Click on the links below to view SEC notices of exchange rule changes and proposals for the week of July 3 to July 7, 2017.
Clearance & Settlement
- DTC: Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework (Release No. 34-81074; File Nos. SR-DTC-2017-008, SR-FICC-2017-014, SR-NSCC-2017-008; July 5, 2017)
- ICEEU: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the ICE Clear Europe Finance Procedures (Release No. 34-81075; File No. SR-ICEEU-2017-009; July 5, 2017); see also Exhibit 5
- ICEEU: Order Approving Proposed Rule Change Relating to Clearing House Contributions to CDS Default Resources (Release No. 34-81076; File No. SR-ICEEU-2017-005; July 5, 2017)
Margin
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Credit Option Margin Pilot Program through July 18, 2018 (Release No. 34-81083; File No. SR-CBOE-2017-051; July 6, 2017); see also Exhibit 5
Products and Listings
- NYSE: Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend Listing Standards for Special Purpose Acquisition Companies to Modify the Initial and Continued Distribution Requirements (Release No. 34-81079; File No. SR-NYSE-2017-11; July 5, 2017)
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Generic Listing Criteria Applicable to Index-Linked Securities (Release No. 34-81081; File No. SR-NYSEArca-2017-54; July 6, 2017)
- NYSE Arca: Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the GraniteShares Gold Trust under NYSE Arca Equities Rule 8.201 (Release No. 34-81077; File No. SR-NYSEArca-2017-55; July 5, 2017)
Trading & Trade Reporting
- Bats BZX: Order Granting Approval of a Proposed Rule Change to Amend Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors, and Rule 20.3, Trading Halts (Release No. 34-81084; File No. SR-BatsBZX-2017-35; July 6, 2017)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.47A, Automated Improvement Mechanism (Release No. 34-81085; File No. SR-CBOE-2017-054; July 6, 2017)
- IEX: Notice of Filing of Proposed Rule Change to Introduce a New Market Maker Peg Order (Release No. 34-81078; File No. SR-IEX-2017-22; July 5, 2017); see also Exhibit 5
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