Date Filed: August 4, 2020 Description: Proposed rule change to amend various Exchange Rules to make changes to proposed Exchange System functionality prior to the launch of the Exchange.
Category: Effective Rule Filings
Below are rule changes that have been submitted by the Exchange for treatment as immediately effective filings and filings that have been approved by the SEC.
Date Filed: July 31, 2020 Description: Proposed rule change to add the Consolidated Audit Trail industry member compliance rules to the list of minor rule violations in Rule 8.15 and to make an additional change to paragraph (a) of Rule 8.15.
Date Filed: July 31, 2020 Description: Proposed rule change to amend Rule 4.5, a part of the Exchange’s compliance rules regarding the National Market System Plan Governing the Consolidated Audit Trail (“CAT NMS Plan”), to be consistent with an amendment to the CAT NMS Plan recently approved by the Commission.
Date Filed: June 23, 2020 Description: Proposed rule change to amend the Exchange’s compliance rules regarding the National Market System Plan Governing the Consolidated Audit Trail (“CAT NMS Plan”) to be consistent with certain exemptions from the CAT NMS Plan as well as to facilitate the retirement of certain existing regulatory systems.