Weekly Roundup of Exchange Rule Changes by Category

New SRO rules and rule proposals were announced by the SEC. Click on the links to view the SEC's notices of exchange rule changes and proposals for the week of January 26 – January 30.

Clearance Settlement:

• BATS: Effective Immediately - Rule Change to Amend Rules 2.5(c)(4) and 11.5 to Harmonize with EDGA and EDGX Rules, its Membership Requirements Applicable to Clearing Agencies that Clear Transactions for Members (see also Exhibit 5)
• BYX: Effective Immediately - Rule Change to Amend Rules 2.5(c)(4) and 11.5 to Harmonize with EDGA and EDGX Rules, its Membership Requirements Applicable to Clearing Agencies that Clear Transactions for Members (see also Exhibit 5)
• FICC: Rule Change to Amend the Government Securities Division Rulebook and the Mortgage Backed Securities Clearing Rules in Order to Move the Time of Novation with Respect to Certain Trades, Include Rules to Reflect Existing Processes, and Clarify Certain Rules to Reflect Current Practices
• ICEEU: Accelerated Approval of Proposed Rule Change Related to New Haircuts
• OCC: Proposed Rule Change Concerning a Proposed Capital Plan for Raising Additional Capital That Would Support the Options Clearing Corporation's Function as a Systemically Important Financial Market Utility

Fees Rebates:

• BATS: Effective Immediately - Rule Change to Amend the Fees Applicable to Securities Listed on BATS Exchange, Inc. pursuant to Rule 14.13 (see also Exhibit 5)
• C2: Effective Immediately - Rule Change to Amend the Fees Schedule (see also Exhibit 5)
• CBOE: Effective Immediately - Rule Change to Amend the Fees Schedule (see also Exhibit 5)
• Phlx: Effective Immediately - Rule Change Relating to MNX and NDX (see also Exhibit 5)
• Phlx: Effective Immediately - Rule Change to Amend the Exchange's Pricing Schedule Under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share (see also Exhibit 5)

Market Data:

• NYSE: Effective Immediately - Rule Change Establishing the NYSE Integrated Feed Data Feed
• NYSE MKT: Effective Immediately - Rule Change Establishing the NYSE MKT Integrated Feed Data Feed

Miscellaneous:

• BOX: Effective Immediately - Rule Change to Extend the Deadline for the VPR Program to January 14, 2015
• MIAX: Proposed Rule Change to Amend MIAX Rule 402 (see also Exhibit 5)
• NYSE: Effective Immediately - Rule Change with the Proposed Amendment of the Restated Certificate of Incorporation of Exchange Subsidiary NYSE Regulation, Inc. (see also Exhibit 5)
• NYSE Arca: Proposed Rule Change Amending NYSE Arca Equities Rule 5.2(j)(3), Commentary .02 Relating to Listing of Investment Company Units Based on Municipal Bond Indexes (see also Exhibit 5)

Products:

• MIAX: Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Options on Shares of the Market Vectors ETFs

Trading Quotation:

• CBOE: Proposed Rule Change to Amend Exchange Rules Related to Order Tickets
• ISE: Longer Period for Commission Action on Proposed Rule Change to Modify the Opening Process
• NASDAQ: Rule Change Relating to the NASDAQ Opening and Halt Cross
• NASDAQ: Effective Immediately - Rule Change Regarding the Short Term Option Series Program (see also Exhibit 5)
• NASDAQ OMX BX: Effective Immediately - Rule Change Regarding the Short Term Option Series Program (see also Exhibit 5)
• NASDAQ OMX BX: Rule Change Relating to Directed Market Makers
• Phlx: Effective Immediately - Rule Change Regarding the Short Term Option Series Program (see also Exhibit 5)

See also: Weekly Roundup of Exchange Rule Changes by Category (with Fitzgerald Comment) (January 23, 2015); Weekly Roundup of Exchange Rule Changes (by Category) (January 16, 2015) Weekly Roundup of Exchange Rule Changes (by Category) (January 12, 2015).