Click on the links below to view SEC notices of exchange rule changes and proposals for the week of November 27 to December 1, 2017.
Clearance and Settlement
- OCC: Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology (Release No. 34-82161; File No. SR-OCC-2017-022)
- OCC: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, Concerning the Adoption of a New Minimum Cash Requirement for the Clearing Fund (Release No. 34-82156; File No. SR-OCC-2017-019)
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 2.220(a)(7) and 11.410(a) to Reflect the Name Change of Bats BZX Exchange, Inc. to Cboe BZX Exchange, Inc., Bats EDGA Exchange, Inc. to Cboe EDGA Exchange, Inc., Bats EDGX Exchange, Inc. to Cboe EDGX Exchange, Inc., and Bats BYX Exchange, Inc. to Cboe BYX Exchange, Inc. (Release No. 34-82155; File No. SR-IEX-2017-42); see also Exhibit 5
Corporate Governance
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Shell Structure for the GEMX Rulebook (Release No. 34-82171; File No. SR-GEMX-2017-54); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Shell Structure for the ISE Rulebook (Release No. 34-82173; File No. SR-ISE-2017-102); see also Exhibit 5
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Shell Structure for the MRX Rulebook (Release No. 34-82172; File No. SR-MRX-2017-26); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Shell Structure for the Nasdaq Rulebook (Release No. 34-82175; File No. SR-NASDAQ-2017-125); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Shell Structure for the BX Rulebook (Release No. 34-82174; File No. SR-BX-2017-054); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Shell Structure for the Phlx Rulebook (Release No. 34-82169; File No. SR-Phlx-2017-97); see also Exhibit 5
Fees, Fines, Rebates and Claims
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fees for NYSE BBO and NYSE Trades to Lower the Enterprise Fee, and for NYSE BQT to Lower the Access Fee (Release No. 34-82182; File No. SR-NYSE-2017-60); see also Exhibit 5
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify How the Options Regulatory Fee is Assessed and Collected (Release No. 34-82163; File No. SR-C2-2017-031); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Clarifying How the Options Regulatory Fee is Assessed and Collected (Release No. 34-82164; File No. SR-CBOE-2017-074); see also Exhibit 5
Products and Listings
- NYSE: Notice of Filing of Proposed Rule Change to Amend the Listed Company Manual for Special Purpose Acquisition Companies to Lower the Initial Holder Requirement From 300 to 150 Round Lot Holders and to Eliminate Completely the 300 Public Stockholders Continued Listing Requirement, to Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and to Impose a 30-Day Deadline to Demonstrate Compliance with the Initial Listing Requirements Following a Business Combination (Release No. 34-82180; File No. SR-NYSE-2017-53); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect a Change to the Investment Objective and the Underlying Index for the Horizons S&P 500 Covered Call ETF (Release No. 34-82190; File No. SR-NYSEArca-2017-123)
- NASDAQ: Notice of Filing of Proposed Rule Change to List and Trade the Shares of the Brandes Value NextShares Fund (Release No. 34-82167; File No. SR-NASDAQ-2017-124)
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the JPMorgan Long/Short ETF under NYSE Arca Rule 8.600-E (Release No. 34-82176; File No. SR-NYSEArca-2017-87)
- NYSE Arca: Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the Hartford Municipal Opportunities ETF under NYSE Arca Rule 8.600-E (Release No. 34-82166; File No. SR-NYSEArca-2017-90)
Trading and Trade Reporting
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Retail Price Improvement Program Until June 30, 2018 (Release No. 34-82192; File No. SR-BX-2017-055); see also Exhibit 5
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements (Release No. 34-82189; File No. SR-FINRA-2017-034); see also Exhibit 5
- CBOE: Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Amended, to Amend Interpretation and Policy .07 of Exchange Rule 4.11, Position Limits, to Increase the Position Limits for Options on Certain Exchange Traded Products (Release No. 34-82168; File No. SR-CBOE-2017-057)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section (a)(i)(D) of Rule 1012, Series of Options Open for Trading (Release No. 34-82170; File No. SR-Phlx-2017-96); see also Exhibit 5
- Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 19.6, Series of Options Contracts Open for Trading (Release No. 34-82160; File No. SR-CboeBZX-2017-002); see also Exhibit 5
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Delay of Qualified Contingent Cross Order Functionalities (Release No. 34-82159; File No. SR-GEMX-2017-53); see also Exhibit 5
- NYSEAMER: Notice of Filing of Proposed Rule Change to Amend Rule 971.1NY to Amend the Duration of a Customer Best Execution Auction (Release No. 34-82162; File No. SR-NYSEAMER-2017-26); see also Exhibit 5
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