Click on the links below to view SEC notices of exchange rule changes and proposals for the week of March 5 to March 9, 2018.
Corporate Governance
- FICC: Notice of Extension of Review Period of Advance Notice to Implement Changes to the Method of Calculating Netting Members' Margin in the Government Securities Division Rulebook (Release No. 34-82820; File No. SR-FICC-2018-801)
Fees, Fines, Rebates and Claims
- Bats EDGA: Notice of Filing of Amendment No. 2 to the Proposed Rule Change to Amend the Schedule of Fees and Assessments to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-82269; File No. SR-BatsEDGA-2017-13; December 11, 2017)
- Bats EDGA: Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-82268; File No. SR-BatsEDGA-2017-13; December 11, 2017)
- Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees (Release No. 34-82834; File No. SR-CboeBZX-2018-015); see also Exhibit 5
- Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees (Release No. 34-82833; File No. SR-CboeBYX-2018-002); see also Exhibit 5
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Eliminate the Fee for an Explained Decision (Release No. 34-82829; File No. SR-FINRA-2018-012)
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-82823; File No. SR-MIAX-2018-09); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014 to Eliminate the Small Cap Incentive Program and the Limit Up Limit Down Pricing Program (Release No. 34-82822; File No. SR-NASDAQ-2018-017); see also Exhibit 5
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Certain Terms Used in the Schedule of Fees (Release No. 34-82817; File No. SR-MRX-2018-07); see also Exhibit 5
- NYSE AMER: Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE American Options Fee Schedule (Release No. 34-82809; File No. SR-NYSEAMER-2018-06); see also Exhibit 5
Market Data and Reporting
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Its Data Feed Offerings (Release No. 34-82810; File No. SR-BX-2018-009); see also Exhibit 5
- LCH SA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to End of Day Price Contribution (Release No. 34-82803; File No. SR-LCH SA-2018-002); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Data Feeds (Release No. 34-82813; File No. SR-Phlx-2018-19); see also Exhibit 5
Miscellaneous
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.270 (Clearly Erroneous Executions) to Preclude Members from Requesting a Review of a Volatility Auction as a Clearly Erroneous Execution (Release No. 34-82815; File No. SR-IEX-2018-05); see also Exhibit 5
Products and Listings
- Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delist the Shares of the iShares Edge U.S. Fixed Income Balanced Risk ETF from Listing Pursuant to Rule 14.11(i) and Approval Orders Issued by the Commission as a Series of Managed Fund Shares, and to Re-List Pursuant to Rule 14.11(c)(4) as a Series of Index Fund Shares (Release No. 34-82844; File No. SR-CboeBZX-2018-016)
- Cboe BZX: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of a Series of the Cboe Vest S&P 500 Enhanced Growth Strategy ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3), Index Fund Shares (Release No. 34-82843; File No. SR-CboeBZX-2017-006)
- Cboe BZX: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of a Series of the Cboe Vest S&P 500 Buffer Protect Strategy ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3), Index Fund Shares (Release No. 34-82842; File No. SR-CboeBZX-2017-005)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5.3-O (Release No. 34-82851; File No. SR-NYSEArca-2018-16); see also Exhibit 5
- NYSE Arca: Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of ProShares QuadPro Funds under NYSE Arca Rule 8.200-E (Release No. 34-82850; File No. SR-NYSEArca-2017-69)
- NYSE AMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 915 (Release No. 34-82852; File No. SR-NYSEAMER-2018-09); see also Exhibit 5
- Cboe BZX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Cboe Vest S&P 500 Premium Income ETF Under Rule 14.11(c)(5) (Release No. 34-82832; File No. SR-CboeBZX-2018-005)
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 402, Criteria for Underlying Securities (Release No. 34-82828; File No. SR-MIAX-2018-06); see also Exhibit 5
- NYSE: Order Approving Proposed Rule Change to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 907.00 of the Exchange's Listed Company Manual (Release No. 34-82831; File No. SR-NYSE-2018-01)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 402, Criteria for Underlying Securities (Release No. 34-82827; File No. SR-PEARL-2018-04); see also Exhibit 5
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt a New NYSE Arca Rule 8.900-E and to List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF under Proposed NYSE Arca Equities Rule 8.900-E (Release No. 34-82824; File No. SR-NYSEArca-2018-04)
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 403, Withdrawal of Approval of Underlying Securities (Release No. 34-82814; File No. SR-MIAX-2018-07); see also Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 403, Withdrawal of Approval of Underlying Securities (Release No. 34-82812; File No. SR-PEARL-2018-05); see also Exhibit 5
- NYSE: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change To Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holders Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the 300 Public Stockholders Continued Listing Requirement, To Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and To Impose a 30-Day Deadline to Demonstrate Compliance with Certain Initial Listing Requirements Following a Business Combination (Release No. 34-82804; File No. SR-NYSE-2017-53)
Trading and Trade Reporting
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7600(c) to State that the Qualified Open Outcry ("QOO") Order is Subject to the Trade-through Exceptions Outlined in Rule 15010(b) (Release No. 34-82845; File No. SR-BOX-2018-08); see also Exhibit 5
- GEMX: Notice of Filing of Proposed Rule Change to Introduce the ATR Protection for Orders that are Routed to Away Markets (Release No. 34-82847; File No. SR-GEMX-2018-09); see also Exhibit 5
- ISE: Notice of Filing of Proposed Rule Change to Introduce the ATR Protection for Orders that are Routed to Away Markets (Release No. 34-82846; File No. SR-ISE-2018-16); see also Exhibit 5
- MRX: Notice of Filing of Proposed Rule Change to Introduce the ATR Protection for Orders that are Routed to Away Markets (Release No. 34-82848; File No. SR-MRX-2018-08); see also Exhibit 5
- NASDAQ: Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to Adopt the Midpoint Extended Life Order (Release No. 34-82825; File No. SR-NASDAQ-2017-074; March 7, 2018)
- NYSENAT: Notice of Filing of Proposed Rule Change to Support the Re-launch of the Exchange on the Pillar Trading Platform (Release No. 34-82819; File No. SR-NYSENAT-2018-02); see also Exhibit 5A, Exhibit 5B, Exhibit 5C
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