Weekly Roundup of Exchange Rules by Category

Click on the links below to view SEC notices of exchange rule changes and proposals for the week of January 8 to January 12, 2018.

Clearance and Settlement

• OCC: Notice of Filing of Proposed Rule Change Related to the Options Clearing Corporation's Model Risk Management Policy (Release No. 34-82473; File No. SR-OCC-2017-011)

Corporate Governance

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Transitional Rules that Have Expired Related to Compensation Committee Listing Standards (Release No. 34-82481; File No. SR-NASDAQ-2017-133); see also Exhibit 5

Fees, Fines, Rebates, and Claims

• Cboe BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees (Release No. 34-82477; File No. SR-CboeBYX-2017-005); see also Exhibit 5

• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees at Chapter V, Section H, entitled "Nasdaq GEMX Trades Feed" (Release No. 34-82466; File No. SR-GEMX-2017-63); see also Exhibit 5

• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Makers' Regulatory Fees (Release No. 34-82460; File No. SR-GEMX-2017-62); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Price Level Protection Rule (Release No. 34-82472; File No. SR-ISE-2018-03); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees at Chapter VIII, Section J, entitled "Nasdaq ISE Trades Feed" (Release No. 34-82465; File No. SR-ISE-2017-113); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7037 (Release No. 34-82467; File No. SR-NASDAQ-2017-134); see also Exhibit 5

• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE American Options Fee Schedule (Release No. 34-82489; File No. SR-NYSEAMER-2017-42); see also Exhibit 5

• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule (Release No. 34-82490; File No. SR-PEARL-2017-40); see also Exhibit 5

Market Data

• Cboe BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the BYX Depth Market Data Product (Release No. 34-82471; File No. SR-CboeBYX-2017-003); see also Exhibit 5

• Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the BZX Depth Market Data Product (Release No. 34-82475; File No. SR-CboeBZX-2017-018); see also Exhibit 5

• Cboe EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the EDGA Depth Market Data Product (Release No. 34-82468; File No. SR-CboeEDGA-2017-003); see also Exhibit 5

• Cboe EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the EDGX Depth Market Data Product (Release No. 34-82469; File No. SR-CboeEDGX-2017-006); see also Exhibit 5

• Cboe EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Fees for Certain Market Data Products on the Exchange's Equity Options Platform (Release No. 34-82462; File No. SR-CboeEDGX-2017-010); see also Exhibit 5

Products and Listings

• BatsBZX: Notice of Withdrawal of a Proposed Rule Change to Permit the Listing and Trading of Managed Portfolio Shares and to List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF (Release No. 34-82482; File No. SR-BatsBZX-2017-30)

• Bats BZX: Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the Cboe Vest S&P 500 Dividend Aristocrats Target Income Index ETF under the ETF Series Solutions Trust Under Rule 14.11(c) (3) (Release No. 34-82476; File No. SR-BatsBZX-2017-58)

• CboeBZX: Notice of Filing of a Proposed Rule Change to List and Trade Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust, Under Rule 14.11(f)(4), Trust Issued Receipts (Release No. 34-82484; File No. SR-CboeBZX-2018-001)

• NASDAQ: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards to Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing from 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline to Demonstrate Compliance with Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination (Release No. 34-82478; File No. SR-NASDAQ-2017-087)

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade the Shares of the Goldman Sachs Access Emerging Markets Local Currency Bond ETF under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3) (Release No. 34-82487; File No. SR-NYSEArca-2017-138)

• Phlx: Order Granting Approval of a Proposed Rule Change to Amend Rule 1009 to Modify the Criteria for Listing an Option on an Underlying Covered Security (Release No. 34-82474; File No. SR-Phlx-2017-75)

Trading and Trade Reporting

• BOX: Order Approving a Proposed Rule Change to Amend the Minimum Order Size for the Floor Broker Guarantee Provided in BOX Rule 7600(f) (Release No. 34-82456; File No. SR-BOX-2017-33)

• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.12, Order and Quote Execution and Priority (Release No. 34-82457; File No. SR-C2-2017-033)

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) (Release No. 34-82480; File No. SR-FINRA-2018-001); see also Exhibit 5

• ISE: Notice of Filing of Proposed Rule Change to Establish a Nonstandard Expirations Pilot Program (Release No. 34-82458; File No. SR-ISE-2017-111)

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX Options Rules 700, 1308, and 1322 (Release No. 34-82488; File No. SR-MIAX-2018-01); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a New Rule 6200 to Codify Participant Risk Settings in the Exchange's Trading System (As Set Forth in a Proposed IM-6200-1) and to Authorize the Exchange to Share those Settings with the Clearing Member that Clears Transactions on behalf of the Participant (Release No. 34-82479; File No. SR-NASDAQ-2018-002)

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend a Cross-Reference in Rule 1017 (Openings in Options) (Release No. 34-82470; File No. SR-Phlx-2018-05); see also Exhibit 5