Weekly Roundup of Exchange Rule Changes
New SRO rules and rule proposals were announced by the SEC. Click on the links below to view the SEC's notices of exchange rule changes and proposals for the week of March 9 - March 13.
Clearance Settlement:
- DTC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Revisions to the DTC Settlement Service Guide (Release No. 34-74485; File No. SR-DTC-2015-02; March 12, 2015); see also Exhibit 5
- ICC: Order Approving Proposed Rule Change to Revise the ICC Treasury Operations Policies and Procedures (Release No. 34-74456; File No. SR-ICC-2015-002; March 6, 2015)
Fees, Fines Rebates:
- BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. (Release No. 34-74484; File No. SR-BATS-2015-20; March 12, 2015); see also Exhibit 5
- EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc. (Release No. 34-74462; File No. SR-EDGA-2015-13; March 10, 2015); see also Exhibit 5
- EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc. (Release No. 34-74464; File No. SR-EDGX-2015-13; March 10, 2015); see also Exhibit 5
- EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc. (Release No. 34-74463; File No. SR-EDGX-2015-12; March 10, 2015); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Market Maker Posting Credit Tiers (Release No. 34-74492; File No. SR-NYSEArca-2015-13; March 12, 2015); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebate Program, Multiply Listed Options, PIXL Pricing (Release No. 34-74460; File No. SR-Phlx-2015-21; March 10, 2015); see also Exhibit 5
Trading Quotation:
- CHX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning the CHX Routing Services (Release No. 34-74487; File No. SR-CHX-2015-02; March 12, 2015)
- ISE: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify ISE's Opening Process (Release No. 34-74465; File No. SR-ISE-2014-24; March 10, 2015)