Click on the links below to view SEC notices of exchange rule changes and proposals for the week of April 3 to April 7, 2017.
Clearance & Settlement
- DTC: Notice of Filing of Proposed Rule Change to Address and Update Practices and Policies with Respect to the Credit Risk Rating Matrix and Make Other Changes (Release No. 34-80382; File No. SR-DTC-2017-002; April 5, 2017); see also Exhibit 5
- FICC: Notice of Filing of Advance Notice to Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes (Release No. 34-80361; File No. SR-FICC-2017-803; April 3, 2017); see also Exhibit 5
- FICC: Notice of Filing of Proposed Rule Change to Enhance the Credit Risk Rating Matrix and Make Other Changes (Release No. 34-80383; File No. SR-FICC-2017-006; April 5, 2017); see also Exhibit 5
- NSCC: Notice of Filing of Proposed Rule Change to Enhance the Credit Risk Rating Matrix and Make Other Changes (Release No. 34-80381; File No. SR-NSCC-2017-002; April 5, 2017); see also Exhibit 5
- OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Requirement for Clearing Members to Participate in Default Management Testing (Release No. 34-80372; File No. SR-OCC-2017-003; April 4, 2017)
Fees, Fines, Rebates & Claims
- LCH SA: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Retroactively Apply Recently-Revised Fee Schedule (Release No. 34-80379; File No. SR-LCH SA-2017-002; April 5, 2017); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce Fees for Certain Connectivity under Rule 7015(g)(1) and Rule 7034(b) (Release No. 34-80380; File No. SR-NASDAQ-2017-030; April 5, 2017); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees and Charges (Release No. 34-80363; File No. SR-NYSEArca-2017-13; April 3, 2017); see also Exhibit 5
Products
- NASDAQ: Notice of Filing of Proposed Rule Change to List and Trade the Shares of the First Trust California Municipal High Income ETF (Release No. 34-80369; File No. SR-NASDAQ-2017-033; April 4, 2017)
Trading & Trade Reporting
- CHX: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt the CHX Liquidity Enhancing Access Delay (Release No. 34-80364; File No. SR-CHX-2017-04; April 3, 2017)
- ISE Mercury: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to "Tick-Worse" Functionality (Release No. 34-80362; File No. SR-ISEMercury-2017-06; April 3, 2017); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Its Functionality Relating to Midpoint Peg Post-Only Orders and Orders with Midpoint Pegging (Release No. 34-80391; File No. SR-NASDAQ-2017-034; April 6, 2017)
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Its Functionality Relating to Orders with Midpoint Pegging (Release No. 34-80393; File No. SR-BX-2017-018; April 6, 2017)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX PEARL Rules 504 and 516 (Release No. 34-80384; File No. SR-PEARL-2017-16; April 6, 2017); see also Exhibit 5
Licensing & Registration
- FINRA: Notice of Filing of a Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements (Release No. 34-80371; File No. SR-FINRA-2017-007; April 4, 2017); see also Exhibit 5
Miscellaneous
- 17d-2: Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BOX Options Exchange LLC (Release No. 34-80388; File No. 4-709; April 6, 2017)
- CBOE: Order Approving Proposed Rule Change Related to Rule 24.9(e) (Release No. 34-80385; File No. SR-CBOE-2017-014; April 6, 2017)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Renew Nonstandard Expirations Pilot Program (Release No. 34-80387; File No. SR-CBOE-2017-026; April 6, 2017)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the SPXPM Pilot Program (Release No. 34-80386; File No. SR-CBOE-2017-025; April 6, 2017)
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rename the Exchange as Nasdaq ISE, LLC (Release No. 34-80325; File No. SR-ISE-2017-25; March 29, 2017); see also Exhibit 5
- NYSE: Notice of Filing of Proposed Rule Change Amending Rule 36 to Permit Exchange Floor Brokers to Use Non-Exchange Provided Telephones on the Floor (Release No. 34-80374; File No. SR-NYSE-2017-07; April 4, 2017); see also Exhibit 5, Exhibit 5A
- NYSE MKT: Notice of Filing of Proposed Rule Change Amending Rule 36 – Equities to Permit Exchange Floor Brokers to Use Non-Exchange Provided Telephones on the Floor (Release No. 34-80375; File No. SR-NYSEMKT-2017-16; April 4, 2017); see also Exhibit 5, Exhibit 5A
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