Weekly Roundup of Exchange Rules by Category

New SRO rules and rule proposals were announced by the SEC. Click on the links below to view the SEC's notices of exchange rule changes and proposals from February 29 to March 4.

Fees, Fines, Rebates & Claims:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Equity Options Platform (Release No. 34-77256; File No. SR-BATS-2016-23; March 1, 2016); see also Exhibit 5
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Options Fee Schedule (Release No. 34-77251; File No. SR-MIAX-2016-06; February 29, 2016); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Access Services Fees under Rule 7015 (Release No. 34-77285; File No. SR-NASDAQ-2016-029; March 3, 2016); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Access Services Fees under Rule 7015 (Release No. 34-77282; File No. SR-BX-2016-013; March 3, 2016); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Proprietary Market Data as They Apply to Federal Agency Customers (Release No. 34-77280; File No. SR-NYSE-2016-19; March 3, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Arca Proprietary Market Data as They Apply to Federal Agency Customers (Release No. 34-77281; File No. SR-NYSEArca-2016-37; March 3, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Arca Options Proprietary Market Data as They Apply to Federal Agency Customers (Release No. 34-77276; File No. SR-NYSEArca-2016-32; March 2, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fees for the NYSE Arca Order Imbalances Data Feed (Release No. 34-77289; File No. SR-NYSEArca-2016-31; March 3, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services (Release No. 34-77274; File No. SR-NYSEArca-2016-35; March 2, 2016); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of a Proposed Change Amending the Fees for NYSE MKT Proprietary Market Data as They Apply to Federal Agency Customers (Release No. 34-77279; File No. SR-NYSEMKT-2016-32; March 3, 2016); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of a Proposed Change Amending the Fees for NYSE Amex Options Proprietary Market Data as They Apply to Federal Agency Customers (Release No. 34-77275; File No. SR-NYSEMKT-2016-28; March 2, 2016); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Access Services Fees under Chapter VIII of the Pricing Schedule (Release No. 34-77286; File No. SR-Phlx-2016-31; March 3, 2016); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Pricing Schedule (Release No. 34-77283; File No. SR-Phlx-2016-30; March 3, 2016); see also Exhibit 5

Products:

• BATS: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to BATS Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the REX VolMAXX Long VIX Weekly Futures Strategy ETF and the REX VolMAXX Inverse VIX Weekly Futures Strategy ETF of the Exchange Traded Concepts Trust (Release No. 34-77287; File No. SR-BATS-2015-124; March 3, 2016)

Trading & Trade Reporting:

• BATS: Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change to Adopt BATS Rule 11.27(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program (Release No. 34-77291; File No. SR-BATS-2015-108; March 3, 2016)
• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.23, Auctions, to Lengthen the Auction Information Dissemination Periods for the Opening and Closing Auctions in BZX Listed Securities (Release No. 34-77284; File No. SR-BATS-2016-24; March 3, 2016); see also Exhibit 5
• FINRA: Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 4554 (Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) (Release No. 34-77269; File No. SR-FINRA-2016-010; March 1, 2016); see also Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5
• NASDAQ: Notice of Withdrawal of Proposed Rule Change to Adopt Limit Order Protection and Market Order Protection (Release No. 34-77267; File No. SR-NASDAQ-2016-005; March 1, 2016)
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend BX Options Chapter VII, Section 6 (Release No. 34-77252; File No. SR-BX-2016-012; February 29, 2016)
• NASDAQ OMX BX: Notice of Withdrawal of Proposed Rule Change to Adopt Limit Order Protection and Market Order Protection (Release No. 34-77266; File No. SR-BX-2016-008; March 1, 2016)
• NMS: Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Implement a Tick Size Pilot Program to Add National Stock Exchange, Inc. as a Participant (Release No. 34-77277; File No. 4-657; March 3, 2016)
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7.21, Obligations of Market Maker Authorized Traders (Release No. 34-77268; File No. SR-NYSEArca-2016-36; March 1, 2016); see also Exhibit 5
• Phlx: Notice of Withdrawal of Proposed Rule Change to Adopt Limit Order Protection and Market Order Protection (Release No. 34-77264; File No. SR-Phlx-2016-12; March 1, 2016)