Click on the links to view SEC notices of exchange rule changes and proposals for the week of July 2 to July 6, 2018.
Clearance & Settlement
- NFA: Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts (Release No. 34-83589; File No. SR-NFA-2018-03)
Fees, Fines, Rebates & Claims
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule with Respect to Expiring Fee Waivers and Remove the FLEX Trader Incentive Program (Release No. 34-83587; File No. SR-CBOE-2018-051); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule to Adopt a Financial Incentive Program for Lead Market-Makers Appointed in MSCI EAFE Index Options and MSCI Emerging Markets Index Options (Release No. 34-83585; File No. SR-CBOE-2018-050); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Concerning MSCI EAFE Index Options and MSCI Emerging Markets Index Options (Release No. 34-83584; File No. SR-CBOE-2018-049); see also Exhibit 5
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Structure of its Fee Schedule and Make Several Conforming and Clarifying Changes, pursuant to IEX Rule 15.110(A) and (C) (Release No. 34-83582; File No. SR-IEX-2018-11); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform (Release No. 34-83600; File No. SR-CboeEDGX-2018-024); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform (Release No. 34-83599; File No. SR-CboeEDGX-2018-022); see also Exhibit 5
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BZX Rule 14.13, Company Listing Fees (Release No. 34-83597; File No. SR-CboeBZX-2018-046); see also Exhibit 5
Trade & Trade Reporting
- NASDAQ: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order (Release No. 34-83595; File No. SR-NASDAQ-2018-038)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 24.6, Days and Hours of Business Concerning Expiring MSCI EAFE Index Options and MSCI Emerging Markets Index Options (Release No. 34-83583; File No. SR-CBOE-2018-048)
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the IPO Auction Processes for Trading in an IEX-Listed Security that is the Subject of an Initial Public Offering (Release No. 34-83579; File No. SR-IEX-2018-13); see also Exhibit 5
- ISE: Notice of Filing of Proposed Rule Change to Amend Its Rules Related to Complex Orders (Release No. 34-83576; File No. SR-ISE-2018-56); see also Exhibit 5
Products & Listing
- NASDAQ: 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 Western Asset Total Return ETF (Release No. 34-83588; File No. SR-NASDAQ-2017-128)
- Cboe BZX: Notice of Filing of a Proposed Rule Change to Amend BZX Rule 14.11(c), Index Fund Shares (Release No. 34-83594; File No. SR-CboeBZX-2018-044)
- Cboe BZX: Notice of Filing of a Proposed Rule Change to Amend BZX Rule 14.8, General Listings Requirements - Tier I (Release No. 34-83596; File No. SR-CboeBZX-2018-047); see also Exhibit 5
Market Data
- IEX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.420 Concerning the Order Audit Trail System Requirements to Make Conforming and Technical Changes (Release No. 34-83586; File No. SR-IEX-2018-12); see also Exhibit 5
Miscellaneous
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 602, Appointment of Market Makers (Release No. 34-83577; File No. SR-MIAX-2018-13); see also Exhibit 5
- NYSE: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Require Certain Member Organizations to Participate in Scheduled Market-Wide Circuit Breaker Testing (Release No. 34-83601; File No. SR-NYSE-2018-31); see also Exhibit 5
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