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 30 - February 3.

Clearance & Settlement

• ICC: Order Approving Proposed Rule Change to Provide for the Clearance of Additional Credit Default Swap Contracts (Release No. 34-79892; File No. SR-ICC-2016-014; January 27, 2017)
• OCC: Notice of Filing of Advance Notice Concerning the Options Clearing Corporation's Margin Coverage during Times of Increased Volatility (Release No. 34-79915; File No. SR-OCC-2017-801; February 1, 2017)

Fees, Fines, Rebates & Claims

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-79906; File No. SR-CBOE-2017-008; January 31, 2017); see also Exhibit 5

Products

• BOX: Order Granting Approval of a Proposed Rule Change to Amend Rule 5050 Series of Options Contracts Open for Trading to TMProvide for the Listing and Trading on the Exchange of RealDay Options pursuant to a Pilot Program (Release No. 34-79936; File No. SR-BOX-2016-50; February 2, 2017)
• IEX: Notice of Filing of Proposed Rule Change to Amend IEX Rule 16.135 to Adopt Generic Listing Standards for Managed Fund Shares. (Release No. 34-79940; File No. SR-IEX-2017-03; February 1, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the ProShares UltraPro 3x Crude Oil ETF and ProShares UltraPro 3x Short Crude Oil ETF under NYSE Arca Equities Rule 8.200 (Release No. 34-79917; File No. SR-NYSEArca-2017-07; February 1, 2017)
• NYSE Arca: Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Direxion Daily Crude Oil Bull 3x Shares and Direxion Daily Crude Oil Bear 3x Shares under NYSE Arca Equities Rule 8.200 (Release No. 34-79916; File No. SR-NYSEArca-2017-05; February 1, 2017)
• NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the ForceShares Daily 4X US Market Futures Long Fund and ForceShares Daily 4X US Market Futures Short Fund under Commentary .02 to NYSE Arca Equities Rule 8.200 (Release No. 34-79914; File No. SR-NYSEArca-2016-120; February 1, 2017)
• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish MIAX PEARL Top of Market ("ToM") and MIAX PEARL Liquidity Feed ("PLF") Data Products (Release No. 34-79913; File No. SR-PEARL-2017-01; February 1, 2017)
• Phlx: Notice of Filing of Proposed Rule Change to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index Options on a Pilot Basis (Release No. 34-79894; File No. SR-Phlx-2017-04; January 30, 2017); see also Exhibit 5

