Numerous Assorted SRO Rule Changes
New rules and rule proposals from C2, CBOE, EDGA, EDGX, NASDAQ, NYSE Arca, NYSEMKT, OCC, and Phlx:
- C2: Effective Immediately - Rule Change to Make Technical Amendments to the Rules
- C2: Proposed Rule - Change Relating to Complex Order Auctions
- CBOE: Proposed Rule - Change Relating to Complex Order Auctions
- EDGA: Effective Immediately - Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule (See also: Exhibit 5)
- EDGX: Effective Immediately - Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule (See also: Exhibit 5)
- NASDAQ: Extension for Commission Action on Proposed Rule Change to Amend Rule 4626 - Limitation of Liability
- NASDAQ: Effective Immediately - Change Relating to the Customer Rebate to Add Liquidity and Non-Customer Fees for Removing Liquidity in Penny Pilot Options (See also: Exhibit 5)
- NASDAQ: Effective Immediately - Change Relating to Pricing of Options on Facebook, Inc., Google, Inc. and Groupon, Inc. (See also: Exhibit 5)
- NYSE Arca: Final Rule - Amending NYSE Arca Equities Rule 7.37(c) to Provide that the Tracking Order Process Is Available Only for Orders that Are Eligible to Route to an Away Market
- NYSE Arca: Effective Immediately - Change Amending NYSE Arca Equities Rule 7.31(d) To Provide that an Inside Limit Order Designated as a Primary Until 9:45 Order or a Primary after 3:55 Order Will Follow the Order Processing of an Inside Limit Order only When the Order Is on the NYSE Arca Book (See also: Exhibit 5)
- NYSE Arca: Effective Immediately - Amend NYSE Arca Options Rule 6.96 by Adding a New Paragraph (c) that Addresses the Authority of the Exchange or Archipelago Securities LLC (Arca Securities) to Cancel Orders When a Technical or Systems Issue Occurs and to Describe the Operation of an Error Account for Arca Securities (See also: Exhibit 5)
- NYSEMKT: Effective Immediately - Amending Rule 993NY by Adding a New Paragraph (c) that Addresses the Authority of the Exchange or Archipelago Securities LLC (Arca Securities) to Cancel Orders When a Technical or Systems Issue Occurs and to Describe the Operation of an Error Account for Arca Securities (See also: Exhibit 5)
- OCC: Proposed Rule - Relating to the Clearance and Settlement of Over-the-Counter Options
- OCC: Effective Immediately - Rule Change to Correct an Administrative Oversight
- Phlx: Effective Immediately - Rule Change Relating to Routing Fees to NOM (See also: Exhibit 5)
- Phlx: Effective Immediately - Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols (See also: Exhibit 5)
- Phlx: Extension for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols