34-90554
Dec. 3, 2020
SR-ICEEU-2020-015
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 (85 FR 79243)
34-90547
Dec. 2, 2020
SR-NYSEArca-2020-99
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Availability of Information for the iShares Gold Trust and the iShares Silver Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and iShares S&P GSCI Commodity-Indexed Trust Under Rule 8.203-E (Commodity Index Trust Shares) Comments Due: Federal Register version (85 FR 79060)
34-90552
Dec. 2, 2020
SR-NYSEArca-2020-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 6.78A-O Regarding In-Kind Exchanges of Options Positions in Connection With Exchange-Traded Fund Shares and Unit Investment Trust Interests Comments Due: Exhibit 5 Federal Register version (85 FR 79049)
34-90549
Dec. 2, 2020
SR-NASDAQ-2020-028
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. 1, To Amend IM-5101-1 (Use of Discretionary Authority) To Deny Listing or Continued Listing or To Apply Additional and 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 (85 FR 79048)
34-90553
Dec. 2, 2020
SR-NASDAQ-2020-026
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 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 (85 FR 79062)
34-90551
Dec. 2, 2020
SR-FICC-2020-015
Notice of Filing of Proposed Rule Change To Include Same-Day Settling Trades in the Risk Management, Novation, Guarantee, and Settlement Services of the Government Securities Division's Delivery-Versus-Payment Service, and Make Other Changes Comments Due: Exhibit 5 Federal Register version (85 FR 79051)
34-90543
Dec. 1, 2020
SR-NSCC-2020-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fee Structure Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 78892)
34-90542
Dec. 1, 2020
SR-NASDAQ-2020-078
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exempt Proxy Portfolio Shares From Certain Governance Requirements and Include Proxy Portfolio Shares to the List of Products Covered Under Nasdaq Rule 4120 (Limit Up-Limit Down Plan and Trading Halts) Comments Due: Exhibit 5 Federal Register version (85 FR 78890)
34-90544
Dec. 1, 2020
SR-FICC-2020-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, To Modify the Clearance Maintenance Fee, Reduce the End of Day Position Fee of the Government Securities Division, and Describe the Current Rebate Policy Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 78904)
34-90546
Dec. 1, 2020
SR-DTC-2020-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Guide to the DTC Fee Schedule Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 78897)
34-90529
Nov. 30, 2020
SR-NYSEArca-2020-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Perth Mint Physical Gold ETF Comments Due: Federal Register version (85 FR 78391)
34-90535
Nov. 30, 2020
SR-FINRA-2020-024
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 To Delete the FINRA Order Audit Trail System (OATS) Comments Due: Federal Register version (85 FR 78395)
34-90534
Nov. 30, 2020
SR-DTC-2020-017
Notice of Filing of Proposed Rule Change to Allow for the Deposit of Electronic Certificates of Deposit and Technical Changes Comments Due: Exhibit 2 , Exhibit 5 Federal Register version (85 FR 78371)
34-90530
Nov. 30, 2020
SR-CboeBZX-2020-085
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to List and Trade Shares of the Fidelity Growth Opportunities ETF, Fidelity Magellan ETF, Fidelity Real Estate Investment ETF, and Fidelity Small-Mid Cap Opportunities ETF Under Rule 14.11(m) (Tracking Fund Shares) Comments Due: Federal Register version (85 FR 78366)
34-90536
Nov. 30, 2020
SR-CBOE-2020-106
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Rules Regarding the Minimum Increments for Electronic Bids and Offers and Exercise Prices of Certain FLEX Options and Clarify in the Rules How the System Ranks FLEX Option Bids and Offers for Allocation Purposes Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 78381)
34-90526
Nov. 27, 2020
SR-NYSE-2020-77
