Credit Default Swap Contract Comments Due: Federal Register version (83 FR 47665)
34-84143
Sept. 14, 2018
SR-CboeBZX-2018-019
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares Comments Due: View Received Comments Federal Register version (83 FR 47659)
34-84077
Sept. 11, 2018
SR-NYSE-2018-33
Order Approving a Proposed Rule Change To Amend Rule 2 To Remove Requirement That a Registered Broker-Dealer Be a Member of the Financial Industry Regulatory Authority, Inc. or Another National Securities Exchange Comments Due: View Received Comments Federal Register version (83 FR 46975)
34-84057
Sept. 7, 2018
SR-FICC-2018-005
Order Granting Approval of 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: Exhibit 5 Federal Register version (83 FR 46530)
34-84033
Sept. 5, 2018
SR-ICEEU-2018-009
Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS End-of-Day Price Discovery Policy ("Price Discovery Policy") Comments Due: Federal Register version (83 FR 46005)
34-84031
Sept. 5, 2018
SR-BOX-2018-14
Orders Comments Due: View Received Comments Federal Register version (83 FR 46003)
34-83971
Aug. 28, 2018
SR-NSCC-2017-018
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Federal Register version (83 FR 44977)
34-83974
Aug. 28, 2018
SR-NSCC-2017-017
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a Recovery & Wind-Down Plan and Related Rules Comments Due: View Received Comments Federal Register version (83 FR 44988)
34-83970
Aug. 28, 2018
SR-FICC-2017-022
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Federal Register version (83 FR 44929)
34-83973
Aug. 28, 2018
SR-FICC-2017-021
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a Recovery & Wind-Down Plan and Related Rules Comments Due: View Received Comments Federal Register version (83 FR 44942)
34-83969
Aug. 28, 2018
SR-DTC-2017-022
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Federal Register version (83 FR 44955)
34-83972
Aug. 28, 2018
SR-DTC-2017-021
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a Recovery & Wind-Down Plan and Related Rules Comments Due: View Received Comments Federal Register version (83 FR 44964)
34-83937
Aug. 24, 2018
SR-NSCC-2018-004
Order Approving Proposed Rule Change To Terminate the Commission Billing Service and the Commission Billing Limited Membership Comments Due: Federal Register version (83 FR 44353)
34-83940
Aug. 24, 2018
SR-DTC-2018-006
Order Granting Approval of Proposed Rule Change To Amend Rule 35 To Provide for Designated Accounts for Use With Designated Collateral Management Service Providers Comments Due: Federal Register version (83 FR 44377)
34-83916
Aug. 23, 2018
SR-OCC-2017-020
Order Approving Proposed Rule Change, as Modified by Amendment No. 2, Concerning Enhanced and New Tools for Recovery Scenarios Comments Due: View Received Comments Federal Register version (83 FR 44076)
34-83918
Aug. 23, 2018
SR-OCC-2017-021
Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 2, Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan Comments Due: Federal Register version (83 FR 44091)
34-83904
Aug. 22, 2018
SR-NYSEArca-2017-139
Order Disapproving a Proposed Rule Change To List and Trade the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF Comments Due: View Received Comments 2018 Federal Register version (83 FR 43934)
34-83912
Aug. 22, 2018
SR-NYSEArca-2018-02
Order Disapproving a 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 Comments Due: 2018 Federal Register version (83 FR 43912)
34-83913
Aug. 22, 2018
SR-CboeBZX-2018-001
Order Disapproving a Proposed Rule Change To List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF Comments Due: View Received Comments 2018 Federal Register version (83 FR 43923)
34-83856
Aug. 15, 2018
SR-FINRA-2010-056
Order Granting Petition for Review and Scheduling Filing of Statements Federal Register version (83 FR 42340)
34-83836
Aug. 13, 2018
SR-NYSE-2018-31
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Require Certain Member Organizations To Participate in Scheduled Market-Wide Circuit Breaker Testing Comments Due: View Received Comments Federal Register version (83 FR 41117)
34-83832
Aug. 13, 2018
SR-ICC-2018-006
Order Approving Proposed Rule Change Relating To Amending the ICC Clearing Rules Regarding Mark-to-Market Margin Comments Due: Federal Register version (83 FR 41118)
