Self-Regulatory Organization Rule Alert! A Friday Night News Dump of New Rules!!!
- BOX: 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 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 (Release No. 34-92796; File No. SR-BOX-2021-06)
- FICC - Advance Notice: Notice of Filing of Amendment No. 1 and Notice of No Objection to Advance Notice, as Modified by Amendment No. 1, to Add the Sponsored GC Service and Make Other Changes (Release No. 34-92799; File No. SR-FICC-2021-801)
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Form CMA (Continuing Membership Application Form) (Release No. 34-92793; File No. SR-FINRA-2021-020)
- MIAX: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend Fees for Purge Ports (Release No. 34-92792; File Nos. SR-MIAX-2021-29, SR-EMERALD-2021-22, SR-PEARL-2021-30)
- MIAX: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for the Exchanges' cToM Market Data Products (Release No. 34-92789; File Nos. SR-MIAX-2021-28, SR-EMERALD-2021-21)
- NASDAQ: Notice of Filing of Proposed Rule Change to Amend Nasdaq Rule 5750 (Proxy Portfolio Shares) to Provide for the Use of Custom Baskets Consistent with the Exemptive Relief Issued Pursuant to the Investment Company Act of 1940 Applicable to a Series of Proxy Portfolio Shares (Release No. 34-92790; File No. SR-NASDAQ-2021-065); see also Exhibit 5
- NYSE: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Schedule of Wireless Connectivity Fees and Charges to Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey (Release No. 34-92795; File Nos. SR-NYSE-2021-14, SR-NYSEAMER-2021-10, SR-NYSEArca-2021-13, SR-NYSECHX-2021-03, SR-NYSENAT-2021-04)
- PEARL: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the MIAX Pearl Options Fee Schedule to Increase the Monthly Fees for MIAX Express Network Full Service Ports (Release No. 34-92798; File No. SR-PEARL-2021-33)
- PEARL: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the MIAX Pearl Options Fee Schedule to Remove Certain Credits and Increase Trading Permit Fees (Release No. 34-92797; File No. SR-PEARL-2021-32)