Numerous Assorted Securities SRO Rule Changes Including FINRA Proposed Rule Change Relating to CDS Margin Requirements
New SRO rules and rule proposals have been announced by the SEC. Click on the links below to view the SEC's notices of each rule change and proposal.
- BATS: Effective Immediately - Rule Change to Amend Exchange Rules in Connection with the Limit Up-Limit Down Plan (See also: Exhibit 5)
- BATS: Effective Immediately - Rule Change Related to Fees for Use of BATS Exchange, Inc. (See also: Exhibit 5)
- BYX: Effective Immediately - Rule Change to Amend Exchange Rules in Connection with the Limit Up-Limit Down Plan (See also: Exhibit 5)
- C2: Notice of Filing of Proposed Rule Change Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility (See also: Exhibit 5)
- CBOE: Notice of Filing of Proposed Rule Change Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility (See also: Exhibit 5)
- CHX: Effective Immediately - Rule Change Amending Article 1, Rule 2 (Order Types and Conditions); Article 20, Rule 4 (Eligible Orders); and Article 20, Rule 6 (Locked and Crossed Markets) to Modify the Operation of the CHX Only Order Type and Post Only Order Modifier (See also: Exhibit 5)
- FINRA: Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
- ISE: Notice of Filing of Proposed Rule Change to Amend the Obvious and Catastrophic Errors Rule (See also: Exhibit 5)
- MSRB: Effective Immediately - Rule Change Relating to Amendments to MSRB Form RTRS (See also: Exhibit 3)
- NASDAQ OMX BX: Effective Immediately - Rule Change to Amend Chapter V, Regulation of Trading on BX Options, Section 6, Obvious Errors
- NASDAQ OMX BX: Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
- NSX: Effective Immediately - Rule Change to Amend the Exchange's Rules to Comply with the Requirements of the Plan to Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS (See also: Exhibit 5)
- NYSE Arca: Effective Immediately - Rule Change Amending Rules Governing Order Format and System Entry Requirements (See also: Exhibit 5)
- NYSEMKT: Effective Immediately - Rule Change Amending Rules Governing Order Format and System Entry Requirements (See also: Exhibit 5)
- Phlx: Effective Immediately - Rule Change to the Fee Schedule Governing Order Routing for the NASDAQ OMX PSX Facility (See also: Exhibit 5)