34-91139
Feb. 16, 2021
SR-BX-2021-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4759 Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 10604)
34-91138
Feb. 16, 2021
SR-NASDAQ-2021-008
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4759 Comments Due: Exhibit 5 Federal Register version (86 FR 10608)
34-91135
Feb. 16, 2021
SR-CBOE-2020-034
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Authorize for Trading Flexible Exchange Options on Full-Value Indexes With a Contract Multiplier of One Comments Due: View Received Comments Federal Register version (86 FR 10610)
34-91123
Feb. 12, 2021
SR-NYSE-2021-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Comments Due: Exhibit 5 Federal Register version (86 FR 10368)
34-91126
Feb. 12, 2021
SR-NYSE-2020-85
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the NYSE Listed Company Manual To Revise the Shareholder Approval Requirements in Sections 312.03 and 312.04 and the Requirements for Related Party Transactions in Section 314.00 Comments Due: View Received Comments Federal Register version (86 FR 10362)
34-91125
Feb. 12, 2021
SR-BX-2020-032
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Options 4, Section 5, To Limit Short Term Options Series Intervals Between Strikes That Are Available for Quoting and Trading on BX Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (86 FR 10375)
34-91119
Feb. 12, 2021
SR-CBOE-2020-051
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 Amend the Automated Price Improvement Auction Rules in Connection With Agency Order Size Requirements Comments Due: View Received Comments Federal Register version (86 FR 10381)
34-91127
Feb. 12, 2021
SR-CBOE-2020-075
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Make Qualified Contingent Cross Orders Available for FLEX Option Trading Comments Due: View Received Comments Federal Register version (86 FR 10378)
34-91110
Feb. 11, 2021
SR-NYSENAT-2021-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates Comments Due: Exhibit 5 Federal Register version (86 FR 10145)
34-91107
Feb. 11, 2021
SR-NASDAQ-2021-006
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits at Equity 7, Sections 114 and 118(a) Comments Due: Exhibit 5 Federal Register version (86 FR 10134)
34-91114
Feb. 11, 2021
SR-ICEEU-2021-002
Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Price Submission Disciplinary Framework Comments Due: Exhibit 5 Federal Register version (86 FR 10152)
34-91108
Feb. 11, 2021
SR-C2-2021-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 10142)
34-91095
Feb. 10, 2021
SR-NYSE-2020-89
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 7.35C Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (86 FR 9978)
34-91096
Feb. 10, 2021
SR-NASDAQ-2021-004
Notice of Filing of Proposed Rule Change To Disseminate Abbreviated Order Imbalance Information, Amend Certain Cutoff Times for On-Open Orders Entered gor Participation in the Nasdaq Opening Cross and Extend the Time Period for Accepting Certain Limit On-Open Orders Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 9972)
34-91094
Feb. 10, 2021
SR-MEMX-2021-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 9963)
34-91098
Feb. 10, 2021
SR-DTC-2021-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add New Fees for DTC's Money Market Instrument Program Comments Due: Exhibit 5 Federal Register version (86 FR 9968)
34-91082
Feb. 9, 2021
SR-NYSE-2021-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List To Extend the Waiver of Equipment and Related Service Charges and Trading License Fees Comments Due: Exhibit 5 Federal Register version (86 FR 9546)
34-91084
Feb. 9, 2021
SR-NYSE-2020-105
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Revise Rules 46 and 46A and Other Related Rules To Permit the Appointment of Trading Officials Comments Due: View Received Comments Federal Register version (86 FR 9545)
34-91089
Feb. 9, 2021
SR-NASDAQ-2021-007
Notice of Filing of Proposed Rule Change To Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB With the Ability To Inspect Public Accounting Firms Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 9549)
34-91091
Feb. 9, 2021
SR-ICEEU-2021-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures. Comments Due: Exhibit 5 Federal Register version (86 FR 9555)
