Assorted Securities SRO Rule Changes
New rules and rule proposals from C2, CBOE, FINRA, ICEEU, NASDAQ, NSCC, NYSE, NYSE Arca, NYSEMKT, and OCC. Click on the links to view the SEC's notices of each rule change and proposal.
- C2: Effective Immediately - Rule Change Relating to System Access, Connectivity, and Testing
- CBOE: Effective Immediately - Rule Change Relating to System Access, Connectivity, and Testing
- FINRA: Order Approving Proposed Rule Change to Amend the By-Laws of FINRA Dispute Resolution, Inc. to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified as Industry Members under the By-Laws
- ICEEU: Proposed Rule - Change to Provide for a Customer Clearing Model for CDS Products and to Amend, Clarify and Consolidate Certain Rules and Procedures
- NASDAQ: Effective Immediately - Rule Change, as Modified by Amendment No. 1 Thereto, to Amend Several NASDAQ Rules to Reflect Changes to Rules of the Financial Industry Regulatory Authority
- NSCC: Effective Immediately - Rule Change to Modify Rule 52 (Mutual Fund Services) and Addendum A (NSCC's Fee Structure)
- NYSE: Effective Immediately - Rule Change Proposing to Make Changes to Certain Fees and Credits within the New York Stock Exchange LLC Price List (see also: Exhibit 5)
- NYSE Arca: Order Granting Approval of Proposed Rule Change to List and Trade Shares of the PowerShares S&P 500 Downside Hedged Portfolio under NYSE Arca Equities Rule 8.600
- NYSE Arca: Effective Immediately - Rule Change to Amend the NYSE Arca Options Fee Schedule to Remove Dividend Spreads from the List of Strategy Executions for Which Fee Caps Apply (see also: Exhibit 5)
- NYSEMKT: Effective Immediately - Rule Change to Amend the NYSE Amex Options Fee Schedule to Remove Dividend Spreads from the List of Strategy Executions for Which Fee Caps Apply (see also: Exhibit 5)
- OCC: Effective Immediately - Rule Change to Clarify the Applicability of OCC's Rules Governing Delivery of Treasury Securities Underlying Treasury Futures Contracts to Futures on Treasury Securities with Maturities of Greater Than 25 Years