Click on the links below to view SEC notices of exchange rule changes and proposals for the week of September 18 to September 22, 2017.
Clearance and Settlement
- DTC: Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Securities Valuation Framework (Release No. 34-81667; File Nos. SR-DTC-2017-016, SR-NSCC-2017-016, SR-FICC-2017-020; September 21, 2017)
- ICC: Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts (Release No. 34-81646; File No. SR-ICC-2017-009; September 18, 2017)
- ICC: Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts (Release No. 34-81644; File No. SR-ICC-2017-008; September 18, 2017)
- ICE EU: Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Risk Policy (Release No. 34-81680; File No. SR-ICEEU-2017-010; September 22, 2017)
Corporate Governance
- NYSE AMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules to Make Technical and Conforming Updates, in Connection With the Merger of NYSE Arca Equities, Inc. With and Into the Exchange's Affiliate NYSE Arca, Inc. and the Name Change of NYSE National, Inc. (Release No. 34-81651; File No. SR-NYSEAMER-2017-14; September 19, 2017); see also Exhibit 5
Fees, Fines, Rebates, and Claims
- Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc. (Release No. 34-81654; File No. SR-BatsBYX-2017-21; September 19, 2017); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Rules and the NYSE Arca Options Fees and Charges Schedule In Connection With the Name Change of Its Affiliate NYSE MKT LLC to NYSE American LLC (Release No. 34-81652; File No. SR-NYSEArca-2017-108; September 19, 2017); see also Exhibit 5A, Exhibit 5B, Exhibit 5C
Products and Listings
- Bats BZX: Notice of Filing of a Proposed Rule Change to List and Trade Shares of the iShares Inflation Hedged Corporate Bond ETF, a Series of the iShares U.S. ETF Trust, Under Rule 14.11(i), Managed Fund Shares (Release No. 34-81671; File No. SR-BatsBZX-2017-54; September 21, 2017)
- NYSE Arca: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3 Thereto, to List and Trade Shares of Direxion Daily Crude Oil Bull 3x Shares and Direxion Daily Crude Oil Bear 3x Shares under NYSE Arca Equities Rule 8.200 (Release No. 34-81686; File No. SR-NYSEArca-2017-05; September 22, 2017)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect Certain Changes Applicable to IQ Municipal Insured ETF, IQ Municipal Intermediate ETF, and IQ Municipal Short Duration ETF (Release No. 34-81682; File No. SR-NYSEArca-2017-103; September 22, 2017)
- NYSE Arca: Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of Breakwave Dry Bulk Shipping ETF under NYSE Arca Rule 8.200-E, Commentary .02 (Release No. 34-81681; File No. SR-NYSEArca-2017-107; September 22, 2017)
- NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade Shares of the GraniteShares Platinum Trust under NYSE Arca Equities Rule 8.201 (Release No. 34-81675; File No. SR-NYSEArca-2017-110; September 21, 2017)
- NYSE Arca: Notice of Filing of Amendment No. 4, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, Relating to the Listing and Trading of Shares of the USCF Canadian Crude Oil Index Fund under NYSE Arca Rule 8.200-E (Release No. 34-81655; File No. SR-NYSEArca-2016-177; September 19, 2017)
Trading and Trade Reporting
- CHX: Order Approving a Proposed Rule Change Regarding Qualified Contingent Trades and Related Information Recording Obligations by Certain Participants (Release No. 34-81683; File No. SR-CHX-2017-12; September 22, 2017)
- NASDAQ: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the Midpoint Extended Life Order (Release No. 34-81668; File No. SR-NASDAQ-2017-074; September 21, 2017)
- NYSE: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt New Equity Trading Rules for Trading UTP Securities on Pillar, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing (Release No. 34-81641; File No. SR-NYSE-2017-36; September 18, 2017)
- NYSE AMER: Notice of Filing of Proposed Rule Change Amending Rule 980NY (Electronic Complex Order Trading) to Clarify the Priority of Electronic Complex Orders and to Modify Aspects of Its Complex Order Auction Process (Release No. 34-81676; File No. SR-NYSEAMER-2017-15; September 21, 2017); see also Exhibit 5
- NYSE AMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.31E Relating to the Minimum Trade Size Modifier for Additional Order Types and Expanding the Minimum Trade Size Modifier for Existing Order Types (Release No. 34-81672; File No. SR-NYSEAMER-2017-17; September 21, 2017); see also Exhibit 5
- NYSE AMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update and Amend its Options Rules, as described herein, To Reduce Unnecessary Complexity and to Promote Standardization and Clarity (Release No. 34-81670; File No. SR-NYSEAMER-2017-18; September 21, 2017); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Arca Rule 7.35-E, NYSE Arca Rule 7.31-E and NYSE Arca Rule 7.23-E (Release No. 34-81603; File No. SR-NYSEArca-2017-102; September 13, 2017); see also Exhibit 5
- Phlx: Notice of Filing of Proposed Rule Change to amend certain sections of Rules 1024, Conduct of Accounts for Options Trading, and of 1025, Supervision of Accounts, to conform them more closely to comparable rules of the Chicago Board Options Exchange ("CBOE") and to make minor clarifications and corrections to the text (Release No. 34-81642; File No. SR-Phlx-2017-55; September 18, 2017); see also Exhibit 5
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