Notice of Deemed Approval of a Proposed Rule Change To Adopt Rule 8.601 (Active Proxy Portfolio Shares) and Rule 8.900 (Managed Portfolio Shares), Amend the Preamble to Rule 8P, and Amend Section 302.00 of the Listed Company Manual Comments Due: Federal Register version (85 FR 78157)
34-90525
Nov. 27, 2020
SR-LCHSA-2020-005
Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the Clearing of Options on Index Credit Default Swaps in Respect of North American Indices (More Specifically, CDX.NA.IG and CDX.NA.HY) Comments Due: Federal Register version (85 FR 78153)
34-90524
Nov. 27, 2020
SR-ICC-2020-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to ICC's Fee Schedule Comments Due: Federal Register version (85 FR 78157)
34-90527
Nov. 27, 2020
SR-FINRA-2020-041
Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111) Comments Due: View Received Comments Federal Register version (85 FR 78540)
34-90519
Nov. 25, 2020
SR-NASDAQ-2020-072
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain Annual Listing Fees Comments Due: Exhibit 5 Federal Register version (85 FR 77324)
34-90522
Nov. 25, 2020
SR-BOX-2020-37
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Provisions of the Exchange's Second Amended and Restated Limited Liability Company Agreement Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (85 FR 77312)
34-90523
Nov. 25, 2020
SR-BOX-2020-36
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7020 ("Days and Hours of Business") Comments Due: Exhibit 5 Federal Register version (85 FR 77322)
34-90495
Nov. 24, 2020
SR-NYSE-2020-95
Notice of Filing of Proposed Rule Change To Make Permanent Commentaries to Rule 7.35A and Commentaries to Rule 7.35B and Make Related Changes to Rules 7.32, 7.35C, 46B, and 47 Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 77304)
34-90503
Nov. 24, 2020
SR-MRX-2020-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Pricing Schedule at Options 7 for Orders Entered Into the Exchange's Price Improvement Mechanism Comments Due: Exhibit 5 Federal Register version (85 FR 77317)
34-90507
Nov. 24, 2020
SR-MIAX-2020-36
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: Federal Register version (85 FR 77321)
34-90501
Nov. 24, 2020
SR-ISE-2020-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to an Amendment to Options 7, Section 4, Related to Complex Orders Fees and Rebates, and Options 7, Section 9 Comments Due: Exhibit 5 Federal Register version (85 FR 77328)
34-90509
Nov. 24, 2020
SR-CboeEDGX-2020-056
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Its Early Trading Session Comments Due: Exhibit 5 Federal Register version (85 FR 77310)
34-90504
Nov. 24, 2020
SR-CBOE-2020-111
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 77295)
34-90512
Nov. 24, 2020
SR-BOX-2020-14
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC Comments Due: View Received Comments Federal Register version (85 FR 77327)
34-90513
Nov. 24, 2020
SR-BOX-2020-16
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, a Proposed Rule Change in Connection With the Proposed Establishment of the Boston Security Token Exchange LLC as a Facility of the Exchange Comments Due: View Received Comments Federal Register version (85 FR 77334)
34-90478
Nov. 23, 2020
SR-PEARL-2020-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2618, Risk Settings and Trading Risk Metrics Comments Due: Exhibit 5 Federal Register version (85 FR 76630)
34-90490
Nov. 23, 2020
SR-DTC-2020-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide and the Guide to the Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 76645)
34-90482
Nov. 23, 2020
SR-CBOE-2020-110
Notice of Filing of a Proposed Rule Change Amending Rule 5.52(d) in Connection With a Market-Maker's Electronic Volume Transacted on the Exchange Comments Due: Exhibit 5 Federal Register version (85 FR 76642)
34-90466
Nov. 20, 2020
SR-NYSE-2020-94
Notice of Filing of Proposed Rule Change To Amend Section 907.00 of the Manual To Extend the Period of Time for the Entitlement of Certain Eligible Issuers To Receive Complimentary Products and Services Under That Rule Comments Due: Exhibit 5 Federal Register version (85 FR 76129)
