Click on the links to view SEC notices of exchange rule changes and proposals for the week of June 25 to June 29, 2018.
Clearance and Settlement
- ICC: Notice of Filing of Proposed Rule Change Relating to Amending the ICC Clearing Rules Regarding Mark-to-Market Margin (Release No. 34-83513; File No. SR-ICC-2018-006)
- OCC: Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal to Enter Into a New Credit Facility Agreement (Release No. 34-83529; File No. SR-OCC-2018-802)
Fees, Fines, Rebates and Claims
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Rules Pertaining to Co-location and Direct Connectivity (Release No. 34-83516; File No. SR-MRX-2018-21); see also Exhibit 5
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Rules Pertaining to Co-location and Direct Connectivity (Release No. 34-83514; File No. SR-GEMX-2018-22); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Transaction Fee for Execution of Midpoint Extended Life Orders (Release No. 34-83522; File No. SR-NASDAQ-2018-047); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE American Options Fee Schedule (Release No. 34-83524; File No. SR-NYSEAMER-2018-29); see also Exhibit 5
- CboeBZX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Physical Port Fees for BZX (Release No. 34-83442; File No. SR-CboeBZX-2018-037; Date: Jun. 14, 2018)
Products and Listings
- IEX: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish a New Optional Listing Category on the Exchange, "LTSE Listings on IEX" (Release No. 34-83558; File No. SR-IEX-2018-06)
- Cboe EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.6, Definitions and Rule 11.8, Order Types (Release No. 34-83521; File No. SR-CboeEDGA-2018-011); see also Exhibit 5
- IEX: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish a New Optional Listing Category on the Exchange, "LTSE Listings on IEX" (Release No. 34-83558; File No. SR-IEX-2018-06); see also Incoming Letter
- NYSE: Notice of Withdrawal of Proposed Rule Change to Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holders Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the 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 Certain Initial Listing Requirements Following a Business Combination (Release No. 34-83570; File No. SR-NYSE-2017-53)
Trading and Trade Reporting
- BOX: Notice of Filing of Proposed Rule Change to Amend BOX Rule 7300 (Preferenced Orders) to Provide an Additional Allocation Preference to Preferred Market Makers (Release No. 34-83525; File No. SR-BOX-2018-20); see also Exhibit 5
- Cboe BZX: Notice of Filing of Proposed Rule Change to List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust (Release No. 34-83520; File No. SR-CboeBZX-2018-040)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Penny Pilot Program (Release No. 34-83527; File No. SR-NASDAQ-2018-048)
- OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Facilitate Reporting Under Commodity Futures Trading Commission Regulations Applicable to Derivatives Clearing Organizations (Release No. 34-83519; File No. SR-OCC-2018-009)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.2., Hybrid Opening (and Sometimes Closing) System ("HOSS") (Release No. 34-83505; File No. SR-CBOE-2018-046)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.2., Hybrid Opening (and Sometimes Closing) System ("HOSS") (Release No. 34-83504; File No. SR-CBOE-2018-045)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 6.72-O in Order to Extend the Penny Pilot in Options Classes in Certain Issues through December 31, 2018 (Release No. 34-83512; File No. SR-NYSEArca-2018-48); see also Exhibit 5
- NYSE Amer: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues through December 31, 2018 (Release No. 34-83507; File No. SR-NYSEAMER-2018-33); see also Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 510 to Extend the Penny Pilot Program (Release No. 34-83517; File No. SR-PEARL-2018-14); see also Exhibit 5
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program (Release No. 34-83568; File No. SR-C2-2018-015)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program (Release No. 34-83567; File No. SR-CBOE-2018-047)
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5, Minimum Increments, to Extend the Penny Pilot Program (Release No. 34-83569; File No. SR-CboeBZX-2018-049); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5, Minimum Increments, to Extend the Penny Pilot Program (Release No. 34-83566; File No. SR-CboeEDGX-2018-021); see also Exhibit 5
- FINRA: Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Establish a Second Trade Reporting Facility (Release No. 34-83559; File No. SR-FINRA-2018-013)
Miscellaneous
- MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Content Outline and Selection Specifications for the Series 52 Examination and to Revise the Content Outlines for the Series 50, Series 51 and Series 53 Examinations(Release No. 34-83572; File No. SR-MSRB-2018-05); see also Exhibit 3
- OCC: Notice of Filing of Advance Notice, as Modified by Amendment No. 1, Concerning Proposed Changes to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology (Release No. 34-83561; File No. SR-OCC-2018-803); see also Exhibit 5a
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