Click on the links to view SEC notices of exchange rule changes and proposals for the week of May 14 to May 18, 2018.
Clearance & Settlement
- ICEEU: Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Clearing Stress Testing Policy (Release No. 34-83243; File No. SR-ICEEU-2018-001)
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.4E to Reflect the Standard Settlement Cycle of Two Business Days After the Trade Date (Release No. 34-83273; File No. SR-NYSEAMER-2018-21); see also Exhibit 5
Corporate Governance
- Cboe BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2.12 to Add References to Cboe Options and C2 (Release No. 34-83254; File No. SR-CboeBYX-2018-005; Date: May 16, 2018)
- Cboe EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2.12 to Add References to Cboe Options and C2 (Release No. 34-83256; File No. SR-CboeEDGX-2018-015)
- Cboe EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2.12 to Add References to Cboe Options and C2 (Release No. 34-83255; File No. SR-CboeEDGA-2018-008)
- Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2.12 to Add References to Cboe Options and C2 (Release No. 34-83247; File No. SR-CboeBZX-2018-035)
Fees, Fines, Rebates & Claims
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a) to Establish a New Fee for Orders with Midpoint Pegging that Execute at a Price Better than the Midpoint of the NBBO (Release No. 34-83224; File No. SR-BX-2018-018); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchanges Schedule of Fees (Release No. 34-83257; File No. SR-ISE-2018-42; Date: May 16, 2018); see also Exhibit 5
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Related to its PULSe Workstation (Release No. 34-83242; File No. SR-C2-2018-008); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Related to its PULSe Workstation (Release No. 34-83244; File No. SR-CBOE-2018-033); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to its Fees Schedule in Connection with the Exchange's Planned Migration of Standard Third-Friday Options on the S&P 500 Index to the Hybrid Trading System from the Hybrid 3.0 System (Release No. 34-83241; File No. SR-CBOE-2018-039); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Silexx Trading Platform Fees Schedule (Release No. 34-83226; File No. SR-CBOE-2018-035; Date: May 14, 2018); see also Exhibit 5
- Cboe EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe EDGX Exchange, Inc. (Release No. 34-83240; File No. SR-CboeEDGX-2018-014); see also Exhibit 5
- FINRA: Notice of Filing of a Proposed Rule Change Relating to Create a Fee and Honorarium for Late Cancellation of a Prehearing Conference (Release No. 34-83227; File No. SR-FINRA-2018-019; Date: May 14, 2018)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges (Release No. 34-83268; File No. SR-NYSEArca-2018-34); see also Exhibit 5
Products
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List (Release No. 34-83230; File No. SR-NYSE-2018-21; Date: May 14, 2018); see also Exhibit 5
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6.11., Regarding the Opening Process for Index Options (Release No. 34-83225; File No. SR-C2-2018-009; Date: May 14, 2018)
- Bats BZX: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the Innovator S&P 500 Buffer ETF Series, Innovator S&P 500 Power Buffer ETF Series, Innovator S&P 500 Enhance and Buffer ETF Series, and Innovator S&P 500 Ultra ETF Series Under Rule 14.11(i) (Release No. 34-83271; File No. SR-BatsBZX-2017-72)
Trading & Trade Reporting
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Order Spread Protection (Release No. 34-83228; File No. SR-NASDAQ-2018-037; Date: May 14, 2018); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Order Spread Protection and Reorganize Rule Chapter VI, Section 18 Entitled, "Order Price Protections" (Release No. 34-83229; File No. SR-BX-2018-019; Date: May 14, 2018); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proposed Operation of the Perth Mint Physical Gold ETF Trust (Release No. 34-83248; File No. SR-NYSEArca-2018-32)
- NASDAQ: Notice of Filing of Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order (Release No. 34-83272; File No. SR-NASDAQ-2018-038); see also Exhibit 5
- MRX: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Introduce the ATR Protection for Orders that are Routed to Away Markets (Release No. 34-83280; File No. SR-MRX-2018-08)
- ISE: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Introduce the ATR Protection for Orders that are Routed to Away Markets (Release No. 34-83278; File No. SR-ISE-2018-16)
- IEX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.410(a) to Update the Market Data Source That the Exchange Will Use to Determine the Top of Book Quotation for NYSE National in Anticipation of Its Planned Re-Launch (Release No. 34-83275; File No. SR-IEX-2018-10); see also Exhibit 5
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .03 to Rule 804 to Enhance Anti-Internalization Functionality (Release No. 34-83270; File No. SR-GEMX-2018-16); see also Exhibit 5
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Definition of "Agency Debt Security" (Release No. 34-83290; File No. SR-FINRA-2018-020); see also Exhibit 5
Miscellaneous
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material to Rule 706 to Harmonize Its Sponsored Access Rules with Those of Its Affiliates (Release No. 34-83237; File No. SR-GEMX-2018-15); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material to Rule 706 to Harmonize Its Sponsored Access Rules with Those of Its Affiliates (Release No. 34-83238; File No. SR-ISE-2018-44); see also Exhibit 5
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material to Rule 706 to Harmonize Its Sponsored Access Rules with Those of Its Affiliates (Release No. 34-83239; File No. SR-MRX-2018-14); see also Exhibit 5
- FINRA: Order Granting Approval of a Proposed Rule Change Relating to Simplified Arbitration (Release No. 34-83276; File No. SR-FINRA-2018-003)
- GEMX: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Introduce the ATR Protection for Orders that are Routed to Away Markets (Release No. 34-83279; File No. SR-GEMX-2018-09)
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .03 to Rule 804 to Enhance Anti-Internalization Functionality (Release No. 34-83269; File No. SR-ISE-2018-45); see also Exhibit 5
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .03 to Rule 804 to Enhance Anti-Internalization Functionality (Release No. 34-83274; File No. SR-MRX-2018-15); see also Exhibit 5
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