34-90458
Nov. 19, 2020
SR-NYSE-2020-97
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Shorten the Time Period Before a Letter of Acceptance, Waiver, and Consent Under Rule 9216 and an Uncontested Offer of Settlement Under Rule 9270(f) Comments Due: Exhibit 5 Federal Register version (85 FR 75388)
34-90455
Nov. 18, 2020
SR-MRX-2020-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (85 FR 75064)
34-90449
Nov. 18, 2020
SR-PEARL-2020-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 75079)
34-90450
Nov. 18, 2020
SR-ISE-2020-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical and Conforming Amendments to Options 4, Sections 3 and 5 Comments Due: Exhibit 5 Federal Register version (85 FR 75094)
34-90454
Nov. 18, 2020
SR-FINRA-2020-040
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Temporary Supplementary Material .17 (Temporary Relief To Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) Under FINRA Rule 3110 (Supervision) Comments Due: View Received Comments Federal Register version (85 FR 75097)
34-90457
Nov. 18, 2020
SR-CBOE-2020-075
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 Make Qualified Contingent Cross Orders Available for FLEX Option Trading Comments Due: View Received Comments Federal Register version (85 FR 75071)
34-90443
Nov. 17, 2020
SR-NYSEArca-2020-98
Notice of Filing of Proposed Rule Change Regarding the Availability of Information for the iShares Gold Trust, the iShares Silver Trust Under NYSE Arca Rule 8.201-E and the iShares S&P GSCI Commodity-Indexed Trust Under Rule 8.203-E Comments Due: View Received Comments Federal Register version (85 FR 74778)
34-90437
Nov. 17, 2020
SR-CboeEDGX-2020-054
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Interpretations and Policies to Rule 21.20 in Connection With Market Makers' Complex Orders, Quoting Obligations and Volume Comments Due: Exhibit 5 Federal Register version (85 FR 74772)
34-90444
Nov. 17, 2020
SR-CboeBZX-2020-042
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Accommodate Exchange Listing and Trading of Options-Linked Securities Comments Due: Federal Register version (85 FR 74777)
34-90440
Nov. 17, 2020
SR-CBOE-2020-109
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Interpretations and Policies to Rule 5.33 in Connection With Market-Makers' Complex Orders, Quoting Obligations and Volume Comments Due: Exhibit 5 Federal Register version (85 FR 74770)
34-90439
Nov. 17, 2020
SR-C2-2020-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Interpretations and Policies to Rule 6.13 in Connection With Market-Makers' Complex Orders, Quoting Obligations and Volume Comments Due: Exhibit 5 Federal Register version (85 FR 74775)
34-90433
Nov. 16, 2020
SR-NYSEAMER-2020-81
Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE American Options Fee Schedule Regarding an Incentive Program for Floor Brokers Comments Due: Exhibit 5 Federal Register version (85 FR 74482)
34-90434
Nov. 16, 2020
SR-MRX-2020-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To the Exchange's Pricing Schedule at Options 7 To Amend Taker Fees for Regular Orders Comments Due: Exhibit 5 Federal Register version (85 FR 74473)
34-90432
Nov. 16, 2020
SR-CboeEDGX-2020-053
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 74477)
34-90416
Nov. 13, 2020
SR-OCC-2020-806
Notice of Filing of Advance Notice Related to Proposed Changes to Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan Comments Due: Federal Register version (85 FR 73553)
34-90414
Nov. 13, 2020
SR-NYSEArca-2020-96
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule Regarding the Criteria To Qualify for a Posting Credit on Certain Customer Volume Comments Due: Exhibit 5 Federal Register version (85 FR 73813)
34-90418
Nov. 13, 2020
SR-NYSEArca-2020-84
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 8.900-E To Adopt Generic Listing Standards for Managed Portfolio Shares Comments Due: View Received Comments Federal Register version (85 FR 73812)
