Weekly Roundup of SRO Rule Changes (by Category)

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 March 10 - March 14:

Trading

• ISE: Effective Immediately - Rule Change to Permit Market Makers to Enter Opening Only Orders in Appointed Options Classes (see also Exhibit 5)
• CME: Effective Immediately - Rules Changes Regarding Implementation of Rules to Address Third Party Swap Execution Platforms
• ISE: Proposed Rule Change Related to Complex Orders
• NYSE: Proposed Rule Change to Adopt the Bond Trading License and the Bond Liquidity Provider Programs Pursuant to NYSE Rules 87 and 88 (see also Exhibit 5)
• NYSE: Effective Immediately - Rule Change Amending its Price List to Specify Pricing Applicable to Executions of Mid-Point Passive Liquidity Orders Against Retail Orders within the Retail Liquidity Program, effective March 1, 2014

Products

• NYSE Arca: Proposed Rule Change, as Modified by Amendment No. 2, Relating to the Listing and Trading of Reality Shares Isolated Dividend Growth ETF under NYSE Arca Equities Rule 8.600
• NYSE Arca: Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the iShares Core Allocation Conservative ETF, iShares Core Allocation Moderate ETF, iShares Core Allocation Moderate Growth ETF, and iShares Core Allocation Growth ETF under NYSE Arca Equities Rule 8.600

Fees

• NYSE: Effective Immediately - Rule Change Amending its Price List to Modify the Current Adding Credit Tiers and Add a New Adding Credit Tier (see also Exhibit 5)
• NYSE: Effective Immediately - Rule Change Amending the NYSE Price List and to Make the Fee Changes Operative March 1, 2014
• MIAX: Effective Immediately - Rule Change to Amend the MIAX Fee Schedule (see also Exhibit 5)
• Phlx: Effective Immediately - Rule Change Relating to Routing Fees (see also Exhibit 5)
• Phlx: Effective Immediately - Rule Change Relating to SPY Simple Orders Fees For Removing Liquidity (see also Exhibit 5)
• BOX: Effective Immediately - Rule Change to Amend the Fee Schedule on the BOX Market LLC Options Facility (see also Exhibit 5)
• EDGA: Effective Immediately - Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule (see also Exhibit 5)
• EDGX: Effective Immediately - Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule (see also Exhibit 5)
• ISE: Effective Immediately - Rule Change to Amend the Schedule of Fees (see also Exhibit 5)
• MIAX: Effective Immediately - Rule Change to Amend the MIAX Fee Schedule (see also Exhibit 5)
• MIAX: Effective Immediately - Rule Change to Amend Its Fee Schedule (see also Exhibit 5)
• MIAX: Effective Immediately - Rule Change to Amend Its Fee Schedule (see also Exhibit 5)
• NASDAQ: Effective Immediately - Rule Change Relating to NASDAQ Options Market Fees and Rebates (see also Exhibit 5)
• NASDAQ: Effective Immediately - Rule Change Relating to Routing Fees (see also Exhibit 5)
• NASDAQ OMX BX: Effective Immediately - Rule Change Relating to Routing Fees (see also Exhibit 5)
• NYSE Arca: Effective Immediately - Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Establish Pricing for the Retail Liquidity Program and Make Certain Changes Relating to Open Orders (see also Exhibit 5)

Governance

• CHX: Proposed Rule Change to Amend the Bylaws of the Exchange
• NYSE: 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.
• NYSE Arca: 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.
• NYSE MKT: 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.
• Phlx: Effective Immediately - Rule Change Relating to the Customer Rebate Program and Multiply Listed Options (see also Exhibit 5)

Related news: Weekly Roundup of SRO Rule Changes (March 7, 2014).