34-98988
Nov. 20, 2023
SR-IEX-2023-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce a New Post Only Order Parameter Instruction Comments Due: Exhibit 5
34-98987
Nov. 20, 2023
SR-BOX-2023-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Adopt Monthly Options Series Comments Due: Exhibit 5
34-98977
Nov. 17, 2023
SR-FINRA-2023-016
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Permit Projections of Performance of Investment Strategies or Single Securities in Institutional Communications Comments Due: View Received Comments Exhibit 2a , Exhibit 2b , Exhibit 2c , Exhibit 5
34-98980
Nov. 17, 2023
SR-FINRA-2023-006
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) Comments Due: View Received Comments
34-98975
Nov. 16, 2023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Application of the Per User Access Fee for Use of Certain Market Data Products by Redistributors Comments Due: Exhibit 5
34-98974
Nov. 16, 2023
SR-NYSEARCA-2023-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the fees for NYSE Arca BBO and NYSE Arca Trades Comments Due: Exhibit 5
34-98973
Nov. 16, 2023
SR-MIAX-2023-44
Notice of Filing of a Proposed Rule Change to Accommodate the Listings of Monthly Options Series. Comments Due: Exhibit 5
34-98972
Nov. 16, 2023
SR-CboeEDGX-2023-069
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules to Adopt Monthly Options Series Comments Due: Exhibit 5
34-98976
Nov. 16, 2023
SR-NYSE-2023-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Application of the Per User Access Fee for Use of Certain Market Data Products by Redistributors Comments Due: Exhibit 5
34-98965
Nov. 16, 2023
SR-NYSECHX-2023-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-98970
Nov. 16, 2023
SR-CboeBZX-2023-093
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules to Adopt Monthly Options Series Comments Due: Exhibit 5
34-98963
Nov. 16, 2023
SR-NYSEAMER-2023-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-98967
Nov. 16, 2023
SR-NYSE-2023-34
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend Section 312.03(b) of the NYSE Listed Company Manual to Modify the Circumstances Under Which a Listed Company Must Obtain Shareholder Approval of a Sale of Secu Comments Due: View Received Comments
34-98966
Nov. 16, 2023
SR-NYSENAT-2023-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Federal Register
Exhibit 5
34-98964
Nov. 16, 2023
SR-NYSEARCA-2023-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Federal Register
Exhibit 5
34-98962
Nov. 16, 2023
SR-NYSE-2023-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule Comments Due: Exhibit 5
34-98955
Nov. 15, 2023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Shorten the Standard Settlement Cycle Comments Due: Exhibit 5
34-98945
Nov. 15, 2023
SR-CboeBZX-2023-072
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Franklin Bitcoin ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares View Received Comments
34-98958
Nov. 15, 2023
SR-BX-2023-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Shorten the Standard Settlement Cycle Comments Due: Exhibit 5
34-98956
Nov. 15, 2023
SR-PEARL-2023-63
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Options Fee Schedule Comments Due: Exhibit 5
34-98951
Nov. 15, 2023
SR-NYSEAMER-2023-58
Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the NYSE American Options Proprietary Market Data Fee Schedule Comments Due: Exhibit 5
34-98948
Nov. 15, 2023
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Hashdex Nasdaq Ethereum ETF under Nasdaq Rule 5711(i)
34-98953
Nov. 15, 2023
SR-NYSE-2023-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List Comments Due: Exhibit 5
34-98952
Nov. 15, 2023
SR-ISE-2023-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Pricing for Index Options on the Nasdaq 100 Micro Index Comments Due: Exhibit 5
34-98947
Nov. 15, 2023
SR-NYSEARCA-2023-58
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Hashdex Bitcoin Futures ETF under NYSE Arca Rule 8.500-E (Trust Units) View Received Comments
34-98944
Nov. 15, 2023
SR-NYSEARCA-2023-63
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Grayscale Ethereum Futures Trust (ETH) ETF under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts) View Received Comments
34-98954
