Click on the links below to view SEC notices of exchange rule changes and proposals for the week of August 7 to August 11, 2017.
Clearance and Settlement
- DTC, FICC, NSCC: Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Operational Risk Management Framework (Release No. 34-81338; File Nos. SR-DTC-2017-014, SR-FICC-2017-017, SR-NSCC-2017-013; August 8, 2017)
- ICC: Order Granting Accelerated Approval of Proposed Rule Change Relating to the ICC Liquidity Risk Management Framework and the ICC Stress Testing Framework (Release No. 34-81347; File No. SR-ICC-2017-011; August 8, 2017)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the September 5, 2017 Compliance Date for the Shortening of the Standard Settlement Cycle from Three Business Days after the Trade Date to Two Business Days after the Trade Date (Release No. 34-81325; File No. SR-NYSEArca-2017-82; August 7, 2017); see also Exhibit 5
Corporate Governance
- CHX: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, regarding the Acquisition of CHX Holdings, Inc. by North America Casin Holdings, Inc. (Release No. 34-81366; File No. SR-CHX-2016-20; August 9, 2017); see also Letter from Secretary of the Commission to Albert (A.J.) Kim, VP and Associate General Counsel, Chicago Stock Exchange, Inc., Dated August 9, 2017 (providing notice of Commission review of delegated action and stay of order)
- NYSE AMER: Notice of Filing and Immediate Effectiveness of Proposed Change in Connection with Its Recent Name Change from NYSE MKT LLC to NYSE American LLC and the Related Rebranding of NYSE Amex Options to NYSE American Options (Release No. 34-81337; File No. SR-NYSEAMER-2017-02; August 8, 2017); see also Exhibit 5A
Fees, Fines, Rebates, and Claims
- Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc. (Release No. 34-81326; File No. SR-BatsBYX-2017-17; August 7, 2017); see also Exhibit 5
- Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.'s Options Platform (Release No. 34-81328; File No. SR-BatsBZX-2017-51; August 7, 2017); see also Exhibit 5
- BatsEDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGA Exchange, Inc. (Release No. 34-81369; File No. SR-BatsEDGA-2017-20; August 10, 2017); see also Exhibit 5
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX's Schedule of Fees with Respect to the Options Regulatory Fee (Release No. 34-81342; File No. SR-GEMX-2017-31; August 8, 2017); see also Exhibit 5
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Correction to the Exchange Fee Schedule Related to Fees for Executions That Involve Taking Resting Interest with Non-Displayed Priority with a Displayable Order (Release No. 34-81346; File No. SR-IEX-2017-25; August 8, 2017); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE's Schedule of Fees With Respect to the Options Regulatory Fee (Release No. 34-81345; File No. SR-ISE-2017-71; August 8, 2017); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Schedule of Fees (Release No. 34-81350; File No. SR-ISE-2017-77; August 8, 2017); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule in Connection with the Adoption of Certain New Complex Order Types (Release No. 34-81372; File No. SR-MIAX-2017-40; August 10, 2017); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees (Release No. 34-81361; File No. SR-NASDAQ-2017-080; August 9, 2017); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Access and Routing Subsidy Program (Release No. 34-81360; File No. SR-NASDAQ-2017-079; August 9, 2017); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the NASDAQ Options Market LLC Rules regarding the Options Regulatory Fee (Release No. 34-81344; File No. SR-NASDAQ-2017-068; August 8, 2017); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the Rules regarding the Exchange's Options Regulatory Fee (Release No. 34-81341; File No. SR-BX-2017-032; August 8, 2017); see also Exhibit 5
- NSCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Adjustments, Clarifications and Corrections to the Fee Provisions for Insurance and Retirement Processing Services (Release No. 34-81339; File No. SR-NSCC-2017-011; August 8, 2017); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section A of Its Pricing Schedule Relating to the Exchange's Monthly Permit Fees for PSX Only Members (Release No. 34-81374; File No. SR-Phlx-2017-63; August 10, 2017); see also Exhibit 3; Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule (Release No. 34-81362; File No. SR-Phlx-2017-61; August 9, 2017); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule (Release No. 34-81370; File No. SR-Phlx-2017-64; August 10, 2017); see also Exhibit 5
Products and Listings
- Bats BZX: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust under BZX Rule 14.11(c)(4) (Release No. 34-81363; File No. SR-BatsBZX-2017-07; August 9, 2017)
- NYSE AMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .01 and .02 to NYSE American Rule 5.2E(j)(3) to Provide for the Inclusion of Cash in an Index Underlying a Series of Investment Company Units (Release No. 34-81340; File No. SR-NYSEAMER-2017-03; August 8, 2017); see also Exhibit 5
- NYSE Arca: Notice of Filing of Proposed Rule Change to Amend NYSE Arca Equities Rule 8.700 to Reference EURO STOXX 50 Volatility Index Futures and to List and Trade Shares of the ProShares European Volatility Futures ETF (Release No. 34-81373; File No. SR-NYSEArca-2017-85; August 10, 2017); see also Exhibit 5
Trading and Trade Reporting
- Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24, Retail Price Improvement Program, to Extend the Pilot Period (Release No. 34-81368; File No. SR-BatsBYX-2017-18; August 10, 2017); see also Exhibit 5
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 7170 (Nullification and Adjustment of Options Transactions Including Obvious Errors) (Release No. 34-81351; File No. SR-BOX-2017-25; August 8, 2017); see also Exhibit 5
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 6.49, C2 Trade Match System (Release No. 34-81327; File No. SR-C2-2017-023; August 7, 2017); see also Exhibit 5
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 720, Nullification and Adjustment of Options Transactions Including Obvious Errors (Release No. 34-81354; File No. SR-GEMX-2017-36; August 8, 2017); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 720, Nullification and Adjustment of Options Transactions Including Obvious Errors (Release No. 34-81322; File No. SR-ISE-2017-76; August 7, 2017); see also Exhibit 5
- MIAX: Notice of Filing of a Proposed Rule Change to Adopt Rules Relating to Trading in Index Options (Release No. 34-81371; File No. SR-MIAX-2017-39; August 10, 2017); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX Options Rules 504, Trading Halts, and 521, Nullification and Adjustment of Options Transactions Including Obvious Errors (Release No. 34-81321; File No. SR-MIAX-2017-38; August 7, 2017); see also Exhibit 5
- MIAX PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX PEARL Rules 504, Trading Halts, and 521, Nullification and Adjustment of Options Transactions Including Obvious Errors (Release No. 34-81324; File No. SR-PEARL-2017-33; August 7, 2017)
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 720, Nullification and Adjustment of Options Transactions Including Obvious Errors (Release No. 34-81353; File No. SR-MRX-2017-16; August 8, 2017); see also Exhibit 5
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change regarding Market Maker Quotations (Release No. 34-81359; File No. SR-MRX-2017-14; August 9, 2017); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions Including Obvious Errors (Release No. 34-81323; File No. SR-NASDAQ-2017-078; August 7, 2017); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions Including Obvious Errors (Release No. 34-81348; File No. SR-BX-2017-038; August 8, 2017); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1092, Nullification and Adjustment of Options Transactions Including Obvious Errors (Release No. 34-81352; File No. SR-Phlx-2017-66; August 8, 2017); see also Exhibit 5
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