Click on the links to view SEC notices of exchange rule changes and proposals for the week of July 16 to July 20, 2018.
Clearance & Settlement
- ICEEU: Order Approving Proposed Rule Changes Related to the ICE Clear Europe Recovery and Wind-Down Plans (Release No. 34-83651; File Nos. SR-ICEEU-2017-016, SR-ICEEU-2017-017)
- DTC: Notice of Filing of Proposed Rule Change to Amend Rule 35 to Provide for Designated Accounts for Use With Designated Collateral Management Service Providers (Release No. 34-83667; File No. SR-DTC-2018-006); see also Exhibit 5
- ICC: Notice of Filing of Proposed Rule Change Relating to ICC's Risk Management Model Description Document and ICC's Risk Management Framework (Release No. 34-83662; File No. SR-ICC-2018-008)
- ICEEU: Notice of Filing of Proposed Rule Change Relating to amendments to the ICE Clear Europe CDS End-of-Day Price Discovery Policy ("Price Discovery Policy") (Release No. 34-83665; File No. SR-ICEEU-2018-009)
- NSCC: Notice of Filing of and Immediate Effectiveness of a Proposed Rule Change to Clarify and Enhance Rules Related to the CNS Reorganization Processing System and NSCC's Authority to Reveal the Identity of Counterparties In Certain Circumstances (Release No. 34-83654; File No. SR-NSCC-2018-003); see also Exhibit 5
Fees, Fines, Rebates & Claims
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees to Waive Fees and Rebates for Trades in NQX Options (Release No. 34-83660; File No. SR-ISE-2018-63); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees to Add Establish Fees and Rebates for NQX Options and Make Several Clarifying Changes (Release No. 34-83639; File No. SR-ISE-2018-61); see also Exhibit 5
- Cboe EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe EDGX Exchange, Inc. (Release No. 34-83645; File No. SR-CboeEDGX-2018-023); see also Exhibit 5
- Cboe EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe EDGA Exchange, Inc. (Release No. 34-83643; File No. SR-CboeEDGA-2018-012); see also Exhibit 5
- 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. 34-83640; File No. SR-CboeBZX-2018-050); see also Exhibit 5
- Cboe BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BYX Exchange, Inc. (Release No. 34-83638; File No. SR-CboeBYX-2018-011); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 7018(a) of the Exchange's Rules (Release No. 34-83680; File No. SR-BX-2018-032); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7015(b) to Provide for Port Connectivity the FINRA/Nasdaq Trade Reporting Facility Chicago (Release No. 34-83670; File No. SR-NASDAQ-2018-056); see also Exhibit 5
- NSCC: Notice of Filing of a Proposed Rule Change to Terminate the Commission Billing Service and the Commission Billing Limited Membership (Release No. 34-83666; File No. SR-NSCC-2018-004); see also Exhibit 5
Products & Listing
- 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 Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares under NYSE Arca Rule 8.200-E (Release No. 34-83661; File No. SR-NYSEArca-2018-02)
- BatsBZX: Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, to List and Trade Shares of the Innovator S&P 500 Buffer ETF Series, Innovator S&P 500 Power Buffer ETF Series, and Innovator S&P 500 Ultra Buffer ETF Series Under Rule 14.11 (i) (Release No. 34-83679; File No. SR-BatsBZX-2017-72)
- 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 Adopt a New NYSE Arca Rule 8.900-E and to List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF under Proposed NYSE Arca Equities Rule 8.900-E (Release No. 34-83676; File No. SR-NYSEArca-2018-04)
Trading & Trade Reporting
- BOX: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt Rules Governing the Trading of Complex Qualified Contingent Cross and Complex Customer Cross Orders (Release No. 34-83647; File No. SR-BOX-2018-14)
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE Rule 723 (Release No. 34-83644; File No. SR-ISE-2018-62); see also Exhibit 5
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend MRX Rule 723 (Release No. 34-83646; File No. SR-MRX-2018-24); see also Exhibit 5
- NYSEAMER: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Exchange Rule 7.35E Relating to the Auction Reference Price for a Trading Halt Auction Following a Regulatory Halt (Release No. 34-83668; File No. SR-NYSEAMER-2018-22)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules Relating to Market Maker Quotations (Release No. 34-83653; File No. SR-NASDAQ-2018-052); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Credit Option Margin Pilot Program through July 18, 2019 (Release No. 34-83672; File No. SR-CBOE-2018-052); see also Exhibit 5
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Improvement Orders Entered into the Price Improvement Mechanism (Release No. 34-83641; File No. SR-GEMX-2018-25); see also Exhibit 5
- IEX: Order Scheduling Filing of Statements on Review ("Release No. 34-83678; File No. SR-IEX-2018-06; July 20, 2018")
- NASDAQ OMX BX: Notice of Filing of Proposed Rule Change to Make Permanent the Pilot Program for the Exchange's Retail Price Improvement Program (Release No. 34-83681; File No. SR-BX-2018-025); see also Exhibit 5
- Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exchange Rule 11.13, Order Execution and Routing, to Amend the Operation of the Super Aggressive Order Instruction (Release No. 34-83673; File No. SR-CboeBZX-2018-051); see also Exhibit 5
- Cboe EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exchange Rule 11.6, Definitions, to Amend the Operation of the Super Aggressive Order Instruction (Release No. 34-83674; File No. SR-CboeEDGX-2018-025); see also Exhibit 5
Miscellaneous
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Rules at Chapter VII, Section 6 Related to Market Maker Quotations, Section 14 Related to Lead Market Maker Quotations and Section 15 Related to Directed Market Maker Quotations (Release No. 34-83642; File No. SR-BX-2018-029); see also Exhibit 5
- FICC: Notice of Filing of Proposed Rule Change to Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules (Release No. 34-83682; File No. SR-FICC-2018-005); see also Exhibit 5
- Phlx: Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Extend the Applicability of the Floor Broker Management System and the Snapshot Functionality to Registered Options Traders and Specialists (Release No. 34-83656; File No. SR-Phlx-2018-40)
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