Weekly Roundup of Exchange Rules by Category
New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view the SEC's notices of exchange rule changes and proposals from November 23 to November 25.
Business Continuity:
- NSX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 2.13, Mandatory Participation in Testing of Backup Systems (Release No. 34-76497; File No. SR-NSX-2015-06; November 20, 2015); see also Exhibit 5
Clearance Settlement:
- DTC: Notice of Filing of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks (Release No. 34-76510; File No. SR-DTC-2015-011; November 23, 2015); see also Exhibit 5
- OCC: The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Modify The Options Clearing Corporations Margin Methodology by Incorporating Variations in Implied Volatility(Release No. 34-76496; File No. SR-OCC-2015-016; November 20, 2015)
Fees, Fines, Rebates Claims:
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees (Release No. 34-76507; File No. SR-ISE-2015-41; November 23, 2015); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees and Rebates Related to BX Price Improvement Auction(PRISM) (Release No. 34-76520; File No. SR-BX-2015-071; November 24, 2015)
- Phlx: Order Approving a Proposed Rule Change Relating to the Active Specialized Quote Feed Port Fee (Release No. 34-76513; File No. SR-Phlx-2015-79; November 24, 2015)
Trading Trade Reporting:
- BATS: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Disruptive Quoting and Trading Activity(Release No. 34-76470; File No. SR-BATS-2015-101; November 18, 2015); see also Exhibit 4, Exhibit 5
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) (Release No. 34-76519; File No. SR-FINRA-2015-051; November 24, 2015); see also Exhibit 5
- ISE: Notice of Filing of Proposed Rule Change Relating Alternative Primary Market Makers (Release No. 34-76508; File No. SR-ISE-2015-42; November 23, 2015); see also Exhibit 5
- ISE: Notice of Filing of Proposed Rule Change to Amend Rule 804(g) (Release No. 34-76506; File No. SR-ISE-2015-30; November 23, 2015); see also Exhibit 5
- ISE Gemini: Notice of Filing of Proposed Rule Change to Amend Rule 804 (g) (Release No. 34-76505; File No. SR-ISEGemini-2015-17; November 23, 2015); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC to Amend Exchange Rule 519(Release No. 34-76491; File No. SR-MIAX-2015-64; November 20, 2015); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Order Spread Protection (Release No. 34-76499; File No. SR-NASDAQ-2015-142; November 20, 2015); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include Managed Fund Shares in the Lead Market Maker Program (Release No. 34-76518; File No. SR-NASDAQ-2015-145; November 24, 2015); see alsoExhibit 5