Click on the links below to view SEC notices of exchange rule changes and proposals for the week of January 9 – January 13.
Clearance & Settlement
- DTC: Notice of No Objection to Advance Notice Filing Relating to Processing of Transactions in Money Market Instruments (Release No. 34-79763; File No. SR-DTC-2016-802; January 9, 2017)
- DTC: Order Granting Approval of Proposed Rule Change Relating to Processing of Transactions in Money Market Instruments (Release No. 34-79764; File No. SR-DTC-2016-008; January 9, 2017)
Fees, Fines, Rebates & Claims
- Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect (Release No. 34-79762; File No. SR-BatsBZX-2016-90; January 9, 2017; see also Exhibit 5
- Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect (Release No. 34-79761; File No. SR-BatsEDGX-2016-75; January 9, 2017); see also Exhibit 5
- Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Fees to Adopt a New Cross-Asset Step-up Tier (Release No. 34-79766; File No. SR-Bats BZX-2016-92; January 10, 2017); see also Exhibit 5
- Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect (Release No. 34-79773; File No. SR-BatsEDGA-2017-01; January 11, 2017); see also Exhibit 5
- Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Fee Schedule of the Exchange's Options Platform to Adopt Fees for Its Recently Adopted Bats Auction Mechanism (Release No. 34-79769; File No. SR-BatsEDGX-2017-01; January 10, 2017); see also Exhibit 5
- Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect (Release No. 34-79774; File No. SR-BatsEDGX-2017-02; January 11, 2017); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the All-Inclusive Annual Listing Fee for Limited Partnerships Listed on Nasdaq (Release No. 34-79770; File No. SR-NASDAQ-2016-173; January 10, 2017)
- Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange's Equity Options Platform (Release No. 34-79775; File No. SR-BatsBZX-2017-01; January 12, 2017); see also Exhibit 5
Products
- NYSE Arca: Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio (Release No. 34-79767; File No. SR-NYSEArca-2016-62; January 10, 2017)
- NASDAQ: Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Relating to Continued Listing Requirements for Exchange-Traded Products (Release No. 34-79784; File No. SR-NASDAQ-2016-135; January 12, 2017)
Trading & Trade Reporting
- BOX: Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Adopt Rules for an Open-Outcry Trading Floor (Release No. 34-79768; File No. SR-BOX-2016-48; January 10, 2017)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Cabinet Trading Pilot Program (Release No. 34-79782; File No. SR-Phlx-2017-01; January 12, 2017)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 510 to Extend the Penny Pilot Program (Release No. 34-79778; File No. SR-PEARL-2016-01; January 12, 2017); see also Exhibit 5
Miscellaneous
- CBOE: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Amend CBOE Rule 6.53C (Release No. 34-79783; File No. SR-CBOE-2016-080; January 12, 2017)
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) (Release No. 34-79752; File No. SR-FINRA-2017-001; January 6, 2017); see also Exhibit 5
- CHX: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change in Connection with the Proposed Transaction Involving CHX Holdings, Inc. and North America Casin Holdings, Inc. (Release No. 34-79781; File No. SR-CHX-2016-20; January 12, 2017)
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