34-90423
Nov. 13, 2020
SR-NASDAQ-2020-074
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits at Equity 7, Section 118 Comments Due: Exhibit 5 Federal Register version (85 FR 73822)
34-90415
Nov. 13, 2020
SR-DTC-2020-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide Comments Due: Exhibit 5 Federal Register version (85 FR 73819)
34-90422
Nov. 13, 2020
SR-CboeEDGX-2020-055
Notice of Filing of a Proposed Rule Change To Automate the Exchange's Process for Initiating the Re-Opening of a Security Listed on the New York Stock Exchange LLC Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or Post-Closing Session Comments Due: Exhibit 5 Federal Register version (85 FR 73816)
34-90419
Nov. 13, 2020
SR-CboeEDGA-2020-029
Notice of Filing of a Proposed Rule Change To Automate the Exchange's Process for Initiating the Re-Opening of a Security Listed on the New York Stock Exchange LLC Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or Post-Closing Session Comments Due: Exhibit 5 Federal Register version (85 FR 73829)
34-90420
Nov. 13, 2020
SR-CboeBZX-2020-083
Notice of Filing of a Proposed Rule Change To Automate the Exchange's Process for Initiating the Re-Opening of a Security Listed on the New York Stock Exchange LLC Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or After Hours Trading Session Comments Due: Exhibit 5 Federal Register version (85 FR 73832)
34-90421
Nov. 13, 2020
SR-CboeBYX-2020-032
Notice of Filing of a Proposed Rule Change To Automate the Exchange's Process for Initiating the Re-Opening of a Security Listed on the New York Stock Exchange LLC Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or After Hours Trading Session Comments Due: Exhibit 5 Federal Register version (85 FR 73826)
34-90408
Nov. 12, 2020
SR-NYSEAMER-2020-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE American BBO and NYSE American Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE American Trades by Adopting a Waiver Applicable to the Redistribution Fee Comments Due: Exhibit 3b , Exhibit 3c , Exhibit 3d , Exhibit 5 Federal Register version (85 FR 73556)
34-90410
Nov. 12, 2020
SR-NYSEAMER-2020-80
Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Regarding the Amount of Rebates for Initiating a Complex Customer Best Execution Auction Comments Due: Exhibit 5 Federal Register version (85 FR 73567)
34-90406
Nov. 12, 2020
SR-OCC-2020-014
Notice of Filing of Proposed Rule Change To Adopt the OCC Third-Party Risk Management Framework and Retire the OCC Counterparty Credit Risk Management Framework Comments Due: Exhibit 5a , Exhibit 5a Federal Register version (85 FR 73582)
34-90409
Nov. 12, 2020
SR-NYSEArca-2020-95
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca BBO and NYSE Arca Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE Arca Trades by Adopting a Waiver Applicable to the Redistribution Fee Comments Due: Exhibit 3a , Exhibit 3b , Exhibit 3c , Exhibit 3d , Exhibit 5 Federal Register version (85 FR 75079)
34-90407
Nov. 12, 2020
SR-NYSE-2020-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE Trades by Adopting a Waiver Applicable to the Redistribution Fee Comments Due: Exhibit 3a , Exhibit 3b , Exhibit 3c , Exhibit 3d , Exhibit 5a Federal Register version (85 FR 73570)
34-90395
Nov. 12, 2020
SR-NASDAQ-2020-075
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical and Conforming Amendments to The Nasdaq Options Market Rules at Options 4 Comments Due: Exhibit 5 Federal Register version (85 FR 73537)
34-90400
Nov. 12, 2020
SR-PEARL-2020-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Equities Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 73550)
34-90402
Nov. 12, 2020
SR-ICEEU-2020-014
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 (85 FR 73549)
34-90403
Nov. 12, 2020
SR-CboeBZX-2020-084
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Correct Drafting Error in a Footnote Comments Due: Exhibit 5 Federal Register version (85 FR 73540)
34-90404
Nov. 12, 2020
SR-CBOE-2020-108
