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 15 to January 19, 2018.

Clearance and Settlement

• OCC-AN: Notice of Filing of Advance Notice Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan (Release No. 34-82514; File No. SR-OCC-2017-810); see also Exhibit 5 (Release No. 34-82514; File No. SR-OCC-2017-810)
• OCC-AN: Notice of Filing of Advance Notice Concerning Enhanced and New Tools for Recovery Scenarios (Release No. 34-82513; File No. SR-OCC-2017-809); see also Exhibit 5a (Release No. 34-82513; File No. SR-OCC-2017-809)
• OCC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology (Release No. 34-82534; File No. SR-OCC-2017-022)

Fees, Fines, Rebates and Claims

• Bats BYX, Bats BZX, Bats EDGA, Bats EDGX, BOX, BX, C2, CBOE, CHX, FINRA, GEMX, IEX, ISE, MIAX, MRX, NASDAQ, NYSE, NYSE Arca, NYSE MKT, PEARL, PHLX: Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail (Release No. 34-82503; File Nos. SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37)
• NSCC: Notice of Filing of a Proposed Rule Change to Enhance the Calculation of the Volatility Component of the Clearing Fund Formula that Utilizes a Parametric Value-at-Risk Model and Eliminate the Market Maker Domination Charge (Release No. 34-82494; File No. SR-NSCC-2017-020; January 12, 2018); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Pricing for NDXP (Release No. 34-82499; File No. SR-Phlx-2018-02; January 12, 2018); see also Exhibit 5
• CboeBYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Harmonize the Definition of Non-Professional User in its Fee Schedule with that of its Affiliates (Release No. 34-82512; File No. SR-CboeBYX-2018-001); see also: Exhibit 5
• CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Harmonize the Definition of Non-Professional User in its Fee Schedule with that of its Affiliates (Release No. 34-82517; File No. SR-CboeBZX-2018-003; January 17, 2018); see also: Exhibit 5
• CboeEDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Harmonize the Definition of Non-Professional User in its Fee Schedule with that of its Affiliates (Release No. 34-82518; File No. SR-CboeEDGA-2018-001; January 17, 2018); see also: Exhibit 5
• CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Harmonize the Definition of Non-Professional User in its Fee Schedule with that of its Affiliates (Release No. 34-82520; File No. SR-CboeEDGX-2018-001; January 17, 2018); see also: Exhibit 5
• CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Harmonize the Definition of Non-Professional User in its Fee Schedule with that of its Affiliates (Release No. 34-82519; File No. SR-CboeEDGX-2018-002; January 17, 2018); see also: Exhibit 5

Miscellaneous

• Bats BZX, Bats EDGX, BOX, C2, CBOE, FINRA, ISE, IEX, MIAX, PEARL, NASDAQ, BX, Phlx, NYSE, NYSE Arca, NYSE MKT: Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT (Release No. 34-82524; File Nos. SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30; January 17, 2018)
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Obsolete Rules (Release No. 34-82529; File No. SR-CBOE-2018-003); see also Exhibit 5

Products and Listings

• NYSE: Notice of Filing of Proposed Rule Change to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 907.00 of the Exchange's Listed Company Manual (Release No. 34-82506; File No. SR-NYSE-2018-01; January 16, 2018); see also Exhibit 5
• NASDAQ: Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to List and Trade Shares of Brandes Value NextShares Under Nasdaq Rule 5745 (Release No. 34-82530; File No. SR-NASDAQ-2017-124)
• NYSE: Notice of Designation of a Longer Period for Commission Action on a 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 300 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 the Initial Listing Requirements Following a Business Combination (Release No. 34-82531; File No. SR-NYSE-2017-53)
• NYSE Arca: Notice of Filing of Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares under NYSE Arca Rule 8.200-E (Release No. 34-82532; File No. SR-NYSEArca-2018-02)

Trading and Trade Reporting

• NYSEAMER: Order Approving a Proposed Rule Change to Amend Rule 971.1NY to Amend the Duration of a Customer Best Execution Auction (Release No. 34-82498; File No. SR-NYSEAMER-2017-26; January 12, 2018)
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31-E Relating to Mid-Point Liquidity Orders and the Minimum Trade Size Modifier and Rule 7.36-E to Add a Definition of "Aggressing Order" (Release No. 34-82504; File No. SR-NYSEArca-2018-01); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Price Improvement XL Rule (Release No. 34-82505; File No. SR-Phlx-2018-06); see also Exhibit 5
• Bats BZX: Notice of Filing of Amendment No. 1 and Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Introduce Cboe Market Close, a Closing Match Process for Non-BZX Listed Securities under New Exchange Rule 11.28 (Release No. 34-82522; File No. SR-BatsBZX-2017-34)
• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Orders (Release No. 34-82516; File No. SR-GEMX-2018-01; January 17, 2018)
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Orders (Release No. 34-82521; File No. SR-ISE-2018-04; January 17, 2018)
• MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Orders (Release No. 34-82523; File No. SR-MRX-2018-02; January 17, 2018)