New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view the SEC Notices of exchange rule changes and proposals for the week of August 1 – August 5.
Corporate Governance:
- BatsBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC (Release No. 34-78455; File No. SR-BatsBZX-2016-43; August 2, 2016); see also Exhibit 5
- BatsBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC (Release No. 34-78456; File No. SR-BatsBYX-2016-19; August 2, 2016); see also Exhibit 5
- BatsEDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC (Release No. 34-78459; File No. SR-BatsEDGA-2016-17; August 2, 2016); see also Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d and Exhibit 5e
- BatsEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC (Release No. 34-78460; File No. SR-BatsEDGX-2016-36; August 2, 2016); see also Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d and Exhibit 5e
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the BOX Rules Regarding Participants and Associated Persons Who are or Become Subject to a Statutory Disqualification (Release No. 34-78449; File No. SR-BOX-2016-26; August 1, 2016); see also Exhibit 5
Fees, Fines, Rebates & Claims:
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule (Release No. 34-78479; File No. SR-NYSEArca-2016-105; August 4, 2016); see also Exhibit 5
Market Data:
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 11.340(b) to Set Forth the Requirements for the Collection and Transmission of Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-78481; File No. SR-IEX-2016-07; August 4, 2016); see also Exhibit 5
- NASDAQ: Notice of Filing of Proposed Rule Change to Add Nasdaq Rule 7046 (Nasdaq Trading Insights) (Release No. 34-78462; File No. SR-NASDAQ-2016-101; August 2, 2016); see also Exhibit 5
NMS Plans:
- NMS: Notice of Designation of Longer Period for Commission Action on the Proposed National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, the Investors' Exchange, LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. (Release No. 34-78441; File No. 4-698; July 29, 2016)
- NMS: Notice of Filing and Immediate Effectiveness of Amendment No. 4 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. (Release No. 34-78477; File No. 4-668; August 4, 2016); see also Exhibit B
Trading & Trade Reporting:
- BatsBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program (Release No. 34-78454; File No. SR-BatsBZX-2016-46; August 2, 2016); see also Exhibit 5
- BatsEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.21, Retail Orders, to Conform to the Rules of Bats BZX Exchange, Inc. and Bats BYX Exchange, Inc. (Release No. 34-78472; File No. SR-BatsEDGX-2016-35; August 3, 2016); see also Exhibit 5
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopting a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information by Market-Makers and Designated Primary Market-Makers ("DPMs") (Release No. 34-78461; File No. SR-C2-2016-015; August 2, 2016); see also Exhibit 5
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to AIM Retained Orders (Release No. 34-78478; File No. SR-C2-2016-014; August 4, 2016); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Detection of Loss of Connection (Release No. 34-78480; File No. SR-NASDAQ-2016-097; August 4, 2016); see also Exhibit 5
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.