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 October 17 – October 21.
Fees, Fines, Rebates & Claims
- NASDAQ: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Related to the Payment of a Credit by Execution Access, LLC Based on Volume Thresholds Met on the NASDAQ Options Market (Release No. 34-79118; File No. SR-NASDAQ-2016-121; October 19, 2016)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Specialized Quote Feed Port Fees (Release No. 34-79105; File No. SR-NASDAQ-2016-133; October 17, 2016); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List to Eliminate Take Fees for Bonds Executed on the NYSE BondsSM System (Release No. 34-79106; File No. SR-NYSE-2016-65; October 17, 2016); see also Exhibit 5
Trading & Trade Reporting
- CBOE: Notice of Withdrawal of Proposed Rule Change Relating to SPX Combo Orders (Release No. 34-79110; File No. SR-CBOE-2016-064; October 18, 2016)
- DTC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow DTC to Automate the Process for Participants to Submit Eligibility Requests for Older Issues (Release No. 34-79122; File No. SR-DTC-2016-010; October 19, 2016); see also Exhibit 5
- FINRA: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Reporting of Transactions in U.S. Treasury Securities to TRACE (Release No. 34-79116; File No. SR-FINRA-2016-027; October 18, 2016)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7046 (Release No. 34-79119; File No. SR-NASDAQ-2016-138; October 19, 2016); see also Exhibit 5
- NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a 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. 34-79111; File No. SR-NYSEArca-2016-96; October 18, 2016)
- NYSE Arca: Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rules 7.35 (Auctions), 7.10 (Clearly Erroneous Executions), 7.31 (Orders and Modifiers), and 7.11 (Limit Up–Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility) (Release No. 34-79107; File No. SR-NYSEArca-2016-130; October 18, 2016); see also Exhibit 5
- NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 6A - Equities and NYSE MKT Rule 6 - Equities (Release No. 34-79108; File No. SR-NYSEMKT-2016-92; October 18, 2016); see also Exhibit 5
- NYSE MKT: Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of Proposed Rule Change, as modified by Amendment Nos. 2 and 3, to Amend Certain Rules Related to Flexible Exchange Options (Release No. 34-79125; File No. SR-NYSEMKT-2016-48; October 19, 2016)
Miscellaneous
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Article IV, Section 4.05 of the Tenth Amended and Restated Operating Agreement of the Exchange (Release No. 34-79115; File No. SR-NYSE-2016-66; October 18, 2016); see also Exhibit 5
- NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Article IV, Section 4.05 of the Ninth Amended and Restated Operating Agreement of the Exchange (Release No. 34-79114; File No. SR-NYSEMKT-2016-93; October 18, 2016); see also Exhibit 5
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