Click on the links below to view SEC notices of exchange rule changes and proposals for the week of October 30 to November 3, 2017.
Clearance and Settlement
- DTC: Order Approving Proposed Rule Changes to Adopt the Clearing Agency Securities Valuation Framework (Release No. 34-82006; File Nos. SR-DTC-2017-016, SR-NSCC-2017-016, SR-FICC-2017-020; November 2, 2017)
- ICE EU: Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the ICE Clear Europe Procyclicality Framework (Release No. 34-81994; File No. SR-ICEEU-2017-013)
- DTC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Special Segregation Account for a Participant or Pledgee that is a Derivatives Clearing Organization or Futures Commission Merchant (Release No. 34-81990; File No. SR-DTC-2017-020); see also Exhibit 5
Corporate Governance
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name (Release No. 34-81979; File No. SR-C2-2017-028); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name (Release No. 34-81981; File No. SR-CBOE-2017-066); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove References to Nasdaq Options Services (Release No. 34-81978; File No. SR-BX-2017-049); see also Exhibit 5
Fees, Fines, Rebates, and Claims
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-81998; File No. SR-MIAX-2017-45; November 2, 2017); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Incentive to the Market Access and Routing Subsidy Program (Release No. 34-81997; File No. SR-NASDAQ-2017-116; November 2, 2017); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees at Rule 7058 (Release No. 34-82003; File No. SR-NASDAQ-2017-113); see also Exhibit 5
- FINRA: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for the New TRACE Security Activity Report and End-of-Day TRACE Transaction File (Release No. 34-81995; File No. SR-FINRA-2017-033); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Annual Listing Fees for Common Stocks and Warrants (Release No. 34-81996; File No. SR-NYSEAMER-2017-27); see also Exhibit 5
Products and Listings
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New Rule 6.210 Related to Ex-Dates for Securities Listed or Traded on the Exchange (Release No. 34-81988; File No. SR-IEX-2017-38); see also Exhibit 5
- NASDAQ: Order Granting Approval of Proposed Rule Change, as Modified by Amendments No. 1 and 2, to List and Trade Shares of the Calvert Ultra-Short Duration Income NextSharesTM Under Nasdaq Rule 5745 (Release No. 34-81987; File No. SR-NASDAQ-2017-091)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Exchange Calculation of the Intraday Indicative Value for Specified Exchange-Traded Products (Release No. 34-81985; File No. SR-NYSEArca-2017-127)
- NYSE Arca: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt NYSE Arca Equities Rule 8.900 to Permit Listing and Trading of Managed Portfolio Shares 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 (Release No. 34-81977; File No. SR-NYSEArca-2017-36)
Trading and Trade Reporting
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Price Improvement XL Auction (Release No. 34-81999; File No. SR-Phlx-2017-85; November 2, 2017); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Arca Rules 7.31-E and 7.35-E (Release No. 34-82004; File No. SR-NYSEArca-2017-126); see also Exhibit 5
- Phlx: Order Approving Proposed Rule Changes to Amend Rules 1024, Conduct of Accounts for Options Trading, and 1025, Supervision of Accounts (Release No. 34-82005; File No. SR-Phlx-2017-055)
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Eligibility of Market Orders and Limit Orders with a Time-In-Force of DAY for a Volatility Auction Occurring Outside of Regular Market Hours (Release No. 34-81982; File No. SR-IEX-2017-36); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX Options Rules 700, 1322, and 517 (Release No. 34-81976; File No. SR-MIAX-2017-43); see also Exhibit 5
- Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors (Release No. 34-81992; File No. SR-BatsEDGX-2017-43); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1614 (Release No. 34-81991; File No. SR-ISE-2017-96)
- NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 4703(a) to Allow Members to Designate when an Order with a RTFY or SCAN Routing Order Attribute will be Activated (Release No. 34-81986; File No. SR-NASDAQ-2017-088)
- Phlx: Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to add an Exception to Phlx Rule 1000(f)(iii) for certain Floor Broker Transactions and add the Snapshot Functionality to the Options Floor Broker Management System(Release No. 34-81980; File No. SR-Phlx-2017-34)
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