34-83815
Aug. 9, 2018
SR-FINRA-2018-023
Order Approving a Proposed Rule Change Relating to ATS Reporting to TRACE of Transactions in U.S. Treasury Securities Federal Register version (83 FR 40601)
34-83796
Aug. 8, 2018
SR-CboeBZX-2017-005
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of Twelve Monthly Series of the Cboe Vest S&P 500 Buffer Protect Strategy ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3), Index Fund Shares Comments Due: Federal Register version (83 FR 40361)
34-83768
Aug. 3, 2018
SR-NYSE-2018-26
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Amending the Exchange's Rules Relating to Reserve Orders, Primary Pegged Orders, and Setter Priority for UTP Securities Trading on the Exchange's Pillar Platform Comments Due: View Received Comments Federal Register version (83 FR 39488)
34-83775
Aug. 3, 2018
SR-CboeBZX-2018-018
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4) Comments Due: View Received Comments Federal Register version (83 FR 39486)
34-83752
July 31, 2018
SR-FINRA-2018-019
Order Approving a Proposed Rule Change Creating Fee and Honorarium for Late Cancellation of a Prehearing Conference Federal Register version (83 FR 38327)
34-83753
July 31, 2018
SR-FINRA-2018-015
Order Granting Approval of a Proposed Rule Change To Amend FINRA Rule 6433 To Adopt the OTC Quotation Tier Pilot as Permanent Federal Register version (83 FR 38434)
34-83735
July 27, 2018
SR-OCC-2018-008
Order Approving Proposed Rule Change, as Modified by Amendments No. 1 and 2, Related to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology Comments Due: View Received Comments Federal Register version (83 FR 37855)
34-83723
July 26, 2018
SR-BatsBZX-2016-30
Order Setting Aside Action by Delegated Authority and Disapproving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To List and Trade Shares of the Winklevoss Bitcoin Trust Comments Due: View Received Comments Federal Register version (83 FR 37579)
34-83691
July 24, 2018
SR-LCHSA-2018-003
Order Approving Proposed Rule Change Relating to Liquidity Risk Management Federal Register version (83 FR 36635)
34-83690
July 24, 2018
SR-ICC-2018-004
Order Approving Proposed Rule Change Relating To Formalization of the ICC Model Validation Framework Comments Due: Federal Register version (83 FR 36655)
34-83678
July 20, 2018
SR-IEX-2018-06
Securities Exchange Act of 1934; Order Scheduling Filing of Statements on Review; in the Matter of the Investors Exchange LLC; for an Order Granting the Approval of Proposed Rule Change To Establish a New Optional Listing Category on the Exchange, "LTSE Listings on IEX" (File No. SR-IEX-2018-06) Comments Due: View Received Comments Federal Register version (83 FR 35300)
34-83651
July 17, 2018
SR-ICEEU-2017-016
Order Approving Proposed Rule Changes Related to the ICE Clear Europe Recovery and Wind-Down Plans File Nos.: Comments Due: Federal Register version (83 FR 34891)
34-83651
July 17, 2018
SR-ICEEU-2017-017
Order Approving Proposed Rule Changes Related to the ICE Clear Europe Recovery and Wind-Down Plans File Nos.: Comments Due: Federal Register version (83 FR 34891)
34-83624
July 12, 2018
SR-BOX-2018-18
Order Granting Approval of a Proposed Rule Change To Adopt IM-7130-1 to Rule 7130 Comments Due: Federal Register version (83 FR 33969)
34-83559
June 29, 2018
SR-FINRA-2018-013
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Second Trade Reporting Facility Federal Register version (83 FR 31589)
34-83467
June 19, 2018
SR-CboeBZX-2018-019
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To List and Trade Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares Comments Due: View Received Comments Federal Register version (83 FR 29589)
34-83457
June 18, 2018
SR-FICC-2018-004
Order Approving Proposed Rule Change To Introduce a Floor to the Calculation of the Fails Charges and Make Other Changes Comments Due: Federal Register version (83 FR 29150)
34-83451
June 15, 2018
SR-LCHSA-2017-012
Order Approving Proposed Rule Changes Related to LCH SA's Recovery and Wind Down Plans File Nos.: Federal Register version (83 FR 28886)
34-83425
June 13, 2018
SR-CHX-2018-001
