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 SEC notices of exchange rule changes and proposals for the week of December 26 – December 30.
Fees, Fines, Rebates & Claims
- Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Market Data Section of Its Fee Schedule to Adopt Fees for EDGA Summary Depth and Amend Fees for EDGA Depth (Release No. 34-79699; File No. SR-BatsEDGA-2016-32; December 28, 2016); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the Complex Order Book Data Feed (Release No. 34-79709; File No. SR-CBOE-2016-0926; December 29, 2016); see also Exhibit 5
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for C2 Real-Time Data Feeds (Release No. 34-79711; File No. SR-C2-2016-025; December 29, 2016); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7022(d) (Release No. 34-79701; File No. SR-NASDAQ-2016-175; December 29, 2016); see also Exhibit 5
Trading & Trade Reporting
- CBOE: Notice of Filing of a Proposed Rule Change Related to the Nullification and Adjustment of Options Transactions (Release No. 34-79697; File No. SR-CBOE-2016-088; December 27, 2016); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.35(a)(10)(A) (Release No. 34-79705; File No. SR-NYSEArca-2016-169; December 29, 2016); see also Exhibit 5
- CBOE: Notice of Filing of a Proposed Rule Change Related to a Change to the Trading Symbol for P.M.-Settled Options on the Standard & Poor's 500 Index (Release No. 34-79712; File No. SR-CBOE-2016-091; December 29, 2016); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6.54 (Release No. 34-79696; File No. SR-CBOE-2016-093; December 27, 2016); see also Exhibit 5
Products
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Income ETF of First Trust Exchange-Traded Fund IV (Release No. 34-79706; File No. SR-NASDAQ-2016-180; December 29, 2016)
Licensing & Registration
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List (Release No. 34-79710; File No. SR-NYSE-2016-89; December 29, 2016); see also Exhibit 5