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 27-February 2:
Products
- CBOE: Effective Immediately - Rule Change to Extend a Pilot Program to List and Trade P.M.-Settled S&P 500 Index Option Products (see also Exhibit 5)
- CME: Effective Immediately - Rule Change to Amend the Fee Schedule Applicable to Its OTC Credit Default Swap Clearing Offering
Trading Rules
- CHX: Effective Immediately - Rule Change to Amend the Order Cancellation Fee (see also Exhibit 5)
- CHX: Effective Immediately - Rule Change to Offer Risk Management Tools Designed to Allow Participants to Monitor and Address Exposure to Risk
- ISE: Effective Immediately - Rule Change Regarding System Protections
- ISE: Effectively Immediately - Rule Change Related to Market-Maker Risk Parameters
- NASDAQ: Effective Immediately - Rule Change to Outbound Routing (see also Exhibit 5)
- NASDAQ: Effective Immediately - Rule Change to Inbound Routing of Options Orders
- NYSE Arca: Proposed Rule Change to Amend Its Rules by Revising the Order of Priority of Bids and Offers When Executing Orders in Open Outcry (see also Exhibit 5)
- NYSE Arca: Effective Immediately - Rule Change Updating the Description of the Data Included in the ArcaBook Equities Data Feed
- Phlx: Effective Immediately - Rule Change to Outbound Routing (see also Exhibit 5)
- Phlx: Effective Immediately - Rule Change to Inbound Routing of Options Orders
- Topaz: Effective Immediately - Rule Change Regarding System Protections
- Topaz: Effective Immediately - Rule Change Related to Market-Maker Risk Parameters
Governance
- C2: Effective Immediately - Rule Change to Amend the Bylaws of Its Parent Company (see also Exhibit 5)
- CBOE: Effective Immediately - Rule Change to Amend the Bylaws of Its Parent Company (see also Exhibit 5)
- CBOE: Effective Immediately - Proposed Rule Change Relating to the Exchange Bulletin (see also Exhibit 5)
- EDGA: Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, in Connection with the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC
- EDGA: Effective Immediately - Rule Change to Amend Chapter IX of Its Rulebook
- EDGX: Effective Immediately - Rule Change to Amend Chapter IX of Its Rulebook
- NYSE: Proposed Rule Change Relating to a Corporate Action in Which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange, Inc.
- NYSEMKT: Proposed Rule Change Relating to a Corporate Action in Which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange, Inc.
- NYSEMKT: Proposed Rule Change Amending Various Sections of Both the Limited Liability Company Agreement of NYSE Amex Options LLC and the Members Agreement Dated as of June 29, 2011 by and among the Companies (see also Exhibit 5A, Exhibit 5B, Exhibit 5C)
- OCC: Rule Change Concerning the Governance Committee Charter
- OCC: Rule Change to Make a Non-Material Housekeeping Rule Change so That OCC's Membership Qualifications Accurately Reflect Current Operational Practices
Fees
- CBOE: Effective Immediately - Rule Change to Amend Its Fees Schedule (see also Exhibit 5)
- ISE: Effective Immediately - Rule Change to Amend the Schedule of Fees (see also Exhibit 5)
- NYSEMKT: Effective Immediately - Rule Change to Increase Its Options Regulatory Fee (see also Exhibit 5)
- NYSE Arca: Effective Immediately - Rule Change to Increase Its Options Regulatory Fee (see also Exhibit 5)
- Topaz: Effective Immediately - Rule Change to Amend the Schedule of Fees (see also Exhibit 5)
Related news: Weekly Roundup of Securities Exchange Rule Changes (January 24, 2014); Weekly Roundup of Securities Exchange Rule Change (January 17, 2014).