Click on the links to view SEC notices of exchange rule changes and proposals for the week of April 30 to May 4, 2018.
Fees, Fines, Rebates & Claims
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Operation of its Flexible Exchange Options Pilot Program (Release No. 34-83175; File No. SR-CBOE-2018-037)
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Continue Listing and Trading Shares of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E(Release No. 34-83174; File No. SR-NYSEArca-2018-15)
- Phlx: Order Approving a Proposed Rule Change Amending Rule 1079, FLEX Index, Equity and Currency Options, and Rule 1059, Accommodation Transactions, to Allow the Closing of Flexible Exchange Options ("FLEX options") in Cabinet Trading (Release No: 34-83167; File No.: SR-Phlx-2018-20)
- FICC: Notice of Filing of Proposed Rule Change to Amend the Fee Structure of the Government Securities Division Rulebook (Release No. 34-83153; File No. SR-FICC-2018-003); see also Exhibit 5
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule to Charge a More Deterministic Fee of $0.0003 Per Share for Executions at or Above $1.00 that Result from Removing Liquidity With an Order that is Executable at the Far Side of the NBBO (Release No. 34-83147; File No. SR-IEX-2018-09); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Pricing for P.M. Settled Options on Broad-Based Indexes with Nonstandard Expiration Dates (Release No. 34-83144; File No. SR-ISE-2018-38); see also Exhibit 5
- NMS: Order of Summary Abrogation of the Twenty-Third Charges Amendment to the Second Restatement of the CTA Plan and the Fourteenth Charges Amendment to the Restated CQ Plan (Release No. 34-83148; File No. SR-CTA/CQ-2018-01)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Non-Substantive, Clarifying Change to Footnote 10 of Its Price List(Release No. 34-83145; File No. SR-NYSE-2018-16); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 (Release No. 34-83134; File No. SR-NYSE-2018-17); see also Exhibit 5
Products and Listings
- Cboe BZX: Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4)(Release No. 34-83152; File No. SR-CboeBZX-2018-018)
- Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow the Horizons Cadence Hedged US Dividend Yield ETF, a Series of the Horizons ETF Trust I, to Hold Listed Options Contracts in a Manner that Does Not Comply with Rule 14.11(i), Managed Fund Shares (Release No. 34-83146; File No. SR-CboeBZX-2018-029)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Exchange-Traded Managed Fund Shares of the Gabelli Pet Parent Fund under Nasdaq Rule 5745 (Release No. 34-83142; File No. SR-NASDAQ-2018-032)
Trading & Trade Reporting
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 (Release No. 34-83155; File No. SR-FINRA-2018-017)
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE Rules 412, Position Limits, and 414, Exercise Limits (Release No. 34-83156; File No. SR-ISE-2018-39); see also Exhibit 5
- CHX: Notice of Designation of a Longer Period on Commission Action on a Proposed Rule Change to Adopt the Route QCT Cross Routing Option (Release No. 34-83143; File No. SR-CHX-2018-001)
- NMS: Order of Summary Abrogation of the Forty-Second Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis (Release No. 34-83149; File No. S7-24-89)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Market Order Spread Protection (Release No. 34-83141; File No. SR-Phlx-2018-32); see also Exhibit 5
- FINRA: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Pilot as Permanent (Release No. 34-83129; File No. SR-FINRA-2018-015); see also Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702(b)(5), Rule 4703(d), Rule 4752(d)(2)(B), and Rule 4754(b)(2)(B)(Release No. 34-83132; File No. SR-NASDAQ-2018-031); see also Exhibit 5
Miscellaneous
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc.(Release No. 34-83158; File No. SR-NYSE-2018-18); see also Exhibit 5A
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc. (Release No. 34-83160; File No. SR-NYSEArca-2018-26); see also Exhibit 5A
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc. (Release No. 34-83159; File No. SR-NYSEAMER-2018-16); see also Exhibit 5A
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc. (Release No. 34-83161; File No. SR-NYSENAT-2018-05); see also Exhibit 5A
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions (Release No. 34-83154; File No. SR-FINRA-2018-016)
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