Nov. 15, 2023
SR-NASDAQ-2023-046
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Shorten the Standard Settlement Cycle Comments Due: Exhibit 5
34-98941
Nov. 15, 2023
SR-Phlx-2023-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Pricing Schedule at Options 7, Sections 4 and 7 Regarding Multiply Listed Options Fees and Routing Fees Comments Due: Exhibit 5
34-98934
Nov. 15, 2023
SR-NASDAQ-2023-044
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC Pricing Schedule at Options 7, Section 2 Comments Due: Exhibit 5
34-98938
Nov. 14, 2023
SR-MEMX-2023-30
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Fee Schedule Concerning Transaction Fees Comments Due: Exhibit 5
34-98932
Nov. 14, 2023
SR-OCC-2023-007
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Modifications to the Amended and Restated Stock Options Comments Due: Rebuttal Comments : December 26, 2023
34-98930
Nov. 14, 2023
SR-NSCC-2023-007
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Modifications to the Amended and Restated Stock Options Comments Due: Rebuttal Comments
34-98928
Nov. 14, 2023
4-631
Notice of Filing of the Twenty-Third 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., Financial Industry Regula Comments Due: View Received Comments
34-98924
Nov. 14, 2023
SR-GEMX-2023-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX Options 7, Section 4 to Amend Route-Out Fees Comments Due:
34-98925
Nov. 14, 2023
SR-MRX-2023-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend MRX Options 7, Section 5 to Amend Route-Out Fees Comments Due: Exhibit 5
34-98919
Nov. 13, 2023
SR-Phlx-2023-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of the FLEX and Cabinet Automation Comments Due:
34-98913
Nov. 13, 2023
SR-CboeBZX-2023-091
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-98912
Nov. 13, 2023
SR-NASDAQ-2023-043
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118 Comments Due: Exhibit 5
34-98910
Nov. 13, 2023
SR-CboeEDGX-2023-068
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Comments Due: Exhibit 5
34-98908
Nov. 13, 2023
SR-PEARL-2023-62
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide an Additional Means to Access the Exchange's Equity Trading Platform Member Firm Portal Comments Due:
34-98906
Nov. 13, 2023
SR-BOX-2023-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule for Trading on the BOX Options Market LLC Facility to Amend Sections IV.A (Non-Auction Transactions) and IV.A.1 (Tiered Volume Rebate for Non-Auction Transact Comments Due: Exhibit 5
34-98901
Nov. 9, 2023
SR-NYSECHX-2023-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31 Comments Due: Exhibit 5
34-98899
Nov. 9, 2023
SR-NYSEARCA-2023-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31-E Comments Due: Exhibit 5
34-98898
Nov. 9, 2023
SR-NYSECHX-2023-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37 Comments Due: Exhibit 5
34-98894
Nov. 9, 2023
SR-NYSEARCA-2023-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5
34-98893
Nov. 9, 2023
SR-NYSENAT-2023-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31 Comments Due: Exhibit 5
34-98892
Nov. 8, 2023
SR-NYSEAMER-2023-56
Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Rule 7.31E Comments Due: Exhibit 5
34-98891
Nov. 8, 2023
SR-NYSE-2023-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31 Comments Due: Exhibit 5
34-98888
Nov. 8, 2023
SR-MEMX-2023-29
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Fee Schedule to Adopt Connectivity and Application Session Fees for MEMX Options Comments Due: Exhibit 5
34-98886
Nov. 8, 2023
SR-ISE-2023-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Listing and Trading of XND Options Comments Due: Exhibit 5
34-98880
Nov. 7, 2023
SR-NYSEAMER-2023-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 9521 and 9522 to Correct Obsolete References to a FINRA Department Comments Due: Exhibit 5
34-98879
Nov. 7, 2023
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend the NYSE Listed Company Manual to Adopt Listing Standards for Natural Asset Companies View Received Comments
34-98878
Nov. 7, 2023
SR-NASDAQ-2023-036
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Nasdaq Rules 4120 and 4753 View Received Comments
34-98876
Nov. 7, 2023
