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 23 – January 27.

Clearance & Settlement

• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Give Up of a Clearing Trading Permit Holder (Release No. 34-79861; File No. SR-C2-2017-004; January 23, 2017); see also Exhibit 5

• FICC: Order Approving a Proposed Rule Change to Implement a Change to the Methodology Used in the MBSD VaR Model (Release No. 34-79868; File No. SR-FICC-2016-007; January 24, 2017)

Fees, Fines, Rebates & Claims

• Bats BZX: Notice of Withdrawal of a Proposed Rule Change to Amend the Options Regulatory Fee (Release No. 34-79859; File No. SR-BatsBZX-2016-42; January 23, 2017)

• Bats EDGX: Notice of Withdrawal of a Proposed Rule Change to Adopt an Options Regulatory Fee (Release No. 34-79860; File No. SR-BatsEDGX-2016-33; January 23, 2017)

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-79873; File No. SR-CBOE-2017-007; January 25, 2017); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Data Fees at Rule 7023 (Release No. 34-79863; File No. SR-NASDAQ-2017-004; January 23, 2017); see also Exhibit 5

Products

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Convert the Listing of the Shares of the SPDR DoubleLine Short Term Total Return Tactical ETF and the SPDR DoubleLine Emerging Markets Fixed Income ETF, Both of Which are a Series of the SSGA Active Trust, Pursuant to BZX Rule 14.11(i), Managed Fund Shares (Release No. 34-79865; File No. SR-BatsBZX-2017-03; January 23, 2017)

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Gabelli All Cap NextShares of the Gabelli NextShares Trust (Release No. 34-79862; File No. SR-NASDAQ-2017-003; January 23, 2017)

• NYSE Arca: Notice of Withdrawal of a Proposed Rule Change Relating to the Listing and Trading of Shares of the PowerShares Government Collateral Pledge Portfolio under NYSE Arca Equities Rule 8.600 (Release No. 34-79864; File No. SR-NYSEArca-2016-97; January 23, 2017)

• NYSE Arca: Order Approving a Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3, to List and Trade Shares of the Direxion Daily Municipal Bond Taxable Bear 1X Fund under NYSE Arca Equities Rule 5.2(j)(3) (Release No. 34-79885; File No. SR-NYSEArca-2016-100; January 26, 2017)

Trading & Trade Reporting

• Bats BZX: Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rule 11.23, Auctions, to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS (Release No. 34-79884; File No. SR-BatsBZX-2016-61; January 26, 2017)

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Rule 7130 (Execution and Price/Time Priority) to include a Participant ID, if elected, to be included in BOX's proprietary High Speed Vendor Feed (HSVF) for orders exposed pursuant to Rule 7130(b)(3)(ii) (Release No. 34-79869; File No. SR-BOX-2017-02; January 24, 2017); see also Exhibit 5

• MIAX: Order Granting Approval of a Proposed Rule Change to Amend Rule 515A, MIAX Price Improvement Mechanism (PRIME) and PRIME Solicitation Mechanism (Release No. 34-79837; File No. SR-MIAX-2016-46; January 18, 2017)

• NASDAQ: Notice of Withdrawal of a Proposed Rule Change to Amend Rule 4702 to Adopt a New Retail Post-Only Order (Release No. 34-79874; File No. SR-NASDAQ-2016-141; January 25, 2017)

• NASDAQ: Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility (Release No. 34-79876; File No. SR-NASDAQ-2016-131; January 25, 2017)