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees Related to Transactions in Mini-SPX Index ("XSP") Options Comments Due: Exhibit 5 Federal Register version (85 FR 73533)
34-90393
Nov. 10, 2020
SR-EMERALD-2020-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Certificate of Formation, Amended and Restated Limited Liability Company Agreement, and the By-Laws Comments Due: Exhibit 5a , Exhibit 5b , Exhibit 5c Federal Register version (85 FR 73315)
34-90387
Nov. 10, 2020
SR-NYSE-2020-93
Notice of Filing of Proposed Rule Change to Amend Rules 7.35 and 7.35A Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 73322)
34-90391
Nov. 10, 2020
SR-NYSE-2020-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Comments Due: Exhibit 5 Federal Register version (85 FR 73326)
34-90389
Nov. 10, 2020
SR-NASDAQ-2020-071
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 4613, 4702, and 4703 Comments Due: Exhibit 5 Federal Register version (85 FR 73304)
34-90390
Nov. 10, 2020
SR-NASDAQ-2020-076
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Exchange Rules 1015, 9261, 9524 and 9830 With Recent Changes by the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (85 FR 73302)
34-90394
Nov. 10, 2020
SR-PEARL-2020-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Certificate of Formation, Amended and Restated Limited Liability Company Agreement, and the By-Laws Comments Due: Exhibit 5a , Exhibit 5b , Exhibit 5c Federal Register version (85 FR 73312)
34-90392
Nov. 10, 2020
SR-MIAX-2020-35
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Amended and Restated Certificate of Formation, Second Amended and Restated Limited Liability Company Agreement, and the Amended and Restated By-Laws Comments Due: Exhibit 5a , Exhibit 5b , Exhibit 5c Federal Register version (85 FR 73318)
34-90386
Nov. 10, 2020
SR-FICC-2020-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Government Securities Division Rulebook To Add a Pre-Payment Assessment and Certain Credits in Connection With a New Service, Which Has Not Yet Been Proposed for and Would Be Subject to Regulatory Approval Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (85 FR 73329)
34-90382
Nov. 9, 2020
SR-NYSE-2020-90
Notice of Filing of Proposed Rule Change To Amend the Requirement Applicable to Special Purpose Acquisition Companies Upon Consummation of a Business Combination Concerning Compliance With the Round Lot Shareholder Requirement Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 73121)
34-90383
Nov. 9, 2020
SR-BX-2020-033
Notice of Filing of Proposed Rule Change To Utilize the FIX Protocol To Submit Orders to BX's Price Improvement Auction Mechanism Comments Due: Exhibit 5 Federal Register version (85 FR 73095)
34-90384
Nov. 9, 2020
SR-BX-2020-032
Notice of Filing of Proposed Rule Change To Amend Options 4, Section 5, To Limit Short Term Options Series Intervals Between Strikes Which are Available for Quoting and Trading on BX Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 73113)
34-90379
Nov. 9, 2020
SR-CboeBZX-2020-079
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 73091)
34-90381
Nov. 9, 2020
SR-CboeBZX-2020-080
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Certain Fees Related to the Listing and Trading of Options Contracts on the Mini-SPX Index ("XSP") and Update Certain Other Language in the Fee Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 73109)
34-90371
Nov. 6, 2020
SR-NYSE-2020-66
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend to NYSE Rule 122 Related to Orders With More Than One Broker Comments Due: View Received Comments Federal Register version (85 FR 72720)
34-90367
Nov. 6, 2020
SR-NSCC-2020-802
Notice of No Objection to Advance Notice to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV Comments Due: View Received Comments Federal Register version (85 FR 73099)
34-90368
Nov. 6, 2020
SR-DTC-2020-801
Notice of No Objection To Advance Notice To Amend Rule 4 Comments Due: Federal Register version (85 FR 71973)
34-90365
Nov. 6, 2020
