Assorted Securities SRO Rule Changes, Including Several Propose Rules Concerning FATCA
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: Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Trading Ahead of Customer Orders and Best Execution and Interpositioning Requirements
- DTC: Notice of Filing of Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
- FICC: Notice of Filing of Proposed Rule Change to the Government Securities Division Rules and the Mortgage-Backed Securities Division Clearing Rules in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
- NASDAQ: Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit NOM to Accept Inbound Options Orders from NASDAQ OMX BX, Inc.
- NSCC: Notice of Filing of Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive the Application and Initiation Fees in Certain Circumstances (See also: Exhibit 5)
- Phlx: Notice of Filing of Proposed Rule Change for the Permanent Approval of the Exchange's Pilot Program to Permit the Exchange to Accept Inbound Options Orders Routed by Nasdaq Options Services LLC from NASDAQ OMX BX, Inc.