Weekly Roundup of Securities Exchange Rule Changes
New SRO rules and rule proposals were announced by the SEC.Click on the links below to view the SEC's notices of the rule changes for the week of January 13-17:
Trading Rules and Proposals
- BATS: Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Modify the BATS Options Opening Process (see also Exhibit 5)
- CME: Effective Immediately - Rule Change Regarding Modifications to CME Rule 8G802.B.2
- MIAX: Effective Immediately - Rule Change to Modify the Quarterly Options Series Program to Eliminate the Cap on the Number of Additional Series That May Be Listed Per Expiration Month for Each Quarterly Options Series in ETF Options (see also Exhibit 5)
- NYSE Arca: Proposed Rule Change Amending Its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange ( see also Exhibit 5)
- NYSE Arca: Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of Nine Series of the IndexIQ Active ETF Trust under NYSE Arca Equities Rule 8.600
- NYSE MKT: Proposed Rule Change Amending its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange ( see also Exhibit 5)
Exchange Governance
Exchange Fees
- BATS: Effective Immediately - Rule Change Related to Fees for Use of BATS Exchange, Inc. (see also Exhibit 5)
- BOX: Effective Immediately - Rule Change to Amend the Fee Schedule to Establish Fees for Complex Order Price Improvement Period ("COPIP") Transactions (see also Exhibit 5)
- CBOE: Effective Immediately - Rule Change to Amend the Fees Schedule (see also Exhibit 5)
- ISE: Effective Immediately - Rule Change to Establish a Billing Dispute Practice (see also Exhibit 5)
- ISE: Effective Immediately - Rule Change to Amend the Schedule of Fees
- TOPAZ: Effective Immediately - Rule Change to Establish a Billing Dispute Practice (see also Exhibit 5)