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 June 17 to June 21, 2017.
Business Continuity
- CBOE: Order Granting Approval of Proposed Rule Change Relating to Disaster Recovery (Release No. 34-81175; File No. SR-CBOE-2017-044; July 20, 2017)
Fees, Fines, Rebates & Claims
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Updates for the CBOE Fees Schedule (Release No. 34-81170; File No. SR-CBOE-2017-055; July 19, 2017); see also Exhibit 5
- GEMX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 912 (Release No. 34-81180; File No. SR-GEMX-2017-24; July 20, 2017)
- ISE: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 912 (Release No. 34-81181; File No. SR-ISE-2017-52; July 20, 2017)
- MRX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 912 (Release No. 34-81178; File No. SR-MRX-2017-08; July 20, 2017)
- NASDAQ OMX BX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 6896 and Chapter IX, Section 9 (Release No. 34-81179; File No. SR-BX-2017-029; July 20, 2017)
Market Data and Reporting
- Bats BZX, Bats EDGX, BOX, BX, C2, CBOE, FINRA, IEX, ISE, MIAX, NASDAQ, NYSE, NYSE Arca, NYSE MKT, PEARL, PHLX: Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT (Release No. 34-81145; File Nos. SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-PHLX-2017-43, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30; July 14, 2017)
Products and Listings
- 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, as Modified by Amendment No. 3, Relating to the Listing and Trading of Shares of the USCF Canadian Crude Oil Index Fund under NYSE Arca Equities Rule 8.200 (Release No. 34-81177; File No. SR-NYSEArca-2016-177; July 20, 2017)
Trading & Trade Reporting
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program (Release No. 34-80882; File No. SR-C2-2017-020; June 8, 2017)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program (Release No. 34-80883; File No. SR-CBOE-2017-045; June 8, 2017)
- CBOE: Notice of Withdrawal of a Proposed Rule Change Related to Rules regarding the Responsibility for Ensuring Compliance with Priority and Allocation Requirements and Trade-Through Prohibitions in Open Outcry Trading (Release No. 34-80859; File No. SR-CBOE-2016-082; June 5, 2017)
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Quotations (Release No. 34-81174; File No. SR-GEMX-2017-32; July 20, 2017); see also Exhibit 5
- ICC: Notice of Filing of Amendment No. 1 and Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to ICC's End-of-Day Price Discovery Policies and Procedures (Release No. 34-80858; File No. SR-ICC-2017-003; June 5, 2017)
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX Options Rule 406, Long Term Option Contracts (Release No. 34-80869; File No. SR-MIAX-2017-27; June 7, 2017); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Qualification Criteria under the Qualified Market Maker Program at Rule 7014 (Release No. 34-81182; File No. SR-NASDAQ-2017-070; July 20, 2017); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance Anti-Internalization Functionality (Release No. 34-81171; File No. SR-NASDAQ-2017-069; July 19, 2017); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Non-Regular Way Trading on the Exchange (Release No. 34-81176; File No. SR-NYSE-2017-33; July 20, 2017); see also Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX PEARL Rule 406, Long Term Option Contracts (Release No. 34-80868; File No. SR-PEARL-2017-28; June 6, 2017); see also Exhibit 5