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 February 6 – February 10.

Clearance & Settlement

• ICC: Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC's Liquidity Thresholds for Euro-Denominated Products (Release No. 34-79988; File No. SR-ICC-2017-002; February 8, 2017); see also Exhibit 5

• ICE: Notice of Filing of Proposed Rule Change to Revise the ICE Clear Europe Clearing Rules Relating to the Application of Default Provisions in the Event of a Resolution Proceeding (Release No. 34-79999; File No. SR-ICEEU-2017-002; February 9, 2017)

• FINRA: Order Granting Approval of a Proposed Rule Change to Amend FINRA Rules to Conform to the Commissions Proposed Amendment to Commission Rule 15c6-1(a) and the Industry-Led Initiative to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from T+3 to T+2 (Release No. 34-80004; File No. SR-FINRA-2016-047; February 9, 2017)

Fees, Fines, Rebates & Claims

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-80003; File No. SR-CBOE-2017-011; February 9, 2017); see also Exhibit 5

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC to Amend Its Fee Schedule to Modify Its Market Maker and Other Market Participant Transaction Fees (Release No. 34-79983; File No. SR-MIAX-2017-02; February 7, 2017); see also Exhibit 5

• NYSE: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 – 4, to Amend the Co-Location Services Offered by the Exchange to Add Certain Access and Connectivity Fees (Release No. 34-80002; File No. SR-NYSE-2016-45; February 9, 2017)

Products

• Bats BZX: Notice of Filing of a Proposed Rule Change to List and Trade under BZX Rule 14.11(c)(4) the Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust (Release No. 34-79989; File No. SR-BatsBZX-2017-07; February 8, 2017)

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Arca Equities Rule 5.2(j)(6)(v) to Add the EURO STOXX 50 Volatility Futures to the Definition of Futures Reference Asset (Release No. 34-79975; File No. SR-NYSEArca-2017-08; February 6, 2017)

Trading & Trade Reporting

• CHX: Notice of Withdrawal of a Proposed Rule Change to Adopt the CHX Liquidity Taking Access Delay (Release No. 34-79984; File No. SR-CHX-2016-16; February 7, 2017)

• ISE: Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the Exchange's Rules regarding Routing of Orders, Cancellation of Orders, and Handling of Error Positions, and Permit Nasdaq Execution Services, LLC to Become an Affiliated Member of the Exchange to Perform Certain Routing and Other Functions (Release No. 34-79994; File No. SR-ISE-2016-27; February 9, 2017)

• MSRB: Notice of Filing of a Proposed Rule Change to Add New MSRB Rule G-49, on Transactions below the Minimum Denomination of an Issue, to the Rules of the MSRB, and to Rescind Paragraph (f), on Minimum Denominations, from MSRB Rule G-15 (Release No. 34-79978; File No. SR-MSRB-2017-01; February 6, 2017); see also Exhibit 2, Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Rules Related to Flexible Exchange Options (Release No. 34-79976; File No. SR-NYSEArca-2017-02; February 6, 2017); see also Exhibit 5

• NYSE MKT: Notice of Filing of Proposed Rule Change Amending Rules 7.29E and 1.1E to Provide for a Delay Mechanism (Release No. 34-79998; File No. SR-NYSEMKT-2017-05; February 9, 2017); see also Exhibit 5

• NYSE MKT: Notice of Filing of Proposed Rule Change to Adopt New Equities Trading Rules to Transition Trading on the Exchange from a Floor-Based Market with a Parity Allocation Model to Fully Automated Price-Time Priority Model on the Exchange's New Trading Technology Platform, Pillar (Release No. 34-79993; File No. SR-NYSEMKT-2017-01; February 9, 2017); see also Exhibit 5

Miscellaneous

• 17d-2: Order Approving and Declaring Effective a Proposed Amended Plan for the Allocation of Regulatory Responsibilities among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL, LLC (Release No. 34-79974; File No. 4-678; February 6, 2017)

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Allocation and Priority Rules (Release No. 34-79981; File No. SR-CBOE-2017-009; February 7, 2017); see also Exhibit 5

• CHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Examination Requirement for CHX Market Maker Authorized Traders (Release No. 34-79822; File No. SR-CHX-2017-01; January 18, 2017)

• ISE Gemini: Order Granting Approval of Proposed Rule Changes, as Modified by Amendment Nos. 1 and 2 Thereto, to Permit Nasdaq Execution Services, LLC to Become an Affiliated Member of Each Exchange to Perform Certain Routing and Other Functions (Release No. 34-79995; File Nos. SR-ISEGemini-2016-16, SR-ISEMercury-2016-22; February 9, 2017)

• NASDAQ OMX BX: Order Granting Approval of Proposed Rule Changes, as Modified by Amendment No. 1s, to Accept Orders Routed Inbound from the International Stock Exchange, LLC, ISE Gemini, LLC, and ISE Mercury, LLC, by Nasdaq Execution Services, LLC (Release No. 34-79996; File Nos. SR-BX-2016-068, SR-NASDAQ-2016-169, SR-Phlx-2016-120; February 9, 2017)

• NYSE MKT: Notice of Filing of Proposed Rule Change Relating to Market Makers Applicable when the Exchange Transitions Trading to Pillar, the Exchanges New Trading Technology Platform (Release No. 34-79982; File No. SR-NYSEMKT-2017-04; February 7, 2017); see also Exhibit 5

• OC: Notice of Filing of Proposed Rule Change Regarding Fraudulent Acts (Release No. 34-79979; File No. SR-OC-2017-01; February 6, 2017); see also Exhibit 4