Assorted Immediately Effective Securities SRO Rule Changes
New SRO rule changes and proposals have been announced by the SEC.Click on the links below to view the SEC's notice of each rule change and proposal.
- CBOE: Effective Immediately - Rule Change Relating to Fingerprint-Based Background Checks of Exchange Directors, Officers, Employees and Others (See also: Exhibit 5)
- NYSE Arca: Effective Immediately - Rule Change to Amend the NYSE Arca Options Fee Schedule to Raise the Take Liquidity Fee for Firm and Broker Dealer Electronic Executions in Penny Pilot Issues (See also: Exhibit 5)
- NYSEMKT: Effective Immediately - Rule Change to Amend the NYSE Amex Options Fee Schedule to Modify the Existing Floor Broker Rebate for Executed Qualified Contingent Cross Orders (Ssee also: Exhibit 5)
- NYSEMKT: Effective Immediately - Rule Change Amending NYSE Amex Options Fee Schedule for Firms to Increase the Transaction Fee for Certain Proprietary Electronic Executions and to Introduce Volume-Based Tiers for Certain Proprietary Electronic Executions (See also: Exhibit 5)