FINRA and NYSE Arca Rule Changes

Rules changes from FINRA and NYSE Arca:

• FINRA: Proposed Rule - Amending the Customer and Industry Codes of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct the Appearance of Associated Person Witnesses and the Production of Documents without Subpoenas
• NYSE Arca: Effective Immediately - Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Eliminate the Tape A Step Up Tier, Modify the Remaining Tape Step-Up Tiers and Introduce an Alternative Method of Qualifying for Tier 1 (See also: Exhibit 5)
• NYSE Arca: Effective Immediately - Amending Certain NYSE Arca Rules to Replace References to NYSE Amex with NYSE MKT Reflecting the Recent Name Change of NYSE Amex LLC to NYSE MKT LLC