Click on the links to view SEC notices of exchange rule changes and proposals for the week of May 21 to May 25, 2018.
Clearance and Settlement
- ICEEU: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the Clearing Rules to Implement the European Union General Data Protection Regulation (Release No. 34-83311; File No. SR-ICEEU-2018-007); see also Exhibit 3, Exhibit 5
- OCC: Notice of Filing of Amendment No. 1 and Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Related to The Options Clearing Corporation's Trade Acceptance and Novation Rules (Release No. 34-83321; File No. SR-OCC-2018-007)
- OCC: Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Margin Methodology (Release No. 34-83305; File No. SR-OCC-2017-811)
- OCC: Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology (Release No. 34-83326; File No. SR-OCC-2017-022)
Corporate Governance
- CHX: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, in Connection with a Proposed Transaction Involving CHX Holdings, Inc. and the Intercontinental Exchange, Inc. (Release No. 34-83303; File No. SR-CHX-2018-004)
Fees, Fines, Rebates and Claims
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility to Amend Drop Copy Port Fees (Release No. 34-83309; File No. SR-BOX-2018-19); see also Exhibit 5
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility to Amend SAIL Port Fees (Release No. 34-83310; File No. SR-BOX-2018-16); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees Related to Complex Orders (Release No. 34-83306; File No. SR-ISE-2018-46); see also Exhibit 5
Market Data and Reporting
- BOX: Notice of Filing of Proposed Rule Change to Adopt IM-7130-1 to Rule 7130 (Release No. 34-83318; File No. SR-BOX-2018-18); see also Exhibit 5
- BOX: Notice of Filing of Proposed Rule Change to Amend Rules 7150 and 7245 (Release No. 34-83317; File No. SR-BOX-2018-17); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Memorialize Its Order and Execution Information into ISE Rule 718, Entitled "Data Feeds" (Release No. 34-83323; File No. SR-ISE-2018-47); see also Exhibit 5
Miscellaneous
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Arca Rule 5.3-E to Exclude Certain Categories of Issuers from the Exchange's Annual Meeting Requirement (Release No. 34-83324; File No. SR-NYSEArca-2018-31); see also Exhibit 5
Products and Listings
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 5.3, Criteria for Underlying Securities (Release No. 34-83292; File No. SR-CBOE-2018-040)
- CBOE BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of the iShares Gold Strategy ETF, a Series of the iShares U.S. ETF Trust (Release No. 34-83302; File No. SR-CBOEBZX-2018-034)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Peritus High Yield ETF (Release No. 34-83320; File No. SR-NYSEArca-2018-35)
- NYSE Arca: Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Continue Listing and Trading Shares of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E (Release No. 34-83319; File No. SR-NYSEArca-2018-15)
Trading and Trade Reporting
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Risk Protections (Release No. 34-83322; File No. SR-Phlx-2018-41); see also Exhibit 5
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