Weekly Roundup of Exchange Rule Changes by Category
New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view the SEC's notices of exchange rule changes and proposals from September 8 to September 11.
Clearance Settlement:
- ICC: Notice of Filing of Amendments No. 1 and 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendments No. 1 and 2, to Revise the ICC Risk Management Framework (Release No. 34-75887; File No. SR-ICC-2015-009; September 10, 2015)
Fees, Fines, Rebates Claims:
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish An Administration and Delivery Fee for the Municipal Advisor Representative Examination (Series 50 examination) (Release No. 34-75865; File No. SR-FINRA-2015-031; September 9, 2015)
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees (Release No. 34-75874; File No. SR-ISE-2015-25; September 10, 2015); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-75856; File No. SR-MIAX-2015-53; September 8, 2015); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rules 7014 and 7018, Pertaining to Credits, Rebates, and Fee Caps (Release No. 34-75876; File No. SR-NASDAQ-2015-105; September 10, 2015); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rules 7015(b) and (g) to Modify Port Fees (Release No. 34-75882; File No. SR-NASDAQ-2015-110; September 10, 2015)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule (Release No. 34-75881; File No. SR-NYSEArca-2015-75; September 10, 2015); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchanges Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share (Release No. 34-75889; File No. SR-Phlx-2015-78; September 10, 2015); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Phlx Pricing Schedule (Release No. 34-75866; File No. SR-Phlx-2015-75; September 9, 2015); see also Exhibit 5
Market Data:
- Phlx: Notice of Filing of and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus (Release No. 34-75890; File No. SR-Phlx-2015-76; September 10, 2015); see also Exhibit 5
Products:
- NYSE Arca: Notice of Filing of Proposed Rule Regarding a Change to the Reference Index Relating to the Market Vectors Short High Yield Municipal Index ETF (Release No. 34-75888; File No. SR-NYSEArca-2015-74; September 10, 2015)
Trading Trade Reporting:
- FINRA: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down (Release No. 34-75875; File No. SR-FINRA-2015-026; September 10, 2015)
- NASDAQ: Order Approving a Proposed Rule Change to Introduce an Additional Data Element to the IPO Indicator Service (Release No. 34-75863; File No. SR-NASDAQ-2015-082; September 9, 2015)