Weekly Roundup of Exchange Rules by Category
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of August 21 to August 25, 2017.
Clearance and Settlement
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify Application of FINRA Rule 11140 (Transactions in Securities "Ex-Dividend," "Ex-rights" or "Ex-Warrants") in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017 (Release No. 34-81448; File No. SR-FINRA-2017-026; August 21, 2017)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Address the Application of Rule 11140 in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017 (Release No. 34-81446; File No. SR-NASDAQ-2017-084; August 21, 2017)
Fees, Fines, Rebates, and Claims
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NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Chapter XV, Section 2 Entitled "NASDAQ Options Market - Fees and Rebates" (Release No. 34-81479; File No. SR-NASDAQ-2017-083; August 24, 2017); see also Exhibit 5
Products and Listings
- IEX: Notice of Filing of Proposed Rule Change to Adopt Rule 14.602 to Describe the Complimentary Products and Services to Be Made Available to All Listed Companies (Release No. 34-81469; File No. SR-IEX-2017-20; August 23, 2017); see also Exhibit 5
- NYSE: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the Listed Company Manual to Adopt Initial and Continued Listing Standards for Subscription Receipts (Release No. 34-81478; File No. SR-NYSE-2017-31; August 24, 2017)
- NYSEAMER: Notice of Filing of Proposed Rule Change to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 146 of the NYSE American Company Guide (Release No. 34-81470; File No. SR-NYSEAMER-2017-05; August 23, 2017); see also Exhibit 5
- NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade the Shares of the U.S. Equity Cumulative Dividends Fund - Series 2027 and the U.S. Equity Ex-Dividend Fund - Series 2027 under NYSE Arca Equities Rule 8.200, Commentary .02 (Release No. 34-81453; File No. SR-NYSEArca-2017-88; August 22, 2017)
Trading and Trade Reporting
- Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.8, Order Types, to Permit MidPoint Discretionary Orders to be Non-Displayed (Release No. 34-81454; File No. SR-BatsEDGA-2017-21; August 22, 2017); see also Exhibit 5
- Bats EDGX: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt New Rules That Describe the Trading of Complex Orders on the Exchange (Release No. 34-81468; File No. SR-BatsEDGX-2017-29; August 23, 2017)
- Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.6, Definitions, 11.8, Order Types, and 11.10, Order Execution (Release No. 34-81457; File No. SR-BatsEDGX-2017-34; August 22, 2017); see also Exhibit 5