Weekly Roundup Of Exchange Rules By Category

Author:Cadwalader, Wickersham & Taft LLP
Profession:Cadwalader, Wickersham & Taft LLP
 
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New SRO rules and rule proposals were announced by the SEC. Click on the links to view the SEC's notices of exchange rule changes and proposals for the week of May 16 - May 20.

Clearance & Settlement:

FICC: Notice of Filing to Suspend the Interbank Service of the GCF Repo® Service (Release No. 34-77840; File No. SR-FICC-2016-002; May 16, 2016) Corporate Governance:

FINRA: Notice of Filing of a Proposed Rule Change Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitration Procedure for Industry Disputes to Permit Award Offsets in Arbitration (Release No. 34-77844; File No. SR-FINRA-2016-015; May 17, 2016) MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to the MSRBs Amended and Restated Articles of Incorporation (Release No. 34-77856; File No. SR-MSRB-2016-06; May 19, 2016); see also Exhibit 5 NYSE: Notice of Filing of Amendment No. 5 to Proposed Rule Change Adopting Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopting Listing Fees Specific to Equity Investment Tracking Stocks (Release No. 34-77850; File No. SR-NYSE-2016-22; May 17, 2016); see also Exhibit 5 NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE Rules 2090 (Know Your Customer) and 2111 (Suitability) that are Substantially Similar to FINRA Rules 2090 and 2111 and Deleting Current Rule 405 and the Related NYSE Rule Interpretation to Harmonize its Rules with Certain Financial Industry Regulatory Authority, Inc. Rules (Release No. 34-77838; File No. SR-NYSE-2016-33; May 16, 2016) Fees, Fines, Rebates & Claims:

ISE Mercury: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees (Release No. 34-77841; File No. SR-ISE Mercury-2016-11; May 16, 2016); see also Exhibit 5 NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Clarify Closed-End Funds Annual Fees (Release No. 34-77855; File No. SR-NASDAQ-2016-057; May 19, 2016) NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule (Release No. 34-77835; File No. SR-NYSEArca-2016-61; May 16, 2016); see also Exhibit 5 Products:

NASDAQ: Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the First Trust Equity Market Neutral...

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