Click on the links to view SEC notices of exchange rule changes and proposals for the week of April 23 to April 27, 2018.
Fees, Fines, Rebates & Claims
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Transaction Fees In Connection with the Exchange's Trading of UTP Securities on Pillar (Release No. 34-83113; File No. SR-NYSE-2018-15); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Maker Plus Program Under the Schedule of Fees (Release No. 34-83105; File No. SR-ISE-2018-36); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Regular Order Fees and Rebates (Release No. 34-83104; File No. SR-ISE-2018-37); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning the VIX Large Trade Discount Program (Release No. 34-83093; File No. SR-CBOE-2018-031); see also Exhibit 5
Products and Listings
- CboeBZX: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the Cboe Vest S&P 500 Premium Income ETF Under Rule 14.11(c)(4) (Release No. 34-83114; File No. SR-CboeBZX-2018-005)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.11 of the Exchange's Listed Company Manual Concerning Fees Applicable to Acquisition Companies for Shares Issued Contingent on the Consummation of a Business Combination (Release No. 34-83117; File No. SR-NYSE-2018-14); see also Exhibit 5
- NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E (Release No. 34-83094; File No. SR-NYSEArca-2018-02)
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to update Rule 6090(a)(4)(ii) to note the expiration date of the pilot program for the listing and trading of options settling to the RealVol SPY Index ("Index") (Release No. 34-83103; File No. SR-BOX-2018-12); see also Exhibit 5
- Cboe BZX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade on the Exchange Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares (Release No. 34-83102; File No. SR-CboeBZX-2018-019)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 24.6, Days and Hours of Business (Release No. 34-83112; File No. SR-CBOE-2018-030)
- NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt New NYSE Arca Rule 8.900-E and to List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF under Proposed NYSE Arca Rule 8.900-E (Release No. 34-83120; File No. SR-NYSEArca-2018-04)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change in Connection with the Migration of SPX Options from the Hybrid 3.0 System to the Hybrid Trading System (Release No. 34-83089; File No. SR-CBOE-2018-029)
- NYSE Arca: Notice of Filing of Proposed Rule Change Regarding the Natixis Loomis Sayles Short Duration Income ETF (Release No. 34-83122; File No. SR-NYSEArca-2018-25)
Trading & Trade Reporting
- GEMX: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Introduce the ATR Protection for Orders that are Routed to Away Markets (Release No. 34-83118; File No. SR-GEMX-2018-09)
- ISE: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Introduce the ATR Protection for Orders that are Routed to Away Markets (Release No. 34-83119; File No. SR-ISE-2018-16)
- MRX: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Introduce the ATR Protection for Orders that are Routed to Away Markets (Release No. 34-83116; File No. SR-MRX-2018-08)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4120 to Correct a Citation (Release No. 34-83091; File No. SR-NASDAQ-2018-029)
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Temporary Exception that Permits Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities (Release No. 34-83098; File No. SR-FINRA-2018-014); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Delay for the Re-introduction of Concurrent Complex Order Auction Functionality (Release No. 34-83101; File No. SR-ISE-2018-40); see also Exhibit 5
- NYSENAT: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Support the Re-launch of NYSE National, Inc. on the Pillar Trading Platform (Release No. 34-83100; File No. SR-NYSENAT-2018-02)
- NASDAQ: Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend Nasdaq Rule 4703(a) to Allow Members to Designate an Order with a RTFY or SCAN Routing Order Attribute to Activate at 7:00 a.m. ET (Release No. 34-83125; File No. SR-NASDAQ-2017-088)
Licensing & Registration
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 602, Continuing Market Maker Registration (Release No. 34-83092; File No. SR-PEARL-2018-11); see also Exhibit 5
Miscellaneous
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Rules of the Rule 7000A Series to Make Conforming and Technical Changes (Release No. 34-83115; File No. SR-NASDAQ-2018-030); see also Exhibit 5
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