Weekly Roundup of Exchange Rules by Category
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of March 20 to March 24, 2017.
Clearance & Settlement
- DTC: Notice of Filing of Proposed Rule Change to Establish a Sub-Account for Use with the DTCC Euroclear Global Collateral Ltd Collateral Management Service and Provide for the Authorization of a Representative to Receive Information about the Sub-Account (Release No. 34-80280; File No. SR-DTC-2017-001; March 20, 2017); see also Exhibit 5
- FICC: Notice of Filing of Proposed Rule Change to Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes (Release No. 34-80303; File No. SR-FICC-2017-005; March 24, 2017); see also Exhibit 5
- NASDAQ BX: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Shorten the Settlement Cycle from T+3 to T+2 (Release No. 34-80282; File No. SR-BX-2017-013; March 21, 2017); see also Exhibit 5, Amendment One
Fees, Fines, Rebates & Claims
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MDX Fees Schedule (Release No. 34-80286; File No. SR-CBOE-2017-022; March 21, 2017); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services (Release No. 34-80285; File No. SR-NYSEArca-2017-27; March 21, 2017); see also Exhibit 5
Trading & Trade Reporting
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Complex Orders (Release No. 34-80281; File No. SR-C2-2017-010; March 20, 2017)
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Rule 6.15 (Release No. 34-80298; File No. SR-C2-2017-011; March 22, 2017)
- CBOE: Notice of Filing of a Proposed Rule Change Related to Complex Orders (Release No. 34-80279; File No. SR-CBOE-2017-019; March 20, 2017); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors (Release No. 34-80284; File No. SR-MIAX-2017-13; March 21, 2017); see also Exhibit 5
- NMS: Notice of Filing and Immediate Effectiveness of the Twenty-Second Charges Amendment to the Second Restatement of the CTA Plan and the Thirteenth Charges Amendment to the Restated CQ Plan (Release No. 34-80300; File No. SR-CTA/CQ-2017-02; March 23, 2017)
Business Continuity
- ICEEU: Notice of Filing Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Revise the ICE Clear Europe Clearing Rules Relating to the Application of Default Provisions in the Event of a Resolution Proceeding (Release No. 34-80304; File No. SR-ICEEU-2017-002; March 24, 2017)
Products
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitcoin Investment Trust under NYSE Arca Equities Rule 8.201 (Release No. 34-80297; File No. SR-NYSEArca-2017-06; March 22, 2017)
- NYSE Arca: Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1, 3, and 4 Thereto, to List and Trade Shares of the ProShares UltraPro 3x Crude Oil ETF and ProShares UltraPro 3x Short Crude Oil ETF under NYSE Arca Equities Rule 8.200 (Release No. 34-80296; File No. SR-NYSEArca-2017-07; March 22, 2017)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Section VII (A) (Release No. 34-80305; File No. SR-Phlx-2017-25; March 24, 2017); see also Exhibit 5
Miscellaneous
- NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Organizational Documents, Company Guide, Price List, Fee Schedules, Independence Policy and Rules to Change the Name of the Exchange to NYSE American LLC (Release No. 34-80283; File No. SR-NYSEMKT-2017-14; March 21, 2017); see also Exhibit 5