Numerous Securities SRO Rule Changes
New rules and rule proposals from BOX, CBOE, FICC, MSRB, NYSE, NYSE Arca, NYSEMKT, OCC, and Phlx. Click on the links to view the SEC's notices of each rule change and proposal.
- BOX: Effective Immediately - Proposal Regarding Quote Mitigation (See also: Exhibit 5)
- CBOE: Effective Immediately - Rule Change Related to Extending the FLEX Exercise Settlement Values Pilot
- CBOE: Effective Immediately - Rule Change to CBSX Rule 53.24
- CBOE: Effective Immediately - Rule Change to Amend the Fees Schedule (See also: Exhibit 5)
- FICC: Effective Immediately - Rule Changes to Clarify a Stated Policy with Regard to Existing Provisions of the Loss Allocation Rules of the Government Securities Division and the Mortgage-Backed Securities Division
- MSRB: Proposed Rule - Amendments to Streamline New Issue Information Submission Requirements under MSRB Rules G-32 and G-34
- NYSE: Effective Immediately - Rule Change to Temporarily Suspend Those Aspects of Rules 36.20, 36.21, and 36.30 That Would Not Permit Designated Market Makers and Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy from October 31, 2012 until the Earlier of When Phone Service Is Fully Restored or Friday, November 2, 2012.
- NYSE: Effective Immediately - Rule Change to Amend the Transaction Fees on the New York Stock Exchange
- NYSE: Order Granting Approval of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual, Which Describes Certain Complimentary Products and Services That Are Offered to Certain Issuers
- NYSE Arca: Extension of Commission Action on Proposed Rule Change to Amend Commentary .06 to NYSE Arca Options Rule 6.4 to Permit the Exchange to List Additional Strike Prices until the Close of Trading on the Second Business Day Prior to Monthly Expiration in Unusual Market Conditions
- NYSEMKT: Effective Immediately - Rule Change to Amend the NYSE Amex Options LLC Fee Schedule to Amend the Fees for Specialists and eSpecialists Relating to Qualified Contingent Cross Orders (See also: Exhibit 5)
- NYSEMKT: Effective Immediately - Rule Change to Temporarily Suspend Those Aspects of Rules 36.20 - Equities, 36.21 - Equities, and 36.30 - Equities That Would Not Permit Designated Market Makers and Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor following the Aftermath of Hurricane Sandy from October 31, 2012 until the Earlier of When Phone Service Is Fully Restored or Friday, November 2, 2012
- NYSEMKT: Extension of Commission Action on Proposed Rule Change to Amend Commentary .04 to NYSE Amex Options Rule 903 to Permit the Exchange to List Additional Strike Prices until the Close of Trading on the Second Business Day Prior to Monthly Expiration in Unusual Market Conditions
- NYSEMKT: Effective Immediately - Rule Change Amending Rule 968NY to Allow for the Split-Price Priority Provisions to Apply to Open Outcry Trading of Cabinet Trades (See also: Exhibit 5)
- OCC: Order Approving Proposed Rule Change Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis
- OCC: Notice of No Objection to Advance Notice Filing Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Branch Offices (See also: Exhibit 5 and Exhibit 3)