34-91090
Feb. 9, 2021
SR-ICC-2021-004
Notice of Filing of Proposed Rule Change Relating to the ICC Governance Playbook Comments Due: Exhibit 5 Federal Register version (86 FR 9557)
34-91076
Feb. 8, 2021
SR-ICEEU-2021-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Clearing Fees for ICE Futures Europe Three Month Swiss Average Rate Overnight (SARON) Index Futures Contract Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (86 FR 9416)
34-91078
Feb. 8, 2021
SR-CboeEDGX-2021-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 9406)
34-91077
Feb. 8, 2021
SR-BOX-2020-38
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend BOX Rule 7620 (Accommodation Transactions) Comments Due: Federal Register version (86 FR 9403)
34-91068
Feb. 5, 2021
SR-NYSEAMER-2021-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 971.2NY Regarding Its Complex Customer Best Execution Auction Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 9112)
34-91073
Feb. 5, 2021
SR-PEARL-2021-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Equities Fee Schedule To Adopt Connectivity Fees, Port Fees, a Technical Support Request Fee, and a Historical Market Data Fee Comments Due: Exhibit 5 Federal Register version (86 FR 9096)
34-91074
Feb. 5, 2021
SR-IEX-2021-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 11.600 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Comments Due: Exhibit 5 Federal Register version (86 FR 9092)
34-91065
Feb. 4, 2021
SR-NYSEAMER-2021-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 8930)
34-91058
Feb. 4, 2021
SR-Phlx-2021-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Its PSX Equity and General Rules From Its Current Rulebook Into Its New Rulebook Shell and Make Other Changes to the Phlx Rules Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (86 FR 8966)
34-91060
Feb. 4, 2021
SR-Phlx-2021-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rules Comments Due: Exhibit 5 Federal Register version (86 FR 8955)
34-91056
Feb. 4, 2021
SR-NASDAQ-2020-028
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend IM-5101-1 (Use of Discretionary Authority) To Apply Additional or More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market Comments Due: View Received Comments Federal Register version (86 FR 8937)
34-91057
Feb. 4, 2021
SR-NASDAQ-2020-026
Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets Comments Due: View Received Comments Federal Register version (86 FR 8955)
34-91062
Feb. 4, 2021
SR-NASDAQ-2021-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ALPS Active REIT ETF of ALPS ETF Trust To List and Trade Shares of the Fund Under Nasdaq Rule 5750 Comments Due: Federal Register version (86 FR 8972)
34-91066
Feb. 4, 2021
SR-FINRA-2020-038
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change, as Modified by Amendment No. 1, to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) That Would Require Members To File Retail Communications Concerning Private Placement Offerings That Are Subject to Those Rules' Filing Requirements Comments Due: Federal Register version (86 FR 8970)
34-91064
Feb. 4, 2021
SR-CboeBZX-2021-014
Notice of Filing of a Proposed Rule Amendment To Allow the Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF (Each a "Fund" and, Collectively, the "Funds"), Each a Series of the Invesco Actively Managed Exchange-Traded Fund Trust (the "Trust"), To Strike and Publish Multiple Intra-Day Net Asset Values ("NAVs") and an End-of-Day NAV Comments Due: Federal Register version (86 FR 8935)
34-91048
Feb. 3, 2021
SR-NYSE-2021-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 907.00 of the Manual Comments Due: Exhibit 5 Federal Register version (86 FR 8817)
34-91055
Feb. 3, 2021
SR-NASDAQ-2020-027
Notice of Withdrawal of Proposed Rule Change To Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets Comments Due: View Received Comments Federal Register version (86 FR 8819)
34-91054
Feb. 3, 2021
SR-LTSE-2020-22
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 14.602 Related to Promotional Services and Listing Ceremonies for Listed Companies Comments Due: View Received Comments Federal Register version (86 FR 8812)
34-91047
Feb. 3, 2021
SR-FINRA-2021-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Private Placement Filer Form Under FINRA Rules 5122 and 5123 Comments Due: Federal Register version (86 FR 8819)
34-91053
Feb. 3, 2021
SR-CBOE-2021-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Policy Relating to Billing Errors Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 8814)
34-91049
Feb. 3, 2021
SR-C2-2021-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Policy Relating to Billing Errors Comments Due: Exhibit 5 Federal Register version (86 FR 8824)
34-91039
Feb. 2, 2021
SR-NYSEAMER-2021-05
Notice of Filing of Proposed Rule Change To Amend Rule 970NY and Rule 970.1NY To Eliminate the Use of Dark Series on the Exchange View Received Comments Exhibit 5 Federal Register version (86 FR 8659)
34-91044
Feb. 2, 2021
SR-NYSEArca-2021-07
Notice of Filing of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges Related to Co-Location Services Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 8662)
34-91030
Feb. 1, 2021
SR-EMERALD-2021-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt a One-Time Membership Application Fee, Application Programming Interface ("API") Testing and Certification Fees, and Network Connectivity Testing and Certification Fees Comments Due: Exhibit 5 Federal Register version (86 FR 8465)
34-91032
Feb. 1, 2021
SR-EMERALD-2021-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Port Fees and Increase Certain Network Connectivity Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 8428)
34-91033
Feb. 1, 2021
SR-EMERALD-2021-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Monthly Trading Permit Fees Comments Due: Exhibit 5 Federal Register version (86 FR 8455)
34-91035
Feb. 1, 2021
SR-NYSEAMER-2021-04
Notice of Filing of Proposed Rule Change To Amend the NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule Related to Co-Location Services View Received Comments Exhibit 5 Federal Register version (86 FR 8449)
34-91037
Feb. 1, 2021
SR-NYSENAT-2021-01
Notice of Filing of Proposed Rule Change To Amend its Schedule of Fees and Rebates Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (86 FR 8424)
34-91036
Feb. 1, 2021
SR-NYSECHX-2021-01
Notice of Filing of Proposed Rule Change To Amend Its Fee Schedule Related to Co-Location Services Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 8440)
34-91038
Feb. 1, 2021
SR-NYSEArca-2021-09
Notice of Filing of Proposed Rule Change To Amend Rule 6.86-O To Eliminate the Use of Dark Series on the Exchange Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 8416)
34-91025
Feb. 1, 2021
SR-NYSE-2020-96
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Its Rules Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners Comments Due: View Received Comments Federal Register version (86 FR 8420)
34-91034
Feb. 1, 2021
SR-NYSE-2021-05
Notice of Filing of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 8443)
34-91027
Feb. 1, 2021
SR-MEMX-2021-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Interpretation and Policy .03 to Exchange Rule 4.2 Regarding the Provision of Members' Broker-Dealer Annual Reports Comments Due: Exhibit 5 Federal Register version (86 FR 8453)
34-91024
Feb. 1, 2021
SR-ICC-2021-003
Notice of Filing of Proposed Rule Change Relating to the ICC Operational Risk Management Framework Comments Due: Federal Register version (86 FR 8447)
34-91028
Feb. 1, 2021
SR-CBOE-2021-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 8413)
34-91011
Jan. 29, 2021
SR-NYSE-2020-98
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Its Rules To Prohibit Member Organizations From Seeking Reimbursement, in Certain Circumstances, From Issuers for Forwarding Proxy and Other Materials to Beneficial Owners Comments Due: View Received Comments Federal Register version (86 FR 8246)
34-91012
Jan. 29, 2021
SR-NYSE-2021-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.02 and 902.11 of the NYSE Listed Company Manual To Defer the Billing of Initial Listing Fees Payable by Acquisition Companies Comments Due: Exhibit 5 Federal Register version (86 FR 8240)
34-91019
Jan. 29, 2021
SR-LTSE-2021-01
Notice of Filing of a Proposed Rule Change To Amend LTSE Rule 14.501 To Specify the Process for Enforcing Compliance With LTSE Rule 14.425 for Listed Companies Comments Due: Exhibit 5 Federal Register version (86 FR 8243)
34-91007
Jan. 28, 2021
