Numerous Assorted Securities SRO Rule Changes
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.
- BATS: Effective Immediately - Amend BATS Rules in Connection with the Elimination of Discretionary Orders for BATS Options (See also: Exhibit 5)
- BOX: Proposed Rule - Change to List and Trade Option Contracts Overlying 1,000 Shares of the SPDR S&P 500 Exchange-Traded Fund (See also: Exhibit 5)
- C2: Effective Immediately - Rule Change Relating to Amending the Fees Schedule
- ICEEU: Notice of Withdrawal of Proposed Rule Change to Clear Western European Sovereign CDS Contracts
- ISE: Effective Immediately - Rule Change to Amend Certain Market Maker Fees (See also: Exhibit 5)
- NASDAQ: Effective Immediately - Amend NASDAQ Rule 4756 and Rule 4763 Regarding Modification of Previously Entered Orders
- NYSE: Proposed Rule - Amend the Attestation Requirement of Rule 107C To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders" (See also: Exhibit 5)
- NYSE: Effective Immediately - Amend NYSE Rule 80C, which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014 (See also: Exhibit 5)
- NYSE Arca: Effective Immediately - Amend the NYSE Arca Options Fee Schedule to Revise Qualification Thresholds for Tiered Customer Posting Credits (See also: Exhibit 5)
- NYSE Arca: Effective Immediately - Amend NYSE Arca Equities Rule 7.11, which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014 (See also: Exhibit 5)
- NYSEMKT: Proposed Rule - Amend the Attestation Requirement of Rule 107C - Equities To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders" (See also: Exhibit 5)
- NYSEMKT: Effective Immediately - Amend Rule 80C - Equities, which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014 (See also: Exhibit 5)