Assorted Securities SRO Rule Changes Effective Immediately
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.
- CFE: Effective Immediately - Rule Change Regarding Minor Rule Violations (See also: Exhibit 5)
- FINRA: Proposed Rule Change Relating to Amendments to the Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
- ISE: Effective Immediately - Rule Change to Amend the Schedule of Fees (See also: Exhibit 5)
- ISE: Effective Immediately - Rule Change to Amend the Schedule of Fees (See also: Exhibit 5)
- NASDAQ: Effective Immediately - Rule Change to Modify an Optional Historical Research and Administrative Report Fee and Related NASDAQ Rule 7022 Revisions
- NASDAQ: Effective Immediately - Rule Change to Modify NASDAQ's Order Execution Rebates and Investor Support Program (See also: Exhibit 5)
- NASDAQ: Effective Immediately - Rule Change Relating to Fees for Certain Co-Location Services (See also: Exhibit 5)
- NYSEMKT: Effective Immediately - Rule Change Amending Its Price List with Respect to Regulatory Fees Related to the Central Registration Depository, Which Are Collected by the Financial Industry Regulatory Authority, Inc. (See also: Exhibit 5)
- NYSE: Order Granting Approval to Proposed Rule Change Amending the Listed Company Manual Section 204.00 to Create a Uniform Method for a Company to Provide Notice to the Exchange When Required Pursuant to Sections 204.06, 204.12, 204.17, 204.21, 204.22, 311.01, 401.02, and 601.00 of the Listed Company Manual, and to Make Conforming Changes
- NYSEMKT: Effective Immediately - Rule Change Amending Its Price List with Respect to Regulatory Fees Related to the Central Registration Depository, Which Are Collected by the Financial Industry Regulatory Authority, Inc. (See also: Exhibit 5)