SR-CboeEDGX-2020-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.10, Requirements for Securities Issued by the Exchange or Its Affiliates Comments Due: Exhibit 5 Federal Register version (85 FR 71956)
34-90366
Nov. 6, 2020
SR-CboeEDGA-2020-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Rule 14.10, Requirements for Securities Issued by the Exchange or Its Affiliates Comments Due: Exhibit 5 Federal Register version (85 FR 72716)
34-90364
Nov. 6, 2020
SR-CboeBYX-2020-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.10, Requirements for Securities Issued by the Exchange or its Affiliates Comments Due: Exhibit 5 Federal Register version (85 FR 72724)
34-90363
Nov. 5, 2020
SR-NYSE-2020-89
Notice of Filing of Proposed Rule Change To Amend Rule 7.35C Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 71964)
34-90357
Nov. 5, 2020
SR-NASDAQ-2020-060
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Treat as an Eligible Switch, for Purposes of IM-5900-7, an Acquisition Company That Switches From NYSE to Nasdaq After Announcing a Business Combination Comments Due: Federal Register version (85 FR 71964)
34-90359
Nov. 5, 2020
SR-NASDAQ-2020-073
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Supplementary Material .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) Under Nasdaq Rule 1.1210 Comments Due: Federal Register version (85 FR 71979)
34-90354
Nov. 5, 2020
SR-MIAX-2020-34
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Increase the Number of Additional Limited Service MIAX Express Interface Ports Available to Market Makers Comments Due: View Received Comments Exhibit 5 Federal Register version (85 FR 71958)
34-90352
Nov. 5, 2020
SR-CboeBZX-2020-078
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Equity Transaction Fee Rebate Tiers Comments Due: Exhibit 5 Federal Register version (85 FR 71952)
34-90356
Nov. 5, 2020
SR-CboeBZX-2020-082
Notice of Filing and Immediate Effectiveness of Proposed Rule To Eliminate the Listing Fee Waiver for Issuers of Certain ETPs Comments Due: Exhibit 5 Federal Register version (85 FR 71982)
34-90339
Nov. 4, 2020
SR-Phlx-2020-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 3 Comments Due: Exhibit 5 Federal Register version (85 FR 71689)
34-90334
Nov. 4, 2020
SR-NYSEArca-2020-97
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges To Adopt an Alternative Method To Qualify for the Tier 2 Pricing Tier Comments Due: Exhibit 5 Federal Register version (85 FR 71691)
34-90331
Nov. 4, 2020
SR-NASDAQ-2020-057
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, To Allow Companies To List in Connection With a Direct Listing With a Primary Offering in Which the Company Will Sell Shares Itself in the Opening Auction on the First Day of Trading on Nasdaq and To Explain How the Opening Transaction for Such a Listing Will Be Effected Comments Due: View Received Comments Federal Register version (85 FR 71708)
34-90340
Nov. 4, 2020
SR-NASDAQ-2020-062
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Listing Rules Applicable to Special Purpose Acquisition Companies Whose Business Plan Is To Complete One or More Business Combinations Comments Due: View Received Comments Federal Register version (85 FR 71704)
34-90335
Nov. 4, 2020
SR-FINRA-2020-031
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt FINRA Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems) and Delete the Rules Related to the OTC Bulletin Board Service Federal Register version (85 FR 71691)
34-90344
Nov. 4, 2020
SR-FINRA-2020-039
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules To Reflect Name Changes to Two FINRA Departments: The Office of Dispute Resolution and the Department of Registration and Disclosure Comments Due: Federal Register version (85 FR 71695)
34-90332
Nov. 4, 2020
SR-CBOE-2020-107
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (85 FR 71705)
34-90333
Nov. 4, 2020
SR-CBOE-2020-105
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule in Connection With Migration Comments Due: Exhibit 5a , Exhibit 5b Federal Register version (85 FR 71666)