SR-NYSEARCA-2023-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 10.9521 and 10.9522 to Correct Obsolete References to a FINRA Department Comments Due: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 10.9521 and 10.9522 to Correct Obsolete References to a FINRA Department
34-98877
Nov. 7, 2023
SR-NYSENAT-2023-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 10.9521 and 10.9522 to Correct Obsolete References to a FINRA Department Comments Due: Exhibit 5
34-98875
Nov. 7, 2023
SR-NYSECHX-2023-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 10.9521 and 10.9522 to Correct Obsolete References to a FINRA Department Comments Due: Exhibit 5
34-98874
Nov. 7, 2023
SR-NYSE-2023-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 9521 and 9522 to Correct Obsolete References to a FINRA Department Comments Due: Exhibit 5
34-98873
Nov. 7, 2023
SR-PEARL-2023-60
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Equities Fee Schedule Comments Due: Exhibit 5
34-98869
Nov. 6, 2023
SR-NYSE-2023-36
Notice of Filing of Proposed Enhancements to Its Designated Market Maker Program View Received Comments Exhibit 5
34-98860
Nov. 6, 2023
SR-CboeBZX-2023-063
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt an Alternative to the Minimum $4 Price Requirement for Companies Seeking to List Tier II Securities on the Exchange View Received Comments
34-98866
Nov. 6, 2023
SR-GEMX-2023-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Pricing Schedule at Options 7 to Specify Pricing Related to Unrelated Market or Marketable Interest Comments Due: Exhibit 5
34-98865
Nov. 6, 2023
SR-ISE-2023-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Pricing Schedule at Options 7 to Specify Pricing Related to Unrelated Market or Marketable Interest Comments Due: Exhibit 5
34-98863
Nov. 6, 2023
SR-NYSE-2023-35
Notice of Withdrawal of Proposed Rule Change to Amend Its Price List
34-98859
Nov. 3, 2023
SR-FINRA-2023-015
Notice of Filing of a Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees Comments Due: View Received Comments Exhibit 5
34-98858
Nov. 3, 2023
SR-NYSENAT-2023-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37 Comments Due: Exhibit 5
34-98857
Nov. 3, 2023
SR-NYSEARCA-2023-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37-E Comments Due: days after publication in the Federal Register. Comments Due: View Received Comments Exhibit 5
34-98856
Nov. 3, 2023
Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Rule 7.37E Comments Due: Exhibit 5
34-98855
Nov. 3, 2023
SR-NYSE-2023-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37 Comments Due: Exhibit 5
34-98853
Nov. 3, 2023
SR-NYSEAMER-2023-54
Notice of Filing and Immediate Effectiveness of Proposed Change Amending Rule 935NY Comments Due: Exhibit 5
34-98850
Nov. 3, 2023
SR-FINRA-2023-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Short-Form Membership Application Process and Partial Fee Waiver for Certain Firms Applying Due to Amended Exchange Act Rule 15b9-1 Comments Due: Exhibit 3 , Exhibit 5
34-98846
Nov. 2, 2023
SR-CboeBZX-2023-087
Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Invesco Galaxy Ethereum ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares View Received Comments
34-98836
Nov. 1, 2023
SR-CboeEDGA-2023-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules Relating to the Continuing Education for Registered Persons Comments Due: Exhibit 5
34-98835
Nov. 1, 2023
SR-CboeBZX-2023-085
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Rules Relating to the Continuing Education for Registered Persons Comments Due: Exhibit 5
34-98833
Nov. 1, 2023
SR-ICC-2023-014
Notice of Filing of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts Comments Due: Exhibit 5
34-98837
Nov. 1, 2023
SR-CboeEDGX-2023-066
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules Relating to the Continuing Education for Registered Persons Comments Due: Exhibit 5
34-98834
Nov. 1, 2023
SR-CboeBYX-2023-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Rules Relating to the Continuing Education for Registered Persons Comments Due: Exhibit 5
34-98826
Oct. 30, 2023
SR-PEARL-2023-59
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Equities Fee Schedule to Extend the Sunset Period for the Step-Added Liquidity Rebate Comments Due: Exhibit 5
