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Weekly Roundup of Exchange Rules by Category

New SRO rules and rule proposals were announced by the SEC. Click on the links to view the SEC's notices of exchange rule changes and proposals for the week of April 25 – April 29.

Independent Consultant Shannon Fitzgerald Comment: Pursuant to Rule 613 of the Securities Exchange Act of 1934, on September 30, 2014, the self-regulatory organizations (the “SROs”) filed with the Securities and Exchange Commission (the “SEC”) a National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan”). The CAT NMS Plan filed on February 27, 2015, was an amendment to and replacement of the initial CAT NMS Plan. On December 24, 2015, the SROs submitted an amendment to the amended and restated CAT NMS Plan. The SEC published the following notice to solicit comments on the CAT NMS Plan, and to express exemptive relief from certain requirements of Rule 613:

Joint Industry Plan; Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. (Release No. 34-77724; File No. 4-698; April 27, 2016)

Clearance & Settlement:

Fees, Fines, Rebates & Claims:

Market Data:

Miscellaneous:

Products:

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