SR-CboeEDGX-2021-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's CAT Compliance Rule To Be Consistent With a Conditional Exemption Granted by the SEC From Certain Allocation Reporting Requirements Comments Due: Federal Register version (86 FR 8055)
34-91009
Jan. 28, 2021
SR-CboeEDGA-2021-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's CAT Compliance Rule To Be Consistent With a Conditional Exemption Granted by the SEC From Certain Allocation Reporting Requirements Comments Due: Federal Register version (86 FR 8061)
34-91010
Jan. 28, 2021
SR-CboeBZX-2021-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's CAT Compliance Rule To Be Consistent With a Conditional Exemption Granted by the SEC From Certain Allocation Reporting Requirements Comments Due: Federal Register version (86 FR 8067)
34-91006
Jan. 28, 2021
SR-CboeBYX-2021-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's CAT Compliance Rule To Be Consistent With a Conditional Exemption Granted by the SEC From Certain Allocation Reporting Requirements Comments Due: Federal Register version (86 FR 8050)
34-91008
Jan. 28, 2021
SR-CBOE-2021-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's CAT Compliance Rule To Be Consistent With a Conditional Exemption Granted by the SEC From Certain Allocation Reporting Requirements Comments Due: Federal Register version (86 FR 8072)
34-90996
Jan. 27, 2021
SR-NYSE-2021-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.32 Comments Due: Exhibit 5 Federal Register version (86 FR 7905)
34-91002
Jan. 27, 2021
SR-CboeEDGX-2021-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 7902)
34-91000
Jan. 27, 2021
SR-CboeEDGA-2021-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 7909)
34-90997
Jan. 27, 2021
SR-CboeBZX-2021-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amend Its Fee Schedule To Eliminate Certain Routing Fee Codes Comments Due: Exhibit 5 Federal Register version (86 FR 7907)
34-90999
Jan. 27, 2021
SR-CboeBYX-2021-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Eliminate Certain Routing Fee Codes Comments Due: Exhibit 5 Federal Register version (86 FR 7914)
34-90988
Jan. 26, 2021
SR-NYSEArca-2021-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Charges To Establish Annual Fees for Exchange Traded Products Comments Due: Exhibit 5 Federal Register version (86 FR 7754)
34-90994
Jan. 26, 2021
SR-NASDAQ-2020-017
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Nasdaq Rule 5704 Comments Due: View Received Comments Federal Register version (86 FR 7750)
34-90989
Jan. 26, 2021
SR-ICC-2021-002
Notice Relating to the Clearance of an Additional Credit Default Swap Contract Comments Due: Exhibit 5 Federal Register version (86 FR 7751)
34-90993
Jan. 26, 2021
SR-CboeBYX-2020-021
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Introduce Periodic Auctions for the Trading of U.S. Equity Securities Comments Due: View Received Comments Federal Register version (86 FR 7753)
34-90990
Jan. 26, 2021
SR-CBOE-2021-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Definition of "Current Market Value" for Purposes of Calculating Margin Requirements for Certain Options Comments Due: Federal Register version (86 FR 7760)
34-90981
Jan. 25, 2021
SR-PEARL-2021-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule for Member and Non-Member Monthly Network Connectivity Fees Comments Due: Exhibit 5 Federal Register version (86 FR 7582)
34-90980
Jan. 25, 2021
SR-MIAX-2021-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule for Member and Non-Member Monthly Network Connectivity Fees Comments Due: Exhibit 5 Federal Register version (86 FR 7602)
34-90986
Jan. 25, 2021
SR-CBOE-2021-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.24 Comments Due: Federal Register version (86 FR 7580)
34-90985
Jan. 25, 2021
4-523
Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authorit Comments Due: View Received Comments Federal Register version (86 FR 7590)
34-90974
Jan. 22, 2021
SR-NYSEArca-2020-104
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Stance Equity ESG Large Cap Core ETF Under NYSE Arca Rule 8.601-E Comments Due: View Received Comments Federal Register version (86 FR 7446)
34-90969
Jan. 22, 2021
SR-CboeEDGX-2021-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Opening Process for Simple Orders Comments Due: Exhibit 5 Federal Register version (86 FR 7433)
34-90970
Jan. 22, 2021
SR-CboeEDGX-2021-007
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Monthly Fee Assessed on Members' MPIDs Comments Due: Exhibit 5 Federal Register version (86 FR 7440)
34-90968
Jan. 22, 2021
SR-CboeBZX-2021-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Opening Process for Simple Orders Comments Due: Exhibit 5 Federal Register version (86 FR 7443)
34-90967
Jan. 22, 2021
SR-CBOE-2021-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Opening Process for Simple Orders Comments Due: Exhibit 5 Federal Register version (86 FR 7429)
34-90966
Jan. 22, 2021
SR-C2-2021-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Opening Process for Simple Orders Comments Due: Exhibit 5 Federal Register version (86 FR 7426)
34-90973
Jan. 22, 2021
SR-BOX-2021-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Temporary IM-2020-1 (Temporary Extension for Representatives To Function as Principals) Comments Due: Exhibit 5 Federal Register version (86 FR 7437)
34-90956
Jan. 21, 2021
SR-NYSEAMER-2021-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (86 FR 7321)
34-90960
Jan. 21, 2021
SR-OCC-2021-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to Part 39 of the Commodity Futures Trading Commission Regulations Comments Due: Exhibit 5 , Exhibit 5 Federal Register version (86 FR 7317)
34-90962
Jan. 21, 2021
SR-PEARL-2020-30
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's By-Laws in Connection With an Equity Rights Program Comments Due: Federal Register version (86 FR 7317)
34-90964
Jan. 21, 2021
SR-CboeEDGA-2021-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Monthly Fee Assessed on Members' MPIDs Comments Due: Exhibit 5 Federal Register version (86 FR 7324)
34-90957
Jan. 21, 2021
SR-CboeBZX-2021-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Annual Listing Fee Cap for Outcome Strategy ETPs To Include Series Having Returns Based on Two or More Reference Indexes Comments Due: Exhibit 5 Federal Register version (86 FR 7327)
34-90941
Jan. 19, 2021
SR-OCC-2021-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update The Options Clearing Corporation's Operational Loss Fee Pursuant to Its Capital Management Policy Comments Due: Federal Register version (86 FR 7124)
34-90949
Jan. 19, 2021
SR-NYSEArca-2021-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Regarding the Limits on Fees for Options Strategy Executions Comments Due: Exhibit 5 Federal Register version (86 FR 7152)
34-90953
Jan. 19, 2021
SR-NYSEArca-2021-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges Comments Due: Exhibit 5 Federal Register version (86 FR 7135)
34-90947
Jan. 19, 2021
SR-NYSE-2021-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 7138)
34-90954
Jan. 19, 2021
SR-NASDAQ-2021-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits at Equity 7, Section 118 Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 7149)
34-90951
Jan. 19, 2021
SR-NASDAQ-2020-081
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Listing Rules Related to Board Diversity Comments Due: View Received Comments Federal Register version (86 FR 7135)
34-90952
Jan. 19, 2021
SR-NASDAQ-2020-082
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Offer Certain Listed Companies Access to a Complimentary Board Recruiting Solution To Help Advance Diversity on Company Boards Comments Due: View Received Comments Federal Register version (86 FR 7148)
34-90955
Jan. 19, 2021
SR-NASDAQ-2021-002
Notice of Filing of Proposed Rule Change To Modify and Expand the Package of Complimentary Services Provided to Eligible Companies and Update the Values of Certain Complimentary Services Comments Due: View Received Comments Exhibit 5 Federal Register version (86 FR 7155)
34-90944
Jan. 19, 2021
SR-CboeBZX-2021-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Monthly Fee Assessed on Members' MPIDs Comments Due: Exhibit 5 Federal Register version (86 FR 7127)
34-90943
Jan. 19, 2021
SR-CboeBYX-2021-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Monthly Fee Assessed on Members' MPIDs Comments Due: Exhibit 5 Federal Register version (86 FR 7146)
34-90946
Jan. 19, 2021
SR-BOX-2021-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility Comments Due: Exhibit 5 Federal Register version (86 FR 7130)
