A Great Many Securities SRO Rule Changes
New rules and rule proposals have been announced from the SEC. Click on the links to view the SEC's notices of each rule change and proposal.
- BATS: Order Granting Approval of Proposed Rule Change to List and Trade Shares of the iShares Sovereign Screened Global Bond Fund
- FINRA: Proposed Rule - Change to Establish Optional TRACE Data Delivery Services and Related Fees (See also: Exhibit 5)
- FINRA: Notice of Filing of Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of a Proposed Rule Change Relating to FINRA Rule 8210
- ISE: Effective Immediately - Rule Change Regarding Payment for Order Flow Fees (See also: Exhibit 5)
- NASDAQ: Effective Immediately - Rule Change for the NASDAQ Options Market ("NOM") with Respect to the Authority of the Exchange or Nasdaq Options Services LLC ("NOS") to Cancel Options Orders when a Technical or System Issue Occurs and to Describe the Operation of an Error Account for NOS (See also: Exhibit 5)
- NASDAQ: Effective Immediately - Rule Change to Amend and Adopt Several NASDAQ Rules to Reflect Changes to Rules of the Financial Industry Regulatory Authority (FINRA) (See also: Exhibit 5)
- NASDAQ OMX BX: Effective Immediately - Rule Change with Respect to the Authority of the Exchange or Nasdaq Options Services LLC ("NOS") to Cancel Options Orders when a Technical or System Issue Occurs and to Describe the Operation of an Error Account for NOS (See also: Exhibit 5)
- NSX: Effective Immediately - Rule Change to Amend its Fee and Rebate Schedule
- NYSE Arca: Proposed Rule - Change Amending NYSE Arca Equities Rule 7.31(h)(7) to Permit PL Select Orders to Interact with Incoming Orders Larger Than the Size of the PL Select Order (See also: Exhibit 5)
- NYSE Arca: Effective Immediately - Rule Change to Allow for the Split-Price Priority Provisions to Apply to Open Outcry Trading of Cabinet Trades (See also: Exhibit 5)
- NYSEMKT: Effective Immediately - Rule Change Amending Exchange Rule 952NY with Respect to Opening Trading in an Options Series (See also: Exhibit 5)
- NYSEMKT: Effective Immediately - Rule Change Proposing to Modify the NYSE Amex Options Fee Schedule Regarding the Manner in which Funds from Marketing Charges Are Controlled (See also: Exhibit 5)
- NYSEMKT: Effective Immediately - Rule Change Amending Exchange Rule 903 to Provide that the Exchange May Not List Short Term Option Series Expirations that Coincide with the Expiration of Quarterly Option Series on the Same Class
- Phlx: Effective Immediately - Proposal with Respect to the Authority of the Exchange or Nasdaq Options Services LLC ("NOS") to Cancel Options Orders when a Technical or System Issue Occurs and to Describe the Operation of an Error Account for NOS (See also: Exhibit 5)