Clearance & Settlement
- LCH SA: Order Approving Proposed Rule Changes Related to LCH SA's Recovery and Wind Down Plans (Release No. 34-83451; File Nos. SR-LCH SA-2017-012, LCH SA-2017-013, SR-LCH SA-2017-013)
Fees, Fines, Rebates & Claims
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule in Connection with the Technology Migration of C2 onto the Options Platform of the Exchange's Affiliated Options Exchanges, Cboe EDGX Exchange, Inc. and Cboe BZX Exchange, Inc. (Release No. 34-83409; File No. SR-C2-2018-012); see also Exhibit 5A, Exhibit 5B
- Cboe BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees (Release No. 34-83426; File No. SR-CboeBYX-2018-007); see also Exhibit 5
- Cboe BYX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Physical Port Fees for BYX (Release No. 34-83441; File No. SR-CboeBYX-2018-006)
- Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc. (Release No. 34-83438; File No. SR-CboeBZX-2018-039); see also Exhibit 5
- Cboe BZX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Physical Port Fees for BZX Options (Release No. 34-83429; File No. SR-CboeBZX-2018-038); see also Exhibit 5
- Cboe EDGX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Physical Port Fees for EDGX Options (Release No. 34-83430; File No. SR-CboeEDGX-2018-017); see also Exhibit 5
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Certain Route-Out Fees Set Forth in Section II.A of the Schedule of Fees (Release No. 34-83445; File No. SR-GEMX-2018-20); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section IV.D of the Exchange's Schedule of Fees (Release No. 34-83411; File No. SR-ISE-2018-50); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees Related to Complex Orders (Release No. 34-83431; File No. SR-ISE-2018-51); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Certain Route-Out Fees Set Forth in Section IV.F of the Schedule of Fees (Release No. 34-83446; File No. SR-ISE-2018-52); see also Exhibit 5
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Certain Route-Out Fees Set Forth in Section II.A of the Schedule of Fees (Release No. 34-83444; File No. SR-MRX-2018-19); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014(j) and Rule 7018(a) (Release No. 34-83435; File No. SR-NASDAQ-2018-042); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List (Release No. 34-83424; File No. SR-NYSE-2018-27); see also Exhibit 5
- NYSE Amer: Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services in Connection with the Re-launch of Trading on NYSE National, Inc. and Proposed NYSE National Co-location Services (Release No. 34-83402; File No. SR-NYSEAMER-2018-23); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges (Release No. 34-83418; File No. SR-NYSEArca-2018-41); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Extend the Effectiveness of the Decommission Extension Fee until September 2018 (Release No. 34-83410; File No. SR-NYSEArca-2018-42); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services in Connection with the Re-launch of Trading on NYSE National, Inc. and Proposed NYSE National Co-location Services (Release No. 34-83403; File No. SR-NYSEArca-2018-36); see also Exhibit 5
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Rebates to Extend the Current Waiver of Certain Adding and Taking Tier Volume Requirements to July 1, 2018, and Make Non-Substantive Changes to Eliminate Obsolete Text (Release No. 34-83440; File No. SR-NYSENAT-2018-13)
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Transaction, Routing, and Port Fees In Connection with the Re-launch of Trading on the Exchange (Release No. 34-83439; File No. SR-NYSENAT-2018-12)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule (Release No. 34-83419; File No. SR-PEARL-2018-13); see also Exhibit 5
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Physical Port Fees for C2 (Release No. 34-83455; File No. SR-C2-2018-014); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Physical Port Fees for Cboe Options (Release No. 34-83453; File No. SR-CBOE-2018-041); see also Exhibit 5
- CboeEDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Physical Port Fees for EDGA (Release No. 34-83449; File No. SR-CboeEDGA-2018-010); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Physical Port Fees for EDGX (Release No. 34-83450; File No. SR-CboeEDGX-2018-016); see also Exhibit 5
Products & Listing
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List Related to Co-location Services in Connection with the Re-launch of Trading on NYSE National, Inc. and Proposed NYSE National Co-location Services (Release No. 34-83404; File No. SR-NYSE-2018-23); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes in the Description of the Investments of the USCF Canadian Crude Oil Index Fund (Release No. 34-83447; File No. SR-NYSEArca-2018-39)
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on 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 (Release No. 34-83452; File No. SR-NYSEArca-2017-139)
Market Data & Reporting
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Descriptions of Certain Data Feeds within The Nasdaq Options Market (Release No. 34-83405; File No. SR-NASDAQ-2018-040); see also Exhibit 5
Trading & Trade Reporting
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend IM-3120-2 of BOX Rule 3120 (Position Limits) to Amend the Position and Exercise Limits for Options on the Standard and Poor's Depositary Receipts Trust ("SPY") (Release No. 34-83414; File No. SR-BOX-2018-22); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Position Limit for SPY Options (Release No. 34-83415; File No. SR-CBOE-2018-042)
- CHX: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt the Route QCT Cross Routing Option (Release No. 34-83425; File No. SR-CHX-2018-001)
- FINRA: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Size Pilot as Permanent (Release No. 34-83422; File No. SR-FINRA-2018-015)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules at Supplementary Material to Chapter III, Section 7, Entitled "Position Limits," and Section 9, Entitled "Exercise Limits" (Release No. 34-83421; File No. SR-NASDAQ-2018-044); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Position Limits and Exercise Limits for Options on the SPDR Exchange-Traded Fund (Release No. 34-83423; File No. SR-BX-2018-022); see also Exhibit 5
- NYSE: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Pillar trading Platform Rule 7.31 Relating to Reserve Orders and Rule 7.36 relating to Setter Priority (Release No. 34-83432; File No. SR-NYSE-2018-26); see also Exhibit 5
- NYSE Amer: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .07 to Rule 904 (Release No. 34-83417; File No. SR-NYSEAMER-2018-26); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .06 to Rule 6.8-O (Release No. 34-83413; File No. SR-NYSEArca-2018-44); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1001, Entitled "Position Limits" (Release No. 34-83412; File No. SR-Phlx-2018-44); see also Exhibit 5
- NYSE: Notice of Filing of Proposed Rule Change to Make Permanent the Retail Liquidity Program Pilot, Rule 107C, Which is Currently Set to Expire on June 30, 2018 (Release No. 34-83454; File No. SR-NYSE-2018-28); see also Exhibit 5
Miscellaneous
- OCC: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Related to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology (Release No. 34-83406; File No. SR-OCC-2018-008); see also Exhibit 5A, Exhibit 5B
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