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt the Route QCT Cross Routing Option Comments Due: View Received Comments Federal Register version (83 FR 28477)
34-83401
June 8, 2018
SR-FICC-2018-003
Order Approving Proposed Rule Change To Amend the Fee Structure of the Government Securities Division Rulebook Comments Due: View Received Comments Federal Register version (83 FR 27812)
34-83389
June 6, 2018
SR-ICEEU-2018-006
Order Approving Proposed Rule Change Relating to the ICE Clear Europe CDS End-of-Day Price Discovery Policy Comments Due: Federal Register version (83 FR 27356)
34-83326
May 24, 2018
SR-OCC-2017-022
Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology Comments Due: View Received Comments Federal Register version (83 FR 25081)
34-83319
May 24, 2018
SR-NYSEArca-2018-15
Order Approving a Proposed Rule Change, As Modified by Amendment No. 1 Thereto, To Continue Listing and Trading Shares of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E Comments Due: View Received Comments Federal Register version (83 FR 25097)
34-83294
May 21, 2018
SR-NASDAQ-2018-008
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value Comments Due: View Received Comments Federal Register version (83 FR 24379)
34-83293
May 21, 2018
SR-CboeBZX-2018-010
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge Mid Cap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF Comments Due: View Received Comments Federal Register version (83 FR 24367)
34-83276
May 17, 2018
SR-FINRA-2018-003
Order Granting Approval of a Proposed Rule Change Relating to Simplified Arbitration Federal Register version (83 FR 23959)
34-83243
May 15, 2018
SR-ICEEU-2018-001
Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Clearing Stress Testing Policy Comments Due: Federal Register version (83 FR 23506)
34-83209
May 10, 2018
SR-Phlx-2018-22
Order Granting Approval of Proposed Rule Change To Create a New Rule 1081, To Amend Electronic Market Maker Obligations and Quoting Requirements for Electronic ROTs, Which Will Be Defined To Include SQTs, RSQTs, Directed SQTs, Directed RSQTs, Specialists, and Remote Specialists Comments Due: Federal Register version (83 FR 22717)
34-83205
May 9, 2018
SR-CBOE-2018-008
Order Approving a Proposed Rule Change Relating to Flexibly Structured Options Federal Register version (83 FR 22550)
34-83177
May 7, 2018
SR-MSRB-2018-01
Order Granting Approval of a Proposed Rule Change, Consisting to Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors Comments Due: View Received Comments Federal Register version (83 FR 21794)
34-83167
May 3, 2018
SR-Phlx-2018-20
Order Approving a Proposed Rule Change Amending Rule 1079, FLEX Index, Equity and Currency Options, and Rule 1059, Accommodation Transactions, To Allow the Closing of Flexible Exchange Options ("FLEX options") in Cabinet Trading Comments Due: Federal Register version (83 FR 21319)
34-83149
May 1, 2018
S7-24-89
Order of Summary Abrogation of the Forty-Second 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 (83 FR 20129)
34-83148
May 1, 2018
SR-CTA/CQ-2018-01
Order of Summary Abrogation of the Twenty-Third Charges Amendment to the Second Restatement of the CTA Plan and the Fourteenth Charges Amendment to the Restated CQ Plan Comments Due: View Received Comments Federal Register version (83 FR 20126)
34-83120
April 26, 2018
SR-NYSEArca-2018-04
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt New NYSE Arca Rule 8.900-E and To List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF Under Proposed NYSE Arca Rule 8.900-E Comments Due: View Received Comments Federal Register version (83 FR 19371)
34-83094
April 23, 2018
SR-NYSEArca-2018-02
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a 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 Comments Due: View Received Comments Federal Register version (83 FR 18603)
34-83071
April 19, 2018
SR-ICC-2018-003
Order Approving Proposed Rule Change Relating to Amendments to the ICC Operational Risk Management Framework Comments Due: Federal Register version (83 FR 18108)
34-83055
April 17, 2018
SR-ICEEU-2017-017
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Related to ICEEU's Recovery and Wind-Down Plans File Nos.: Comments Due: Federal Register version (83 FR 17575)
34-83055
