Weekly Roundup of Exchange Rules 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 21 to September 25.
Fees, Fines, Rebates & Claims:
- ISE Gemini: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees (Release No. 34-75959; File No. SR-ISEGemini-2015-16; September 22, 2015); see also Exhibit 5
Products:
- NASDAQ: Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the 1-3 Month Enhanced Short Duration ETF, a Series of Plus Trust (Release No. 34-75975; File No. SR-NASDAQ-2015-089; September 24, 2015)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Change to the Secondary Benchmark Index Applicable to Shares of the PIMCO Global Advantage Inflation-Linked Bond Active Exchange-Traded Fund (Release No. 34-75979; File No. SR-NYSEArca-2015-80; September 24, 2015)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund (Release No. 34-75978; File No. SR-NYSEArca-2015-79; September 24, 2015)
Trading Trade Reporting:
- BATS: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Adopt New Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing on BATS Exchange, Inc. (Release No. 34-75970; File No. SR-BATS-2015-57; September 23, 2015)
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 503 (Release No. 34-75962; File No. SR-MIAX-2015-57; September 22, 2015); see also Exhibit 5
- NMS: Order Approving Amendment No. 2 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc (Release No. 34-75980; File No. 4-668; September 24, 2015)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .20 to Rule 103 to Permit Member Organizations that Operate as Designated Market Maker Units on the Exchange and Also Operate DMM Units on the NYSE MKT LLC to Make an Adjustment to Excess Net Capital (Release No. 34-75966; File No. SR-NYSE-2015-39; September 22, 2015)