Click on the links below to view SEC notices of exchange rule changes and proposals for the week of February 26 to March 2, 2018.
Business Continuity
- ICEEU: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning the ICE Clear Europe Recovery Plan (Release No. 34-82786; File No. SR-ICEEU-2017-016)
- ICEEU: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning the ICE Clear Europe Wind-Down Plan (Release No. 34-82782; File No. SR-ICEEU-2017-017)
Corporate Governance
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule 4758 to Reflect the Name Change of NYSE MKT to NYSE American (Release No. 34-82775; File No. SR-NASDAQ-2018-014); See also Exhibit 5
- FICC: Notice of Advance Notice Filing of Proposed Changes to the Method of Calculating Netting Members' Margin in the Government Securities Division Rulebook (Release No. 34-82779; File No. SR-FICC-2018-801; February 26, 2018); see also Exhibit 5
- NYSE: Order Granting Approval of Proposed Rule Change to Amend the NYSE Listed Company Manual to Modify Its Requirements with Respect to Physical Delivery of Proxy Materials to the Exchange (Release No. 34-82796; File No. SR-NYSE-2017-42)
- OCC: Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Model Risk Management Policy (Release No. 34-82785; File No. SR-OCC-2017-011)
Fees, Fines, Rebates and Claims
- NSCC: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Enhance the Calculation of the Volatility Component of the Clearing Fund Formula that Utilizes a Parametric Value-at-Risk Model and Eliminate the Market Maker Domination Charge (Release No. 34-82781; File No. SR-NSCC-2017-020; February 26, 2018)
- NSCC: Notice of No Objection to Advance Notice Filing, as Modified by Amendment No. 1, to Enhance the Calculation of the Volatility Component of the Clearing Fund Formula that Utilizes a Parametric Value-at-Risk Model and Eliminate the Market Maker Domination Charge (Release No. 34-82780; File No. SR-NSCC-2017-808; February 26, 2018)
- OCC: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees (Release No. 34-82793; File No. SR-OCC-2018-004; February 28, 2018)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a) (Release No. 34-82790; File No. SR-NASDAQ-2018-013); see also Exhibit 5
Market Data and Reporting
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a New Data Feed on the Exchange's Equity Options Platform (Release No. 34-82776; File No. SR-CboeBZX-2018-013)
Miscellaneous
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination (Release No. 34-82774; File No. SR-FINRA-2018-011); See also Exhibit 3c, Exhibit 3a
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Securities Trader (Series 57) Examination (Release No. 34-82772; File No. SR-FINRA-2018-010); See also Exhibit 3c, Exhibit 3a
Products and Listings
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E (Release No. 34-82795; File No. SR-NYSEArca-2018-02)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Wilshire Micro-Cap ETF (Release No. 34-82788; File No. SR-NYSEArca-2018-13)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify IM-5900-7 to Update the Values of, and Permit a Third-Party Provider Selected by Nasdaq to Offer, Certain Complimentary Services Provided to Certain Newly Listing Companies Pursuant to the Rule (Release No. 34-82791; File No. SR-NASDAQ-2018-015); see also Exhibit 5
Trading and Trade Reporting
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6.56, Compression Forums, to Provide Additional Opportunities to Disclose Compression-List Positions Monthly (Release No. 34-82771; File No. SR-CBOE-2018-017); See also Exhibit 5
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5.170 to Reflect an Update to a FINRA Rule (Release No. 34-82784; File No. SR-IEX-2018-04); see also Exhibit 5
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