April 17, 2018
SR-ICEEU-2017-016
Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Related to ICEEU's Recovery and Wind-Down Plans File Nos.: Comments Due: Federal Register version (83 FR 17575)
34-83046
April 13, 2018
SR-NASDAQ-2018-012
Order Granting Approval of a Proposed Rule Change To List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF Comments Due: Federal Register version (83 FR 17462)
34-83044
April 12, 2018
4-631
Order Approving the Seventeenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BZX Exchange, Inc., Cboe BYX 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 (83 FR 17205)
34-83039
April 12, 2018
SR-PEARL-2018-02
Order Granting Approval of a Proposed Rule Change To Adopt Rules Relating to Index Options Comments Due: View Received Comments Federal Register version (83 FR 17206)
34-83033
April 11, 2018
SR-Phlx-2018-14
Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Adopt Protections for Butterfly Spreads and Box Spreads Comments Due: View Received Comments Exhibit 5 Federal Register version (83 FR 16907)
34-83007
April 6, 2018
SR-NASDAQ-2017-128
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Western Asset Total Return ETF Comments Due: View Received Comments Federal Register version (83 FR 15883)
34-82995
April 5, 2018
SR-CboeBZX-2018-001
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts Comments Due: View Received Comments Federal Register version (83 FR 15425)
34-82960
March 28, 2018
SR-ICC-2018-002
Order Approving Proposed Rule Change Relating to ICC's End-of-Day Price Discovery Policies and Procedures Comments Due: Federal Register version (83 FR 14300)
34-82959
March 28, 2018
SR-BOX-2018-06
Orders To Be Submitted With an Auction Only Designation Comments Due: Federal Register version (83 FR 14304)
34-82949
March 27, 2018
SR-CBOE-2018-016
Order Book Federal Register version (83 FR 14066)
34-82939
March 23, 2018
SR-NYSEArca-2017-139
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF Under NYSE Arca Rule 8.200-E, Commentary .02 Comments Due: View Received Comments Federal Register version (83 FR 13537)
34-82926
March 22, 2018
SR-OCC-2017-020
Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Concerning Enhanced and New Tools for Recovery Scenarios Comments Due: View Received Comments Federal Register version (83 FR 13171)
34-82927
March 22, 2018
SR-OCC-2017-021
Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan Comments Due: Federal Register version (83 FR 13176)
34-82907
March 20, 2018
SR-NYSEArca-2018-08
Order Approving a Proposed Rule Change To Amend NYSE Arca Rule 1.1(ll) To Establish How the Official Closing Price Would Be Determined for an Exchange-Listed Security That Is a Derivative Securities Product if the Exchange Does Not Conduct a Closing Auction or if a Closing Auction Trade Is Less Than a Round Lot Comments Due: Federal Register version (83 FR 12980)
34-82908
March 20, 2018
SR-NSCC-2017-017
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules Comments Due: View Received Comments Federal Register version (83 FR 12986)
34-82910
March 20, 2018
SR-NSCC-2017-018
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Federal Register version (83 FR 12968)
34-82916
March 20, 2018
SR-NSCC-2018-001
Order Approving Proposed Rule Change To Amend the By-Laws Comments Due: Federal Register version (83 FR 12974)
34-82911
March 20, 2018
SR-ISE-2017-106
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Permit the Listing and Trading of NQX Index Options on a Pilot Basis Comments Due: View Received Comments Federal Register version (83 FR 12966)
34-82909
March 20, 2018
SR-FICC-2017-022
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes Comments Due: View Received Comments Federal Register version (83 FR 12990)
34-82913
March 20, 2018
SR-FICC-2017-021
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules Comments Due: View Received Comments Federal Register version (83 FR 12997)
34-82917
March 20, 2018
SR-FICC-2018-002
Order Approving Proposed Rule Change To Amend the By-Laws Comments Due: Federal Register version (83 FR 12982)
34-82912
March 20, 2018
SR-DTC-2017-021
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules Comments Due: View Received Comments Federal Register version (83 FR 12999)
