Weekly Roundup of SRO 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 the rule changes for the week of March 3 - March 7:

Trading

• NYSE: Rule Change Amending Supplementary Material .20 to NYSE Rule 103 Setting Forth Net Liquid Assets Requirements for Member Organizations that Operate as Designated Market Maker Units
• NYSE Arca: Rule Change Amending Its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange
• NYSE MKT: Rule Change Amending Its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange
• CBOE: Proposed Rule Change, as Modified by Amendment 1, to Amend Its Rules Related to Complex Orders
• MIAX: Proposed Rule Change to Adopt the MIAX Price Improvement Mechanism
• NSX: Effective Immediately - Rule Change to Amend Its Fee and Rebate Schedule to Adopt a New Pricing Model and Make Other Conforming Changes (see also Exhibit 5)
• BATS: Rule Change, as Modified by Amendment No. 1 Thereto, to Modify the BATS Options Opening Process
• NMS: Seventh Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Various Exchanges
• NYSE MKT: Proposed Rule Change Adopting Rule 971.1NY for An Electronic Price Improvement Auction for Single-Leg Orders (see also Exhibit 5)

Products

• NYSE Arca: Order Whether to Approve or Disapprove Proposed Rule Change Relating to the Listing and Trading of Shares of Nine Series of the IndexIQ Active ETF Trust Under NYSE Arca Equities Rule 8.600
• EDGA: Effective Immediately - Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule (see also Exhibit 5)
• EDGX: Effective Immediately - Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule (see also Exhibit 5)
• NASDAQ OMX BX: Effective Immediately - Rule Change Relating to the Establishment of Fees for New Optional Means for Clients to Receive BX TotalView ITCH Market Data

Governance

• OCC: Rule Change Concerning Amendments to the Charters for the Membership/Risk Committee, Audit Committee and Performance Committee of OCC's Board of Directors

Miscellaneous

• CBOE: Rule Change Relating to Supervision
• OCC: Proposed Rule Change to Comply With Recently Adopted Commodity Futures Trading Commission Requirements for Derivatives Clearing Organizations That Accept Deposits of Futures Customer Funds
• BOX: Effective Immediately - Clerical and Non-Controversial Rule Changes (see also Exhibit 5)