1. Cboe Regulatory Circular 20-024 Extension of Time for Certain Filings to June 1, 2020

    This circular is to confirm that Cboe Exchange, Inc. (“Cboe Options”) and Cboe C2 Exchange, Inc. (“C2 Options,” and collectively the “Exchanges”) are extending the April 1, 2020 deadlines for the filing requirements described below. The new filing deadlines for the following requirements will be June 1, 2020.

    4/1/2020

  2. SR-NASDAQ-2020-013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Nasdaq Rule 11890 by Six Months

    The purpose of the proposed rule change is to extend the current pilot program related to Rule 11890, Clearly Erroneous Transactions, to the close of business on October 20, 2020. This change is being proposed to allow the Exchange to further consider a permanent proposal for clearly erroneous execution reviews

    3/27/2020

  3. SR-NYSE-2020-23 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.35A to Allow the Exchange, for a Temporary Period, to publish Trader Updates with Auction Imbalance Information for IPO Auctions

    The Exchange proposes, for a temporary period that begins on the effective date of this filing and ends on the earlier of the reopening of the Trading Floor facilities or after the Exchange closes on May 15, 2020, that the Exchange would publish Trader Updates with Auction Imbalance Information for IPO Auctions. Current rules provide that the Exchange does not disseminate Auction Imbalance Information if a security is an IPO and has not had its IPO Auction. The Exchange is proposing to publish specified Auction Imbalance Information via Trader Update email for such auctions for the period when the NYSE Trading Floor has temporarily closed as a precautionary measure to reduce the spread of COVID-19.

    3/26/2020

  4. FINRA Information Notice Cybersecurity Alert: Measures to Consider as Firms Respond to the Coronavirus Pandemic (COVID-19)

    As work processes adjust in response to COVID-19, firms and their associated persons should take appropriate measures to address increased vulnerability to cybersecurity attacks and to protect customer and firm data on firm and home networks, as well as devices. This alert provides firms and associated persons with measures they may use to help strengthen their cybersecurity controls in areas where risks may increase in the current environment. In particular, FINRA understands the resource challenges that small firms may face, but hopes that the information included below may help them address possible cybersecurity issues associated with remote work.

    3/26/2020

  5. Cboe Regulatory Circular 20-022 Extension of Time for Certain Filings Currently Due April 1, 2020

    Subject to filing of a rule change with the SEC, Cboe Exchange, Inc. (“Cboe Options”) and Cboe C2 Exchange, Inc. (“C2 Options”) are extending the April 1, 2020 deadlines for the filing requirements as described below. The Exchanges anticipates the new filing deadlines for the following requirements to be May 31, 2020. The Exchanges will issue another Regulatory Circular when the required filing is completed.

    3/25/2020

  6. Cboe Regulatory Circular 20-021 Filing Extensions for Annual Reports and FOCUS Reports

    Cboe Exchange, Inc., Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe EDGA Exchange, Inc., and Cboe EDGX Exchange, Inc. (each an “Exchange” or collectively the “Exchanges”) would like to notify its Members of relief being provided due to the coronavirus pandemic (COVID-19) to Members through the extension of certain deadlines for annual audit reports and Financial and Operational Combined Uniform Single Reports (“FOCUS reports”).

    3/25/2020

  7. MSRB Regulatory Notice 2020-08 MSRB Extends Comment Deadline on Request for Comment on Proposed Governance Enhancements

    The MSRB continues to monitor the impact of coronavirus disease (COVID-19) on the municipal securities market. In light of the impact and in response to requests from market participants, the MSRB has extended the comment deadline for MSRB Notice 2020-02 by 30 days to April 29, 2020. MSRB Notice 2020-02 requests comment on draft amendments to MSRB Rule A-3, on membership on the Board, designed to improve Board governance.

    3/23/2020

  8. No. SR-NYSE-2020-22 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7.35A, 7.35B, and 7.35C for a Temporary Period

    The Exchange proposes to amend Rules 7.35A, 7.35B, and 7.35C for a temporary period that begins March 23, 2020, and ends on the earlier of the reopening of the Trading Floor facilities or after the Exchange closes on May 15, 2020.

    3/20/2020

  9. SR-NYSE-2020-21 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Suspend Until June 30, 2020 the Application of Its Continued Listing Requirement With Respect to Global Market Capitalization

    The Exchange proposes to suspend until June 30, 2020 the application of its continued listing requirement that companies must maintain an average global market capitalization over a consecutive 30 trading-day period of at least $15 million (the “Market Capitalization Standard”).

    3/20/2020

  10. FINRA Regulatory Notice 20-10 FINRA Amends the FINRA Corporate Financing Rule

    FINRA has amended its Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) to make substantive, organizational and terminology changes to the rule. The amendments to Rule 5110 modernize, simplify and clarify its provisions while maintaining important protections for market participants, including issuers and investors participating in public offerings. The implementation date for amended Rule 5110(a)(3)(A), (a)(4)(A) (ii) and (a)(4)(A)(iii) is March 20, 2020. The implementation date for all other provisions in amended Rule 5110 is September 16, 2020.

    3/20/2020

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