Trading & Trade Reporting

• Bats BZX: Notice of Filing of a Proposed Rule Change to Adopt Rules 4.5 Through 4.16 to Implement the Compliance Rule regarding the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-79927; File No. SR-BatsBZX-2017-08; February 2, 2017); see also Exhibit 5
• Bats BYX: Notice of Filing of a Proposed Rule Change to Adopt Rules 4.5 Through 4.16 to Implement the Compliance Rule regarding the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-79944; File No. SR-BatsBYX-2017-02; February 2, 2017); see also Exhibit 5
• Bats EDGX: Notice of Filing of a Proposed Rule Change to Adopt Rules 4.5 Through 4.16 to Implement the Compliance Rule regarding the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-79949; File No. SR-BatsEDGX-2017-08; February 2, 2017); see also Exhibit 5
• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Functionality Offered by the Exchange's Options Platform to Adopt Qualified Contingent Cross Orders (Release No. 34-79942; File No. SR-BatsEDGX-2017-11; February 2, 2017); see also Exhibit 5
• BOX: Notice of Filing of a Proposed Rule Change to Adopt the Rule 16000 Series to Implement the Compliance Rule regarding the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-79932; File No. SR-BOX-2017-07; February 2, 2017); see also Exhibit 5
• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 8040 (Obligations of Market Makers) (Release No. 34-79891; File No. SR-BOX-2017-03; January 27, 2017); see also Exhibit 5
• CBOE: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to Rules regarding the Responsibility for Ensuring Compliance with Open Outcry Priority and Allocation Requirements and Trade-Through Prohibitions (Release No. 34-79910; File No. SR-CBOE-2016-082; January 31, 2017)
• CBOE: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend CBOE Rule 6.53C (Release No. 34-79990; File No. SR-CBOE-2016-080; January 30, 2017)
• CFE: Notice of Filing of a Proposed Rule Change regarding Block Trades (Release No. 34-79931; File No. SR-CFE-2017-001; February 2, 2017); see also Exhibit 4
• CHX: Notice of Filing of Proposed Rule Change to Implement the Compliance Rule regarding the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-79948; File No. SR-CHX-2017-03; February 2, 2017); see also Exhibit 5
• IEX: Notice of Filing of Proposed Rule Change to Adopt the Rule Series 11.600 to Implement the Compliance Rule regarding the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-79934; File No. SR-IEX-2017-04; February 2, 2017); see also Exhibit 5
• NASDAQ: Notice of Filing of Proposed Rule Change to Adopt Rules regarding the CAT NMS Plan (Release No. 34-79935; File No. SR-NASDAQ-2017-008; February 2, 2017); see also Exhibit 5
• NSCC: Order Granting Approval of Proposed Rule Change to Reflect Updates to the Consolidated Trade Summary, Eliminate Re-Pricing in the Foreign Security Accounting Operation and Make Other Changes (Release No. 34-79904; File No. SR-NSCC-2016-008; January 31, 2017)
• NSX: Notice of Filing of Proposed Rule Change to Implement Compliance Rules regarding the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-79933; File No. SR-NSX-2017-03; February 2, 2017); see also Exhibit 5
• NYSE: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the Rule 6800 Series to Implement the Compliance Rule regarding the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-79907; File No. SR-NYSE-2017-01; January 31, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the Rule 11.6800 Series to Implement the Compliance Rule regarding the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-79909; File No. SR-NYSEArca-2017-03; January 31, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the Rule 6.6800 Series to Implement the Compliance Rule regarding the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-79908; File No. SR-NYSEArca-2017-04; January 31, 2017); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 900.3NY, Rule 961NY, Make a Conforming Change to Rule 935NY, and Eliminate Section 910AEMI of the AEMI Rules, and Sections 910 and 910AEMI of the NYSE MKT Company Guide (Release No. 34-79895; File No. SR-NYSEMKT-2017-03; January 30, 2017); see also Exhibit 5
• NYSE MKT: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the Rule 6800 Series to Implement the Compliance Rule regarding the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-79911; File No. SR-NYSEMKT-2017-02; January 31, 2017); see also Exhibit 5
• PEARL: Notice of Filing of a Proposed Rule Change by to Adopt Rules 1701-1712 to Implement the Compliance Rule regarding the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-79938; File No. SR-PEARL-2017-04; February 2, 2017); see also Exhibit 5
• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 515, Execution of Orders and Quotes. (Release No. 34-79946; File No. SR-PEARL-2017-05); see also Exhibit 5

Licensing & Registration

• NMS: Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add MIAX PEARL, LLC as a Participant (Release No. 34-79896; File No. 4-546; January 30, 2017)
• NMS: Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail to Add MIAX PEARL, LLC as a Participant (Release No. 34-79898; File No. 4-698; January 30, 2017)
• NMS: Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add MIAX PEARL, LLC as a Plan Sponsor (Release No. 34-79897; File No. 4-443; January 30, 2017)

Miscellaneous

• 17d-2: Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities among NYSE MKT LLC, Bats BZX Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the Bats EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., the NASDAQ Stock Market LLC, NASDAQ BX, Inc., the NASDAQ PHLX, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL Concerning Options-Related Market Surveillance (Release No. 34-79930; File No. 4-551; February 2, 2017)
• 17d-2: Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities among NYSE MKT LLC, Bats BZX Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, Bats EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., the NASDAQ Stock Market LLC, NASDAQ BX, Inc., the NASDAQ PHLX, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL, LLC Concerning Options-Related Sales Practice Matters (Release No. 34-79929; File No. S7-966; February 2, 2017)
• 17d-2: Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities among NYSE MKT LLC, Bats BZX Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the Bats EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., the NASDAQ Stock Market LLC, NASDAQ BX, Inc., the NASDAQ PHLX, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL Concerning Options-Related Market Surveillance (Release No. 34-79928; File No. 4-618; February 2, 2017)
• NYSE, NYSE Arca, NYSE MKT: Order Approving Proposed Rule Changes, Each as Modified by Amendment No. 1 Thereto, in Connection with the Proposed Acquisition of National Stock Exchange, Inc. by the NYSE Group, Inc. (Release No. 34-79901; File Nos. SR-NYSE-2016-90, SR-NYSEArca-2016-167, SR-NYSEMKT-2016-122)
• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX PEARL Rules 100, 404, 519C and Adopt MIAX PEARL 1018 (Release No. 34-79947; File No. SR-PEARL-2017-03); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error (Release No. 34-79905; File No. SR-Phlx-2017-05; January 31, 2017)