New SRO rules and rule proposals were announced by the SEC. Click on the links to view the SEC notices of exchange rule changes and proposals for the week of May 30 – June 3.
Clearance & Settlement:
- DTC: Notice of Filing of Proposed Rule Change Pursuant to Which It Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers (Release No. 34-77991; File No. SR-DTC-2016-003; June 3, 2016); see also Exhibit 5
- FICC: Order Approving Proposed Rule Change Relating to the GCF Repo Service (Release No. 34-77988; File No. SR-FICC-2016-001; June 3, 2016)
- ICC: Notice of Filing of Amendment No. 1 and Order Approving Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Update and Formalize the ICC Stress Testing Framework (Release No. 34-77982; File No. SR-ICC-2016-005; June 2, 2016)
- NSCC: Order Approving Proposed Rule Change to Remove from the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules (Release No. 34-77990; File No. SR-NSCC-2016-001; June 3, 2016)
Corporate Governance:
- C2: Notice of Filing of a Proposed Rule Change Relating to Senior Management Authority (Release No. 34-77961; File No. SR-C2-2016-005; June 1, 2016)
- CBOE: Notice of Filing of a Proposed Rule Change Relating to Senior Management Authority (Release No. 34-77962; File No. SR-CBOE-2016-047; June 1, 2016)
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 1015, Disciplinary Functions (Release No. 34-77983; File No. SR-MIAX-2016-15; June 2, 2016); see also Exhibit 5
Fees, Fines, Rebates & Claims:
- Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 14.13, Company Listing Fees (Release No. 34-77960; File No. SR-BatsBZX-2016-20; June 1, 2016); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-77989; File No. SR-MIAX-2016-13; June 3, 2016); see also Exhibit 5
- NYSE: Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-location Section of the Price List to Reflect the Changes (Release No. 34-77976; File No. SR-NYSE-2016-11; June 2, 2016)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List to Eliminate Certain Services that are No Longer Utilized by Users and to Remove Obsolete Text (Release No. 34-77975; File No. SR-NYSE-2016-39; June 2, 2016)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Eliminate Certain Services that are No Longer Utilized by Users and to Remove Obsolete Text (Release No. 34-77974; File No. SR-NYSEArca-2016-77; June 2, 2016); see also Exhibit 5
- NYSE Arca: Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-location Section of the Fee Schedule to Reflect the Changes (Release No. 34-77977; File No. SR-NYSEArca-2016-19; June 2, 2016)
- NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Eliminate Certain Services that are No Longer Utilized by Users and to Remove Obsolete Text (Release No. 34-77973; File No. SR-NYSEMKT-2016-57; June 2, 2016); see also Exhibit 5
- NYSE MKT: Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-location Section of the Fee Schedule to Reflect the Changes (Release No. 34-77978; File No. SR-NYSEMKT-2016-15; June 2, 2016)
Miscellaneous:
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) (Release No. 34-77963; File No. SR-FINRA-2016-017; June 1, 2016)
Products:
- Bats BZX: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade under BZX Rule 14.11(c)(4) Shares of the Following Series of Market Vectors ETF Trust: Market Vectors 6-8 Year Municipal Index ETF; Market Vectors 8-12 Year Municipal Index ETF; and Market Vectors 12-17 Year Municipal Index ETF (Release No. 34-77958; File No. SR-BatsBZX-2016-01; June 1, 2016)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect a Change to the Benchmark Index Applicable to the WisdomTree Managed Futures Strategy Fund (Release No. 34-77952; File No. SR-NYSEArca-2016-83; May 31, 2016)
- NYSE Arca: Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Virtus Japan Alpha ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-77992; File No. SR-NYSEArca-2016-79; June 3, 2016)
Trading & Trade Reporting:
- CBOE: Order Approving Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to AIM Retained Orders (Release No. 34-77848; File No. SR-CBOE-2016-024; May 17, 2016)
- CFE: Notice of Proposed Rule Change Regarding the Reporting Time for Exchange of Contract for Related Position Transactions and Block Trades that Involve Trade at Settlement Transactions (Release No. 34-77956; File No. SR-CFE-2016-001; June 1, 2016); see also Exhibit 4
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 506 (Release No. 34-77957; File No. SR-MIAX-2016-12; June 1, 2016); see also Exhibit 5
- NYSE: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending the Definition of "Block" for Purposes of Rule 72(d) and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 (Release No. 34-77950; File No. SR-NYSE-2016-30; May 31, 2016)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program Submitted to the Commission Pursuant to Rule 608 of Regulation NMS under the Act (Release No. 34-77947; File No. SR-NYSEArca-2016-76; May 31, 2016); see also Exhibit 5
- NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program Submitted to the Commission Pursuant to Rule 608 of Regulation NMS under the Act (Release No. 34-77949; File No. SR-NYSEMKT-2016-56; May 31, 2016); see also Exhibit 5
- NYSE MKT: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending the Definition of "Block" for Purposes of Rule 72(d) – Equities and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 – Equities (Release No. 34-77951; File No. SR-NYSEMKT-2016-49; May 31, 2016)
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