Self-Regulatory Organization Rule Alert: end of the month rule dump! The need for this many rules is the sign of a healthy and fair market, right? Right?!?!?

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• CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exempt Certain Categories of Investment Companies Registered under the Investment Company Act of 1940 from the Requirement to Obtain Shareholder Approval Prior to the Issuance of Securities in Connection with Certain Acquisitions of the Stock or Assets of an Affiliated Registered Investment Company (Release No. 34-93218; File No. SR-CboeBZX-2021-059); see also Exhibit 5
• FINRA: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements) (Release No. 34-93215; File No. SR-FINRA-2021-024)
• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish an Administration and Delivery Fee for the Municipal Advisor Principal Examination (Release No. 34-93206; File No. SR-FINRA-2021-025)
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC to Amend Exchange Rule 402, Criteria for Underlying Securities, Rule 403, Withdrawal of Approval of Underlying Securities, Rule 404, Series of Option Contracts Open for Trading, Rule 404A, Select Provisions of Options Listing Procedures Plan, Rule 503, Openings on the Exchange, Rule 515A, MIAX Price Improvement Mechanism ("PRIME") and PRIME Solicitation Mechanism, and Rule 518, Complex Orders (Release No. 34-93210; File No. SR-MIAX-2021-40); see also Exhibit 5
• NASDAQ: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify Nasdaq IM-5101-2 to Permit an Acquisition Company to Contribute a Portion of Its Deposit Account to Another Entity in a Spin-off or Similar Corporate Transaction (Release No. 34-93219; File No. SR-NASDAQ-2021-054)
• NYSE: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend the Requirements of Section 102.06 of the NYSE Listed Company Manual to Allow an Acquisition Company to Contribute a Portion of Its Trust Account to a New Acquisition Company and Spin-off the New Acquisition Company to Its Shareholders (Release No. 34-93222; File No. SR-NYSE-2021-42)
• NYSE: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Proposing to Adopt Listing Standards for Subscription Warrants Issued by a Company Organized Solely for the Purpose of Identifying an Acquisition Target (Release No. 34-93221; File No. SR-NYSE-2021-45)
• NYSE: Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, to Amend Each Exchanges Fee Schedule to Add Two Partial Cabinet Bundles Available in Co-location and Establish Associated Fees (Release No. 34-93214; File Nos. SR-NYSE-2021-05, SR-NYSEAMER-2021-04)
• NYSE: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in Rule 7.12 (Release No. 34-93212; File No. SR-NYSE-2021-40)
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12 (Release No. 34-93203; File No. SR-NYSE-2021-57); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Rule 7.2 (Release No. 34-93183; File No. SR-NYSE-2021-56); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Arca Rules 7.2-E and 7.2-O (Release No. 34-93186; File No. SR-NYSEArca-2021-85); see also Exhibit 5
• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE American Rule 7.2E (Release No. 34-93187; File No. SR-NYSEAMER-2021-39); see also Exhibit 5
• NYSECHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Chicago Rule 7.2 (Release No. 34-93182; File No. SR-NYSECHX-2021-13); see also Exhibit 5
• NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE National Rule 7.2 (Release No. 34-93181; File No. SR-NYSENAT-2021-18); see also Exhibit 5
• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC to Amend Exchange Rule 100, Definitions, Rule 402, Criteria for Underlying Securities, Rule 403, Withdrawal of Approval of Underlying Securities, Rule 404, Series of Option Contracts Open for Trading, Rule 404A, Select Provisions of Options Listing Procedures Plan, Rule 406, Long-Term Option Contracts, Rule 500, Access to and Conduct on the Exchange, Rule 503, Openings on the Exchange, Rule 515, Execution of Orders, and Rule 519, MIAX Pearl Order Monitor ("MOM") (Release No. 34-93209; File No. SR-PEARL-2021-43); see also Exhibit 5

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