Assorted Immediately Effective and Proposed Securities SRO Rule Changes, Including the Extension of FINRA Notice on Application of Rules to Security-Based Swaps
New SRO rules and rule proposals have been announced by the SEC. Click on the links to view the SEC's notices of each rule change and proposal.
- BOX: Effective Immediately - Rule Change to Increase the Position and Exercise Limits for Options on the iShares MSCI Emerging Markets Index Fund to 500,000 Contracts (See also: Exhibit 5)
- C2: Effective Immediately - Rule Change Relating to the Options Regulatory Fee
- CBOE: Effective Immediately - Rule Change Relating to the Options Regulatory Fee
- FINRA: Effective Immediately - Rule Change to Add the Term Chief Legal Officer to the Definition of General Counsel
- FINRA: Effective Immediately - Rule Change to Extend the Expiration Date of FINRA Rule 0180
- FINRA: Effective Immediately - Rule Change to Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program to Qualify to Engage in a Security Futures Business (See also: Exhibit 5)
- MSRB: Final Rule Change Consisting of Amendments to Streamline New Issue Information Submission Requirements under MSRB Rules G-32 and G-34
- NYSE: Effective Immediately - Rule Change to Amend Sections 902.02 and 902.03 of the New York Stock Exchange LLC Listed Company Manual to Introduce an Initial Application Fee (See also: Exhibit 5)
- NYSE Arca: Proposed Rule Change to List and Trade PIMCO Foreign Currency Strategy Exchange-Traded Fund under NYSE Arca Equities Rule 8.600
- NYSE Arca: Effective Immediately - Rule Change Amending NYSE Arca Rule 6.65 - Trading Halts and Suspensions (See also: Exhibit 5)
- NYSEMKT: Effective Immediately - Rule Change to Amend Section 140 of the NYSE MKT LLC Company Guide to Introduce an Initial Application Fee (See also: Exhibit 5)
- Phlx: Effective Immediately - Rule Change Relating to the Permit and Order Entry Port Fee (See also: Exhibit 5)