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 January 25 to January 29.
Fees, Fines, Rebates & Claims:
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee (Release No. 34-76995; File No. SR-C2-2016-001; January 28, 2016); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee (Release No. 34-76993; File No. SR-CBOE-2016-004; January 28, 2016); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees (Release No. 34-76990; File No. SR-ISE-2016-04; January 28, 2016); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM Rules at Chapter XV, Section 2 (Release No. 34-76967; File No. SR-NASDAQ-2016-004; January 22, 2016); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Integrated Feed (Release No. 34-76973; File No. SR-NYSE-2016-09; January 26, 2016); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Order Imbalances and NYSE Alerts (Release No. 34-76972; File No. SR-NYSE-2016-08; January 26, 2016); see also Exhibit 5
- NYSE MKT: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE MKT Integrated Feed (Release No. 34-76975; File No. SR-NYSEMKT-2016-11; January 26, 2016); see also Exhibit 5
- NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule to Add an Early Adopter Specialist Credit (Release No. 34-76992; File No. SR-NYSEMKT-2016-10; January 28, 2016); see also Exhibit 5
- NYSE MKT: Notice of Filing of Proposed Rule Change Amending the NYSE MKT Company Guide to Create a New Section 146 Under Which a Certain Category of Newly Listed Issuers Would Be Entitled to Receive Complimentary Products and Services from the Exchange (Release No. 34-76996; File No. SR-NYSEMKT-2016-12; January 28, 2016); see also Exhibit 5
Products:
- NYSE Arca: Notice of Filing of Amendment No. 2 to Proposed Rule Change Amending NYSE Arca Equities Rule 8.600 to Adopt Generic Listing Standards for Managed Fund Shares (Release No. 34-76974; File No. SR-NYSEArca-2015-110; January 26, 2016); see also Exhibit 4 and Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect Changes to the Investment Strategy for the PowerShares S&P 500® Downside Hedged Portfolio (Release No. 34-76981; File No. SR-NYSEArca-2016-20; January 28, 2016)
Trading & Trade Reporting:
- NYSE: Order Instituting Proceedings to Determine Whether to Disapprove a Proposed Rule Change to Establish Rules to Comply with the Quoting and Trading Requirements of the Plan to Implement a Tick Size Pilot Plan Submitted to the Commission Pursuant to Rule 608 of Regulation NMS under the Act (Release No. 34-76971; File No. SR-NYSE-2015-46; January 25, 2016)
- NYSE: Order Approving a Proposed Rule Change Deleting Rule 410B Governing Reporting Requirements for Off-Exchange Transactions (Release No. 34-76983; File No. SR-NYSE-2015-48; January 28, 2016)
- NYSE MKT: Order Approving a Proposed Rule Change Deleting Rule 410B – Equities Governing Reporting Requirements for Off-Exchange Transactions (Release No. 34-76982; File No. SR-NYSEMKT-2015-80; January 28, 2016)
- Phlx: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Make Permanent the Pilot Program Eliminating Minimum Value Sizes for Opening Transactions in New Series of FLEX Options (Release No. 34-76989; File No. SR-Phlx-2015-94; January 28, 2016)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Minor Changes to Rule 1064, Crossing, Facilitation and Solicited Orders (Release No. 34-76984; File No. SR-Phlx-2016-07; January 28, 2016); see also Exhibit 5