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 13 to February 17, 2017.

Clearance and Settlement

• NASDAQ: Order Granting Approval of a Proposed Rule Change to Conform to Proposed Amendment to Rule 15c6-1(a) under the Securities Exchange Act of 1934 to Shorten the Standard Settlement Cycle from Three Business Days after the Trade Date to Two Business Days after the Trade Date (Release No. 34-80013; File No. SR-NASDAQ-2016-183; February 10, 2017)

• NYSE: Order Granting Approval of a Proposed Rule Change to Conform to Proposed Amendment to Rule 15c6-1(a) under the Securities Exchange Act of 1934 to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from Three Business Days after the Trade Date ("T+3") to Two Business Days after the Trade Date ("T+2") (Release No. 34-80021; File No. SR-NYSE-2016-87; February 10, 2017)

• NYSE MKT: Order Granting Approval of a Proposed Rule Change to Conform to Proposed Amendment to Rule 15c6-1(a) under the Securities Exchange Act of 1934 to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from Three Business Days after the Trade Date ("T+3") to Two Business Days after the Trade Date ("T+2") (Release No. 34-80020; File No. SR-NYSEMKT-2016-119; February 10, 2017)

Fees, Fines, Rebates & Claims

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.02 of the New York Stock Exchange LLC Listed Company Manual to Waive the First Partial Year's Annual Fees for Companies Transferring from Other Exchanges (Release No. 34-80030; File No. SR-NYSE-2017-02; February 13, 2017); see also Exhibit 5

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Option Regulatory Fees as They Relate to the Equity Options Platform (Release No. 34-80025; File No. SR-BatsEDGX-2017-04; February 13, 2017); see also Exhibit 5

• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule (Release No. 34-80031; File No. SR-C2-2017-008; February 13, 2017); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services (Release No. 34-80032; File No. SR-NYSEArca-2017-10; February 13, 2017); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule (Release No. 34-80029; File No. SR-NYSEArca-2017-12; February 13, 2017); see also Exhibit 5

• BatsEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Use of the Exchanges Equities Platform (Release No. 34-80034; File No. SR-BatsEDGX-2017-09; February 14, 2017); see also Exhibit 5

• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule to Establish an Options Regulatory Fee ("ORF") (Release No. 34-80035; File No. SR-PEARL-2017-09; February 14, 2017); see also Exhibit 5

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Option Regulatory Fees as They Relate to the Equity Options Platform (Release No. 34-80050; File No. SR-BatsBZX-2017-13; February 16, 2017); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the BX Options Market Port Fees and Institute a Fee Cap at Chapter XV Section 3 (Release No. 34-80055; File No. SR-BX-2017-009; February 16, 2017); see also Exhibit 5

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc. Adding NBBO Setter Tiers (Release No. 34-80017; File No. SR-BatsBZX-2017-11; February 10, 2017)

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as They Relate to the Equities Options Platform (Release No. 34-80012; File No. SR-BatsBZX-2017-12; February 10, 2017)

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7014 and 7018 (Release No. 34-80051; File No. SR-NASDAQ-2017-016; February 16, 2017); see also Exhibit 5

Products

• BatsBZX: Notice of Filing of a Proposed Rule Change to List and Trade Shares of the iShares iBonds Dec 2024 AMT-Free Muni Bond ETF, iShares iBonds Dec 2025 AMT-Free Muni Bond ETF, and iShares iBonds Dec 2026 AMT-Free Muni Bond ETF of the iShares U.S. ETF Trust under Bats Rule 14.11(i), Managed Fund Shares (Release No. 34-80036; File No. SR-BatsBZX-2017-10; February 14, 2017)

• NYSE Arca: Notice of Filing of Proposed Rule Change Regarding Investments of the Janus Short Duration Income ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-80028; File No. SR-NYSEArca-2017-09; February 13, 2017)

Trading & Trade Reporting

• CHX: Notice of Filing of Proposed Rule Change to Adopt the CHX Liquidity Enhancing Access Delay (Release No. 34-80041; File No. SR-CHX-2017-04; February 14, 2017); see also Exhibit 5

• ISE Gemini: Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Exchange Opening Process (Release No. 34-80014; File No. SR-ISEGemini-2016-18; February 10, 2017)

• NSX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 11.1, Hours of Trading, Interpretations and Policies .01, to Cease Trading on the Exchange's System as of February 1, 2017 (Release No. 34-80018; File No. SR-NSX-2017-04; February 10, 2017)

• CBOE: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Related to the Nullification and Adjustment of Options Transactions (Release No. 34-80040; File No. SR-CBOE-2016-088; February 14, 2017)

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Its Functionality Relating to Post-Only Orders and Orders with Midpoint Pegging, and Its Trade-Now Functionality (Release No. 34-80045; File No. SR-NASDAQ-2017-013; February 15, 2017)

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Its Functionality Relating to Post-Only Orders and Orders with Midpoint Pegging, and Its Trade-Now Functionality (Release No. 34-80046; File No. SR-BX-2017-008; February 15, 2017)

• NYSE: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending Rule 104 to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Security the DMM has a Long (Short) Position during the Last Ten Minutes Prior to the Close of Trading (Release No. 34-80044; File No. SR-NYSE-2016-71; February 15, 2017)

• NYSEMKT: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending Rule 104 – Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Security the DMM has a Long (Short) Position during the Last Ten Minutes Prior to the Close of Trading (Release No. 34-80043; File No. SR-NYSEMKT-2016-99; February 15, 2017)

• ISE Gemini: Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Amend Various Rules in Connection with a System Migration to Nasdaq INET Technology (Release No. 34-80011; File No. SR-ISEGemini-2016-17; February 10, 2017)

• CBOE: Notice of Filing of a Proposed Rule Change Related to Rule 24.9(e) (Release No. 34-80037; File No. SR-CBOE-2017-014; February 14, 2017)