New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view SEC Notices of exchange rule changes and proposals for the week of October 10 - October 14.
Fees, Fines, Rebates & Claims
- Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc. Options Platform (Release No. 34-79091; File No. SR-BatsEDGX-2016-57; October 13, 2016); see also Exhibit 5
- Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc. (Release No. 34-79090; File No. SR-BatsEDGX-2016-55; October 13, 2016); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-79086; File No. SR-CBOE-2016-072; October 12, 2016); see also Exhibit 5
- NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE Amex Options Fee Schedule (Release No. 34-79089; File No. SR-NYSEMKT-2016-91; October 12, 2016); see also Exhibit 5
- Phlx: Notice of Filing of Proposed Rule Change to Amend the Pricing Schedule at Section IV, Part B titled Flex Transaction Fees (Release No. 34-79080; File No. SR-Phlx-2016-100; October 11, 2016); see also Exhibit 5
Products
- Bats BZX: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust (Release No. 34-79084; File No. SR-BatsBZX-2016-30; October 12, 2016)
- Bats BZX: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust (Release No. 34-79092; File No. SR-BatsBZX-2016-48; October 13, 2016)
Trading & Trade Reporting
- NASDAQ: Notice of Filing of Partial Amendment Nos. 1, 2 and 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment Nos. 1, 2 and 3, to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-79075; File No. SR-NASDAQ-2016-126; October 7, 2016); see also Amendment 1 Exhibit 5, Amendment 2 Exhibit 5
- NASDAQ OMX BX: Notice of Filing of Partial Amendment Nos. and 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment Nos. 1 and 3, to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-79076; File No. SR-BX-2016-050; October 7, 2016); see also Amendment 1 Exhibit 5, Amendment 3 Exhibit 5
- NYSE: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendments No. 1 and 2, Allowing the Exchange to Trade Pursuant to Unlisted Trading Privileges Any NMS Stock Listed on Another National Securities Exchange; Establishing Listing and Trading Requirements for Exchange Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform (Release No. 34-79085; File No. SR-NYSE-2016-44; October 12, 2016)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules to Remove Definitions and Trading Rules That Are No Longer Operative After the Completed Full Migration of All Symbols to the Pillar Trading Platform (Release No. 34-79078; File No. SR-NYSEArca-2016-135; October 11, 2016); see also Exhibit 5
- Phlx: Notice of Filing of Partial Amendment Nos. 1, 2 and 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment Nos. 1, 2 and 3, to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-79074; File No. SR-Phlx-2016-92; October 7, 2016); see also Amendment 1 Exhibit 5, Amendment 2 Exhibit 5
Clearance & Settlement
- DTC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify Certain Rules Provisions Relating to Pledges (Release No. 34-79088; File No. SR-DTC-2016-009; October 12, 2016); see also Exhibit 5
- FICC: Order Approving Proposed Rule Change to Describe the Blackout Period Exposure Charge That May Be Imposed on GCF Repo Participants (Release No. 34-79077; File No. SR-FICC-2016-003; October 11, 2016)
- OCC: Order Approving Proposed Rule Change Concerning The Options Clearing Corporations Escrow Deposit Program (Release No. 34-79094; File No. SR-OCC-2016-009; October 13, 2016)
- OCC: Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporations Escrow Deposit Program (Release No. 34-79096; File No. SR-OCC-2016-80; October 13, 2016)
Miscellaneous
- Phlx: Notice of Filing of Proposed Rule Change to Delete Outdated or Unnecessary Rule Language (Release No. 34-79073; File No. SR-Phlx-2016-97; October 7, 2016); see also Exhibit 5
- Phlx: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Delete or Amend Rule Language Relating to Specialists and Registered Options Traders (Release No. 34-79087; File No. SR-Phlx-2016-86; October 12, 2016)
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
