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 August 29 – September 2.
Clearance & Settlement:
- FICC: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Describe the Blackout Period Exposure Charge That May Be Imposed on GCF Repo Participants (Release No. 34-78720; File No. SR-FICC-2016-003; August 30, 2016)
- NYSE Arca: Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 6.67(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System (Release No. 34-78743; File No. SR-NYSEArca-2016-15; August 31, 2016)
- NYSE MKT: Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System (Release No. 34-78742; File No. SR-NYSEMKT-2016-13; August 31, 2016)
- OCC: Notice of Withdrawal of a Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy (Release No. 34-78724; File No. SR-OCC-2016-004; August 30, 2016)
Corporate Governance:
- FINRA: Notice of Filing of a Proposed Rule Change Amending Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes Relating to Broadening Chairperson Eligibility in Arbitration (Release No. 34-78729; File No. SR-FINRA-2016-033; August 30, 2016)
- PHLX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Prior Rule Change, SR-PHLX-2016-38 (Release No. 34-78740; File No. SR-PHLX-2016-88; August 31, 2016); see also Exhibit 3, Exhibit 3a
Fees, Fines, Rebates & Claims:
- Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BYX Exchange, Inc. (Release No. 34-78747; File No. SR-BatsBYX-2016-23; September 1, 2016)
- Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation of Amendments to the Options Regulatory Fee (Release No. 34-78746; File No. SR-BatsBZX-2016-52; September 1, 2016)
- Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees (Release No. 34-78748; File No. SR-BatsEDGA-2016-20; September 1, 2016)
- Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation of the Options Regulatory Fee (Release No. 34-78745; File No. SR-BatsEDGX-2016-48; September 1, 2016)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-78741; File No. SR-CBOE-2016-063; August 31, 2016); see also Exhibit 5
- NASDAQ: Notice of Filing of Proposed Rule Change Related to the NASDAQ Options Market LLC's Pricing at Chapter XV, Section 2(6) (Release No. 34-78749; File No. SR-NASDAQ-2016-121; September 1, 2016)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List to Amend the Date That Two Wireless Connections to Third-Party Data Feeds Are Expected to Be Available (Release No. 34-78753; File No. SR-NYSE-2016-61; September 1, 2016)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule And, the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Amend the Date That Two Wireless Connections to Third Party Data Feeds Are Expected to Be Available (Release No. 34-78752; File No. SR-NYSEArca-2016-122; September 1, 2016)
- NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 9217 to Add a Provision and Related Fines Addressing Trade-Through Violations (Release No. 34-78721; File No. SR-NYSEMKT-2016-75; August 30, 2016); see also Exhibit 5
- NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Amend the Date That Two Wireless Connections to Third-Party Data Feeds Are Expected to Be Available (Release No. 34-78751; File No. SR-NYSEMKT-2016-82; September 1, 2016)
Products:
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short-Term Option Series Program (Release No. 34-78715; File No. SR-ISE-2016-18; August 29, 2016); see also Exhibit 5
- NASDAQ: Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Exchange-Traded Managed Funds (Release No. 34-78738; File No. SR-NASDAQ-2016-103; August 16, 2016)
- NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Regarding Use of Rule 144A Securities by the Fidelity Corporate Bond ETF, Fidelity Investment Grade Bond ETF, Fidelity Limited Term Bond ETF, and Fidelity Total Bond ETF (Release No. 34-78712; File No. SR-NYSEArca-2016-70; August 29, 2016)
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend NYSE Arca Equities Rule 8.700 and to List and Trade Shares of the Managed Emerging Markets Trust under Proposed Amended NYSE Arca Equities Rule 8.700 (Release No. 34-78727; File No. SR-NYSEArca-2016-96; August 30, 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 BlackRock Government Collateral Pledge Unit under NYSE Arca Equities Rule 8.600 (Release No. 34-78728; File No. SR-NYSEArca-2016-63; August 30, 2016)
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Listing and Trading of Shares of Powershares Government Collateral Pledge Portfolio under NYSE Arca Equities Rule 8.600 (Release No. 34-78750; File No. SR-NYSEArca-2016-97; September 1, 2016)
- NYSE MKT: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Certain Rules Relating to Flexible Exchange Options (Release No. 34-78744; File No. SR-NYSEMKT-2016-48; August 31, 2016)
Trading & Trade Reporting:
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1042A, Exercise of Options Contracts and Options Floor Procedure Advice G-1, Index Option Exercise Advice Forms (Release No. 34-78714; File No. SR-Phlx-2016-84; August 29, 2016); see also Exhibit 5
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