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 SEC Notices of exchange rule changes and proposals for the week of October 24 - October 28.
Clearance & Settlement
- DTC: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearing Agency Investment Policy (Release No. 34-79165; File Nos. SR-DTC-2016-007, SR-FICC-2016-005, SR-NSCC-2016-003; October 26, 2016)
Fees, Fines, Rebates & Claims
- FICC: Order Granting Approval of Proposed Rule Changes to Describe the Backtesting Charge and the Holiday Charge that May Be Imposed on Members (Release No. 34-79167; File Nos. SR-FICC-2016-006, SR-NSCC-2016-004; October 26, 2016)
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule to Adopt Fees and Credits for Transactions Involving Complex Orders (Release No. 34-79157; File No. SR-MIAX-2016-38; October 26, 2016); see also Exhibit 5
Products
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio (Release No. 34-79173; File No. SR-NYSEArca-2016-62; October 27, 2016)
- NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust under NYSE Arca Equities Rule 8.201 (Release No. 34-79171; File No. SR-NYSEArca-2016-101; October 27, 2016)
Trading & Trade Reporting
- Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BYX Rule 11.13, Order Execution and Routing (Release No. 34-79148; File No. SR-BatsBYX-2016-27; October 25, 2016); see also Exhibit 5
- Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 11.13, Order Execution and Routing (Release No. 34-79149; File No. SR-BatsBZX-2016-65; October 25, 2016); see also Exhibit 5
- Bats BZX: Notice of Filing of a Proposed Rule Change to Amend Exchange Rule 11.23, Auctions, to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS (Release No. 34-79162; File No. SR-BatsBZX-2016-61; October 26, 2016); see also Exhibit 5
- Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to EDGA Rule 11.11, Routing to Away Trading Centers (Release No. 34-79150; File No. SR-BatsEDGA-2016-22; October 25, 2016); see also Exhibit 5
- Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend EDGX Rule 11.11, Routing to Away Trade Centers (Release No. 34-79151; File No. SR-BatsEDGX-2016-54; October 26, 2016); see also Exhibit 5
- NASDAQ: Notice of Filing of Proposed Rule Change to Amend Rule 4702 to Adopt a New Retail Post-Only Order (Release No. 34-79163; File No. SR-NASDAQ-2016-141; October 26, 2016); see also Exhibit 5
- NASDAQ: Notice of Filing of Proposed Rule Change to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility (Release No. 34-79158; File No. SR-NASDAQ-2016-131; October 26, 2016); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Commentary .14 to Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) (Release No. 34-79155; File No. SR-NASDAQ-2016-143; October 25, 2016)
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Commentary .14 to Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) (Release No. 34-79154; File No. SR-BX-2016-054; October 25, 2016)
- NASDAQ Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Commentary .14 to Rule 3317 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) (Release No. 34-79156; File No. SR-Phlx-2016-106; October 25, 2016)
Miscellaneous
- NSX: Notice of Filing of a Proposed Rule Change to Amend Exchange Rule 11.26 to Correct Defective Numbering in the Interpretations and Policies of the Rule (Release No. 34-79174; File No. SR-NSX-2016-14; October 27, 2016); see also Exhibit 5
- OCC: Notice of Filing of Proposed Rule Change Related to Compliance with Section 871(m) of the Internal Revenue Code (Release No. 34-79172; File No. SR-OCC-2016-014; October 27, 2016)