Click on the links below to view SEC notices of exchange rule changes and proposals for the week of July 23 to July 27, 2018.
Clearance & Settlement
- LCH SA: Order Approving Proposed Rule Change Relating to Liquidity Risk Management (Release No. 34-83691; File No. SR-LCH SA-2018-003)
- OCC: Notice of Filing of Partial Amendments No. 1and 2 to Proposed Rule Change Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan (Release No. 34-83732; File No. SR-OCC-2017-021)
- OCC: Notice of Filing of Amendments No. 1 and 2 to Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios (Release No. 34-83725; File No. SR-OCC-2017-020)
- OCC: Order Approving Proposed Rule Change, as Modified by Amendments No. 1 and 2, Related to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology (Release No. 34-83735; File No. SR-OCC-2018-008)
- OCC: Advance Notice: Notice of No Objection to Advance Notice, as Modified by Amendments No. 1 and 2, Concerning Proposed Changes to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology (Release No. 34-83714; File No. SR-OCC-2018-803)
Corporate Governance
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Existing Investigatory and Disciplinary Processes and Related Rules with the Investigatory and Disciplinary Processes and Associated Rules of Nasdaq BX, Inc. (Release No. 34-83704; File No. SR-GEMX-2018-24); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Existing Investigatory and Disciplinary Processes and Related Rules with the Investigatory and Disciplinary Processes and Associated Rules of Nasdaq BX, Inc. (Release No. 34-83703; File No. SR-ISE-2018-59); see also Exhibit 5
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Existing Investigatory and Disciplinary Processes and Related Rules with the Investigatory and Disciplinary Processes and Associated Rules of Nasdaq BX, Inc. (Release No. 34-83705; File No. SR-MRX-2018-23); see also Exhibit 5
Fees, Fines, Rebates & Claims
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees and Credits Under Rule 7018(a) (Release No. 34-83702; File No. SR-NASDAQ-2018-057); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges (Release No. 34-83708; File No. SR-NYSEArca-2018-52); see also Exhibit 5
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Schedule of Fees and Rebates to Adopt Two New Adding Tiers and Regulatory Fees in Connection with Use of the Central Registration Depository (Release No. 34-83687; File No. SR-NYSENAT-2018-16); see alsoExhibit 5
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Rebates (Release No. 34-83709; File No. SR-NYSENAT-2018-15); see also Exhibit 5
- 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 Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network (Release No. 34-83728; File No. SR-BOX-2018-24); see also Exhibit 5
- MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers (Release No. 34-83713; File No. SR-MSRB-2018-06); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services in Connection with a Proposed Transaction with the Chicago Stock Exchange, Inc. Exchange and Its Parent, CHX Holdings, Inc. (Release No. 34-83716; File No. SR-NYSEArca-2018-53); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services in Connection with a Proposed Transaction with the Chicago Stock Exchange, Inc. Exchange and Its Parent, CHX Holdings, Inc. (Release No. 34-83718; File No. SR-NYSEAMER-2018-38); see also Exhibit 5
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Schedule of Fees and Rebates Related to Co-location Services in Connection with a Proposed Transaction with the Chicago Stock Exchange, Inc. Exchange and Its Parent, CHX Holdings, Inc. (Release No. 34-83715; File No. SR-NYSENAT-2018-17); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its NYSE American Equities Price List and the NYSE American Options Fee Schedule (Release No. 34-83707; File No. SR-NYSEAMER-2018-35); see also Exhibit 5
Products & Listing
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List Related to Colocation (Release No. 34-83706; File No. SR-NYSE-2018-32); see also Exhibit 5
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Continued Listing Criteria Applicable to the Indexes Underlying the iShares California AMT-Free Muni Bond ETF and iShares New York AMT-Free Muni Bond ETF (Release No. 34-83694; File No. SR-NYSEArca-2018-38)
- NYSE Arca: Notice of Withdrawal of 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. 34-83692; File No. SR-NYSEArca-2018-04)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of Shares of the Columbia Multi-Sector Municipal Income ETF (Release No. 34-83695; File No. SR-NYSEArca-2018-50)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List Related to Co-location Services in Connection with a Proposed Transaction with the Chicago Stock Exchange, Inc. Exchange and Its Parent, CHX Holdings, Inc.(Release No. 34-83717; File No. SR-NYSE-2018-35); see also Exhibit 5
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify the Protocol Definitions That Members Use to Enter Quotes and Orders (Release No. 34-83731; File No. SR-GEMX-2018-26); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify the Definitions of the Protocols That Members Can Use to Enter Quotes and Orders (Release No. 34-83729; File No. SR-ISE-2018-65); see also Exhibit 5
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify the Definitions of the Protocols That Members Can Use to Enter Quotes and Orders (Release No. 34-83730; File No. SR-MRX-2018-25); see also Exhibit 5
- NYSE Arca: Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change as Modified by Amendment No. 1 Thereto Regarding the Continued Listing and Trading of Shares of the Natixis Loomis Sayles Short Duration Income ETF (Release No. 34-83733; File No. SR-NYSEArca-2018-25)
- NYSE Arca: Notice of Filing of Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF (Release No. 34-83720; File No. SR-NYSEArca-2018-43)
Trading & Reporting
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 518, Complex Orders (Release No. 34-83726; File No. SR-MIAX-2018-16); see also Exhibit 5
- OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of Flexibly Structured Options (Release No. 34-83724; File No. SR-OCC-2018-010)
- FINRA: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities (Release No. 34-83722; File No. SR-FINRA-2018-023)
- NASDAQ: Notice of Withdrawal 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. 34-83721; File No. SR-NASDAQ-2018-038)
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Rule Concerning Handling of No Bid Options and to Clarify the Operation of Chapter V, Section 3, Entitled "Trading Halts" (Release No. 34-83700; File No. SR-BX-2018-033); see also Exhibit 5
Miscellaneous
- FINRA, MISE, MIAX PEARL: Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL, LLC (Release No. 34-83696; File No. 4-678)
- ICC: Order Approving Proposed Rule Change Relating to Formalization of the ICC Model Validation Framework (Release No. 34-83690; File No. SR-ICC-2018-004)
- DTC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Clarifying Changes and Updates to the DTC Underwriting Service Guide (Release No. 34-83712; File No. SR-DTC-2018-004); see also Exhibit 5
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