34-98825
Oct. 30, 2023
SR-PEARL-2023-58
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rules 2614(a)(1)(ix) and 2618(b)(1) to Amend Certain Risk Controls When Trading Equity Securities on MIAX Pearl Equities Comments Due: Exhibit 5
34-98813
Oct. 27, 2023
SR-FICC-2023-015
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Clearing Agency Operational Risk Management Framework Comments Due: Exhibit 5
34-98814
Oct. 27, 2023
SR-NSCC-2023-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Clearing Agency Operational Risk Management Framework Comments Due: Exhibit 5
34-98811
Oct. 27, 2023
SR-CboeEDGX-2023-057
Notice of Withdrawal of Proposed Rule Change to Amend Its Fee Schedule Related to Physical Port Fees View Received Comments
34-98812
Oct. 27, 2023
SR-DTC-2023-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Clearing Agency Operational Risk Management Framework Comments Due: View Received Comments Exhibit 5
34-98810
Oct. 27, 2023
SR-CboeEDGA-2023-015
Notice of Withdrawal of Proposed Rule Change to Amend Its Fee Schedule Related to Physical Port Fees View Received Comments
34-98809
Oct. 27, 2023
SR-CboeBZX-2023-068
Notice of Withdrawal of Proposed Rule Change to Amend Its Fee Schedule Related to Physical Port Fees View Received Comments
34-98808
Oct. 27, 2023
SR-C2-2023-020
Notice of Withdrawal of Proposed Rule Change to Amend Its Fee Schedule Related to Physical Port Fees View Received Comments
34-98807
Oct. 27, 2023
SR-CboeEDGX-2023-058
Notice of Withdrawal of Proposed Rule Change to Amend Its Fee Schedule Related to Physical Port Fees View Received Comments
34-98806
Oct. 27, 2023
SR-CboeBYX-2023-013
Notice of Withdrawal of Proposed Rule Change to Amend Its Fee Schedule Related to Physical Port Fees View Received Comments
34-98805
Oct. 27, 2023
SR-CboeBZX-2023-067
Notice of Withdrawal of Proposed Rule Change to Amend Its Fee Schedule Related to Physical Port Fees View Received Comments
34-98798
Oct. 25, 2023
SR-NYSEAMER-2023-49
Notice of Filing and Immediate Effectiveness of Proposed Change to Delete Legacy Disciplinary Rules 475, 476, 476A, and 477 and Make Conforming Changes to Rule 41, Rules 8001, 8130(d), 8320(d), 9001, 9216(b)(1), 9810(a), and 781 of the Office Rules, Rules Comments Due: Exhibit 5
34-98794
Oct. 24, 2023
SR-CboeBZX-2023-084
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Related to Physical Port Fees Comments Due: View Received Comments Exhibit 5
34-98793
Oct. 24, 2023
SR-CboeBYX-2023-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Related to Physical Port Fees Comments Due: View Received Comments Exhibit 5
34-98792
Oct. 24, 2023
SR-MIAX-2023-42
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay Implementation of an Amendment to Rule 518, Complex Orders, to Permit Legging Through the Simple Market Comments Due:
34-98785
Oct. 23, 2023
SR-CboeBZX-2023-083
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Related to Physical Port Fees Comments Due: View Received Comments Exhibit 5
34-98787
Oct. 23, 2023
SR-CboeEDGX-2023-064
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Related to Physical Port Fees Comments Due: View Received Comments Exhibit 5
34-98783
Oct. 23, 2023
SR-CboeEDGA-2023-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Related to Physical Port Fees Comments Due: View Received Comments Exhibit 5
34-98782
Oct. 23, 2023
SR-CboeEDGX-2023-065
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Related to Physical Port Fees Comments Due: View Received Comments Exhibit 5
34-98784
Oct. 23, 2023
SR-C2-2023-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Related to Physical Port Fees Comments Due: View Received Comments Exhibit 5
34-98780
Oct. 23, 2023
SR-NYSEARCA-2023-70
Notice of Filing of Proposed Rule Change to List and Trade Shares of the Grayscale Ethereum Trust under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) View Received Comments
34-98772
Oct. 19, 2023
SR-MIAX-2023-19
Notice of Withdrawal of a Proposed Rule Change to Amend Exchange Rule 307, Position Limits View Received Comments
34-98771
Oct. 18, 2023
SR-NYSEAMER-2023-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE American Options Proprietary Market Data Fee Schedule Comments Due: Exhibit 5
