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 November 30 to December 4.
Clearance Settlement:
- OCC: Notice of No Objection to Advance Notice Filing to Modify The Options Clearing Corporations Margin Methodology by Incorporating Variations in Implied Volatility (Release No. 34-76548; File No. SR-OCC-2015-804; December 3, 2015)
Fees, Fines, Rebates Claims:
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Record Keeping Change and Substitution Listing Event Fees for Securities Listed under the Rule 5700 Series (Release No. 34-76550; File No. SR-NASDAQ-2015-146; December 3, 2015); see also Exhibit 3, Exhibit 5
FINRA Rulebook Changes:
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules (Release No. 34-76532; File No. SR-FINRA-2015-050; December 1, 2015)
Products:
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend IM-5050-10 to BOX Rule 5050 (Mini Option Contracts) (Release No. 34-76547; File No. SR-BOX-2015-37; December 3, 2015); see also Exhibit 5
- NASDAQ: Order Approving a Proposed Rule Change to List and Trade Shares of the Active Alts Contrarian ETF of ETF is Series Trust I (Release No. 34-76538; File No. SR-NASDAQ-2015-124; December 2, 2015)
Trading Trade Reporting:
- BATS: Notice of Filing of a Proposed Rule Change to Adopt Rule 11.27 Regarding the Quoting and Trading Requirements of the Tick Size Pilot Program (Release No. 34-76552; File No. SR-BATS-2015-108; December 3, 2015); see alsoExhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Order Spread Protection (Release No. 34-76531; File No. SR-BX-2015-074; December 1, 2015); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C to Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders that are Routed on Behalf of Introduced Retail Accounts that are Carried on a Fully Disclosed Basis (Release No. 34-76553; File No. SR-NYSE-2015-59; December 3, 2015); see also Exhibit 5
- NYSE: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish Rules to Comply with the Requirements of the Plan to Implement a Tick Size Pilot Plan Submitted to the Commission pursuant to Rule 608 of Regulation NMS under the Act (Release No. 34-76551; File No. SR-NYSE-2015-46; December 3, 2015)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132 to Delete Supplementary Material .40 Requiring Members Effecting Transactions on the NYSE Trading Floor to Submit Certain Data Elements and Badge Information and to Make a Conforming Change (Release No. 34-76539; File No. SR-NYSE-2015-61; December 2, 2015); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rules 7.44 and 7.44P to Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders that are Routed on Behalf of Introduced Retail Accounts that are Carried on a Fully Disclosed Basis (Release No. 34-76549; File No. SR-NYSEArca-2015-115; December 3, 2015); see also Exhibit 5
- NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C - Equities to Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders that are Routed on Behalf of Introduced Retail Accounts that are Carried on a Fully Disclosed Basis (Release No. 34-76554; File No. SR-NYSEMKT-2015-96; December 3, 2015); see alsoExhibit 5
- NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132 - Equities to Delete Supplementary Material .40 Requiring Members Effecting Transactions on the Equities Trading Floor to Submit Certain Data Elements and Badge Information and to Make a Conforming Change(Release No. 34-76540; File No. SR-NYSEMKT-2015-97; December 2, 2015); see also Exhibit 5