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 December 4 to December 8, 2017.
Clearance and Settlement
- OCC: Order Approving Proposed Rule Change Related to a Comprehensive Risk Management Framework (Release No. 34-82232; File No. SR-OCC-2017-005)
- OCC: Notice of No Objection to Advance Notice Filing Concerning The Use of the Society of Worldwide Interbank Financial Telecommunication ("SWIFT") Messaging Network in OCC's Cash Settlement Process (Release No. 34-82211; File No. SR-OCC-2017-805)
- ICC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the ICC Stress Testing Framework and the ICC Liquidity Risk Management Framework (Release No. 34-82211; File No. SR-ICC-2017-014)
Corporate Governance
- NYSE: Notice of Filing of Proposed Rule Change Amending the NYSE Listed Company Manual to Modify Its Requirements with Respect to Delivery of Proxy Materials to the Exchange (Release No. 34-82225; File No. SR-NYSE-2017-42); see also Exhibit 5
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 14.501(a)(4), 14.501(d), and 14.502(b) to Modify the Process IEX Would Follow When a Company Fails to Hold an Annual Meeting of Shareholders, and to Correct Three Nonsubstantive Typographical Errors in Rules 14.502(b) and 14.504(b) (Release No. 34-82209; File No. SR-IEX-2017-41); see also Exhibit 5
Fees, Fines, Rebates and Claims
- Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees for the Exchange's Equity Platform (Release No. 34-82236; File No. SR-CboeBZX-2017-009); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Application of the Crossing Fee Cap (Release No. 34-82229; File No. SR-ISE-2017-95); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Price List to Modify the Fees Related to Four Bundles of Co-location Services in Connection with the Exchange's Co-location Services (Release No. 34-82223; File No. SR-NYSE-2017-62); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule to Modify the Fees Related to Four Bundles of Co-location Services in Connection with the Exchange’s Co-Location Services (Release No. 34-82224; File No. SR-NYSEAMER-2017-35); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges to Modify the Fees Related to Four Bundles of Co-location Services in Connection with the Exchange's Co-location Services (Release No. 34-82226; File No. SR-NYSEArca-2017-134); see also Exhibit 5
Market Data and Reporting
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759 (Release No. 34-82218; File No. SR-NASDAQ-2017-121); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3304 (Release No. 34-82219; File No. SR-Phlx-2017-95); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759 (Release No. 34-82210; File No. SR-BX-2017-052); see also Exhibit 5
Products and Listings
- NMS: Order Approving the Fourth Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options (Release No. 34-82235; File No. 4-443)
- Cboe BZX: Notice of Filing of a Proposed Rule Change to List and Trade Shares of a Series of the Cboe Vest S&P 500Buffer Protect Strategy ETF Under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares (Release No. 34-82217; File No. SR-CboeBZX-2017-005)
- Cboe BZX: Notice of Filing of a Proposed Rule Change to List and Trade Shares of a Series of the Cboe Vest S&P 500 Enhanced Growth Strategy ETF under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares (Release No. 34-82216; File No. SR-CboeBZX-2017-006)
Trading and Trade Reporting
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program until June 30, 2018 (Release No. 34-82230; File No. SR-NYSE-2017-64); see also Exhibit 5
- Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Applicable to Its Equity Options Platform (Release No. 34-82227; File No. SR-CboeBZX-2017-007); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules to Delete Obsolete Cash Equities Rules That Are Not Applicable to Trading on the Pillar Trading Platform and to Delete Other Obsolete Rules (Release No. 34-82212; File No. SR-NYSEAMER-2017-34); see also Exhibit 5
- NASDAQ OMX BX: Request for Extension of Exemptive Order Pursuant to Rule 612(c) of Regulation NMS BX Retail Price Improvement (RPI) Program (November 28, 2017)