Click on the links below to view SEC notices of exchange rule changes and proposals for the week of March 6 to March 10, 2017.
Clearance & Settlement
- OCC: Order Approving Proposed Rule Change Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility (Release No. 34-80147; File No. SR-OCC-2017-001; March 3, 2017)
Fees, Fines, Rebates & Claims
- Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees (Release No. 34-80187; File No. SR-BatsEDGA-2017-04; March 9, 2017); see also Exhibit 5
- Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use on Bats EDGX Exchange, Inc. (Release No. 34-80186; File No. SR-BatsEDGX-2017-12; March 9, 2017); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees (Release No. 34-80188; File No. SR-ISE-2017-16; March 9, 2017); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Qualified Contingent Cross and Solicitation Rebate Tiers (Release No. 34-80185; File No. SR-ISE-2017-15; March 9, 2017); see also Exhibit 5
- ISE Gemini: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees (Release No. 34-80184; File No. SR-ISEGemini-2017-09; March 9, 2017); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee Schedule Relating to the Professional Rebate Program (Release No. 34-80190; File No. SR-MIAX-2017-11; March 9, 2017); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a) to Adopt Two Credits (Release No. 34-80192; File No. SR-NASDAQ-2017-026; March 9, 2017); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter X, Section 7(a) of the Exchanges Rules Relating to Minor Rule Violation Penalties for Position Limit Violations (Release No. 34-80155; File No. SR-BX-2017-014; March 3, 2017); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Fee Schedule (Release No. 34-80173; File No. SR-NYSEArca-2017-25; March 8, 2017); see also Exhibit 5
Products
- Bats BZX: Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure to Meet Listing Standards (Release No. 34-80169; File No. SR-BatsBZX-2016-80; March 7, 2017)
- NYSE Arca: Notice of Filing of Amendment No. 1 to a Proposed Rule Change Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust under NYSE Arca Equities Rule 8.201 (Release No. 34-80099; File No. SR-NYSEArca-2016-101; February 24, 2017)
- 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 the USCF Canadian Crude Oil Index Fund under NYSE Arca Equities Rule 8.200 (Release No. 34-80180; File No. SR-NYSE Arca-2016-177; March 8, 2017)
Trading & Trade Reporting
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Complex Order Price Protections (Release No. 34-80181; File No. SR-CBOE-2017-016; March 8, 2017)
- FINRA: Order Granting Approval of a Proposed Rule Change to Amend FINRA Rules to conform to the Commissions Proposed Amendment to Commission Rule 15c6-1(a) and the Industry-led Initiative to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from T+3 to T+2 (Release No. 34-80004A; File No. SR-FINRA-2016-047; February 9, 2017)
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-80179; File No. SR-FINRA-2017-005; March 8, 2017); see also Exhibit 5
- NASDAQ: Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Extended Life Priority Order Attribute under Rule 4703, and to Make Related Changes to Rules 4702, 4752, 4753, 4754, and 4757 (Release No. 34-80149; File No. SR-NASDAQ-2016-161; March 3, 2017)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 67 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-80172; File No. SR-NYSE-2017-10; March 8, 2017); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.46 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-80175; File No. SR-NYSEArca-2017-19; March 8, 2017); see also Exhibit 5
- NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 67 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-80178; File No. SR-NYSEMKT-2017-11; March 8, 2017); see also Exhibit 5
Licensing & Registration
- NYSE MKT: Order Approving Proposed Rule Changes to Extend the Time Within Which a Member, Member Organization, an ATP Holder, OTP Holder, or OTP Firm Must File a Uniform Termination Notice for Securities Industry Registration ("Form U5") (Release No. 34-80154; File Nos. SR-NYSEMKT-2016-52, SR-NYSEArca-2016-103; March 3, 2017)
Miscellaneous
- C2: Notice of Filing of a Proposed Rule Change to Amend the C2 Bylaws and Certificate of Incorporation (Release No. 34-80166; File No. SR-C2-2017-009; March 7, 2017); see also Exhibit 5A, Exhibit 5B
- CBOE: Notice of Filing of a Proposed Rule Change to Amend the Bylaws and Certificate of Incorporation (Release No. 34-80167; File No. SR-CBOE-2017-017; March 7, 2017); see also Exhibit 5A, Exhibit 5B
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error in Section 413 of the Exchange's Rules (Release No. 34-80194; File No. SR-ISE-2017-20; March 9, 2017); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Billing Ports and Other Services (Release No. 34-80153; File No. SR-NASDAQ-2017-022; March 3, 2017); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Billing Ports and Other Services (Release No. 34-80161; File No. SR-BX-2017-015; March 6, 2017); see also Exhibit 5
- OCC: Notice of Filing of Proposed Rule Change Concerning Changes to The Options Clearing Corporation's Management Structure (Release No. 34-80168; File No. SR-OCC-2017-002; March 7, 2017); see also Exhibit 5A, Exhibit 5B
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Billing Ports and Other Services (Release No. 34-80162; File No. SR-Phlx-2017-18; March 6, 2017); see also Exhibit 5
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