Weekly Roundup Of Exchange Rules By Category - July 27, 2018

Author:Mr Cadwalader, Wickersham & Taft LLP
Profession:Cadwalader, Wickersham & Taft LLP
 
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Click on the links below to view SEC notices of exchange rule changes and proposals for the week of July 23 to July 27, 2018.

Clearance & Settlement

LCH SA: Order Approving Proposed Rule Change Relating to Liquidity Risk Management (Release No. 34-83691; File No. SR-LCH SA-2018-003) OCC: Notice of Filing of Partial Amendments No. 1and 2 to Proposed Rule Change Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan (Release No. 34-83732; File No. SR-OCC-2017-021) OCC: Notice of Filing of Amendments No. 1 and 2 to Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios (Release No. 34-83725; File No. SR-OCC-2017-020) OCC: Order Approving Proposed Rule Change, as Modified by Amendments No. 1 and 2, Related to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology (Release No. 34-83735; File No. SR-OCC-2018-008) OCC: Advance Notice: Notice of No Objection to Advance Notice, as Modified by Amendments No. 1 and 2, Concerning Proposed Changes to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology (Release No. 34-83714; File No. SR-OCC-2018-803) Corporate Governance

GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Existing Investigatory and Disciplinary Processes and Related Rules with the Investigatory and Disciplinary Processes and Associated Rules of Nasdaq BX, Inc. (Release No. 34-83704; File No. SR-GEMX-2018-24); see also Exhibit 5 ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Existing Investigatory and Disciplinary Processes and Related Rules with the Investigatory and Disciplinary Processes and Associated Rules of Nasdaq BX, Inc. (Release No. 34-83703; File No. SR-ISE-2018-59); see also Exhibit 5 MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Existing Investigatory and Disciplinary Processes and Related Rules with the Investigatory and Disciplinary Processes and Associated Rules of Nasdaq BX, Inc. (Release No. 34-83705; File No. SR-MRX-2018-23); see also Exhibit 5 Fees, Fines, Rebates & Claims

NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees and Credits Under Rule 7018(a) (Release No. 34-83702; File No. SR-NASDAQ-2018-057); see also Exhibit 5 NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fees and Charges and the NYSE...

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