Click on the links to view SEC notices of exchange rule changes and proposals for the week of June 4 to June 8, 2018.
Clearance & Settlement
- ICC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the ICC Clearing Rules to Implement the European Union General Data Protection Regulation (Release No. 34-83387; File No. SR-ICC-2018-005); see also Exhibit 3, Exhibit 5
- ICEEU: Order Approving Proposed Rule Change Relating to the ICE Clear Europe CDS End-of-Day Price Discovery Policy (Release No. 34-83389; File No. SR-ICEEU-2018-006)
Fees, Fines, Rebates & Claims
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Reorganize Specific Chapters in the Schedule of Fees (Release No. 34-83368; File No. SR-MRX-2018-17); see also Exhibit 5
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Reorganize Chapter IV of the GEMX Schedule of Fees (Release No. 34-83369; File No. SR-GEMX-2018-18; June 4, 2018); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Reorganize Chapter V of the ISE Schedule of Fees (Release No. 34-83370; File No. SR-ISE-2018-48; June 4, 2018); see also Exhibit 5
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Natixis Loomis Sayles Short Duration Income ETF (Release No. 34-83385; File No. SR-NYSEArca-2018-25)
- NYSE Arca: Notice of Filing of Proposed Rule Change Relating to the Index Methodology Applicable to Indexes Underlying iShares California AMTFree Muni Bond ETF and iShares New York AMT-Free Muni Bond ETF (Release No. 34-83381; File No. SR-NYSEArca-2018-38)
- Cboe 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 Each 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. 34-83390; File No. SR-CboeBZX-2017-005)
- Cboe 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 Series of the Cboe Vest S&P 500 Enhanced Growth Strategy ETF under the ETF Series Solutions Trust under Rule 14.11(c)(3) (Release No. 34-83388; File No. SR-CboeBZX-2017-006)
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility to Amend Fees and Rebates for Non-Auction Transactions (Release No. 34-83396; File No. SR-BOX-2018-21); see also Exhibit 5
- FICC: Order Approving Proposed Rule Change to Amend the Fee Structure of the Government Securities Division Rulebook (Release No. 34-83401; File No. SR-FICC-2018-003)
Products & Listing
- NASDAQ: Notice of Withdrawal of Proposed Rule Change to Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards to Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing from 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline to Demonstrate Compliance with Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination (Release No. 34-83383; File No. SR-NASDAQ-2017-087)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Listing Standard for Paired Share Units (Release No. 34-83395; File No. SR-NASDAQ-2018-041)
Market Data & Reporting
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Memorialize Order and Execution Information into MRX Rule 718 (Release No. 34-83366; File No. SR-MRX-2018-16); see also Exhibit 5
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Memorialize Order and Execution Information into GEMX Rule 718 (Release No. 34-83365; File No. SR-GEMX-2018-17); see also Exhibit 5
Trading & Trade Reporting
- BOX: Notice of Filing of Proposed Rule Change to Adopt Rules Governing the Trading of Complex Qualified Contingent Cross and Complex Customer Cross Orders (Release No. 34-83367; File No. SR-BOX-2018-14); see also Exhibit 5
- ICEEU: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures (Release No. 34-83372; File No. SR-ICEEU-2018-008; June 4, 2018); see also Exhibit 5
- NYSEAMER: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish an Electronic Price Improvement Auction for Complex Orders (Release No. 34-83384; File No. SR-NYSEAMER-2018-05)
- FINRA: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities (Release No. 34-83393; File No. SR-FINRA-2018-023); see also Exhibit 5
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) (Release No. 34-83392; File No. SR-FINRA-2018-022); see also Exhibit 5
- FINRA: Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Establish a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc. (Release No. 34-83398; File No. SR-FINRA-2018-013)
Miscellaneous
- ICC: Notice of Filing of Proposed Rule Change Relating to Formalization of the ICC Model Validation Framework (Release No. 34-83386; File No. SR-ICC-2018-004)
- NSCC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify and Enhance Rules Related to Comparison and Recording of CMU Securities (Release No. 34-83397; File No. SR-NSCC-2018-002); see also Exhibit 5
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