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 March 13 to March 17, 2017.

Clearance & Settlement

• FICC: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Expand the Types of Entities That Are Eligible to Participate in Fixed Income Clearing Corporation as Sponsored Members and Make Other Changes (Release No. 34-80236; File No. SR-FICC-2017-003; March 14, 2017); see also Exhibit 5
• FICC: Notice of Filing of Proposed Rule Change to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook (Release No. 34-80234; File No. SR-FICC-2017-002; March 14, 2017); see also Exhibit 5
• FICC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Describe the Intraday Mark-to-Market Charge (Release No. 34-80253; File No. SR-FICC-2017-004; March 15, 2017); see also Exhibit 5

Fees, Fines, Rebates & Claims

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees (Release No. 34-80242; File No. SR-BatsBZX-2017-19; March 14, 2017); see also Exhibit 5
• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform (Release No. 34-80205; File No. SR-BatsBZX-2017-10; March 14, 2017); see also Exhibit 5
• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Equity Options Platform (Release No. 34-80204; File No. SR-BatsEDGX-2017-14; March 10, 2017); see also Exhibit 5
• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC (BOX) Options Facility (Release No. 34-80246; File No. SR-BOX-2017-09; March 15, 2017); see also Exhibit 5
• FINRA: Order Approving Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) (Release No. 34-80255; File No. SR-FINRA-2017-003; March 15, 2017)
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchanges Schedule of Fees (Release No. 34-80249; File No. SR-ISE-2017-23; March 15, 2017); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule to Change the Definition of Net Zero Complex Order (Release No. 34-80219; File No. SR-ISE-2017-22; March 13, 2017); see also Exhibit 5
• ISE Gemini: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Fees for New Ports (Release No. 34-80213; File No. SR-ISEGemini-2017-10); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter X, Section 7(a) of the Exchange's Options Rules (Release No. 34-80217; File No. SR-NASDAQ-2017-021; March 10, 2017); see also Exhibit 5
• NASDAQ BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018 (Release No. 34-80224; File No. SR-BX-2017-017; March 13, 2017); see also Exhibit 5
• NSCC: Notice of Filing of a Proposed Rule Change to Describe the Illiquid Charge that May Be Imposed on Members (Release No. 34-80260; File No. SR-NSCC-2017-001; March 16, 2017); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List (Release No. 34-80222; File No. SR-NYSE-2017-09; March 13, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services (Release No. 34-80258; File No. SR-NYSEArca-2017-28; March 16, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule (Release No. 34-80252; File No. SR-NYSEArca-2017-26; March 15, 2017); see also Exhibit 5
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule (Release No. 34-80262; File No. SR-NYSEMKT-2017-15; March 16, 2017); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Pricing for NDX and MNX (Release No. 34-80244; File No. SR-Phlx-2017-24; March 14, 2017); see also Exhibit 5

Trading & Trade Reporting​

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 7170 (Nullification and Adjustment of Options Transactions) to add IM-7170-4 (Release No. 34-80247; File No. SR-BOX-2017-08; March 15, 2017); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Complex Orders (Release No. 34-80264; File No. SR-CBOE-2017-021; March 16, 2017)
• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.190(g) to Modify the Quote Instability Coefficients and Quote Instability Threshold Included in the Quote Instability Calculation Specified in Subparagraph (g)(1) for Purposes of Determining Whether a Crumbling Quote Exists (Release No. 34-80202; File No. SR-IEX-2017-06; March 10, 2017); see also Exhibit 5
• IEX: Order Granting Approval to a Proposed Rule Change to: (i) Amend Rules 11.190(a)(3) and 11.190(b)(8) to Modify the Operation of the Primary Peg Order Type; (ii) Amend Rule 11.190(h)(3)(C)(ii) and (D)(ii) Regarding Price Sliding in Locked and Crossed Markets to Simplify the Price Sliding Process for Both Primary Peg Orders and Discretionary Peg Orders Resting on or Posting to the Order Book; and (iii) Make Minor Technical Changes to Conform Certain Terminology (Release No. 34-80223; File No. SR-IEX-2016-18; March 13, 2017)
• ISE: Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Exchange Opening Process (Release No. 34-80225; File No. SR-ISE-2017-02; March 13, 2017)
• ISE Gemini: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Decommission of the Tick-Worse Functionality (Release No. 34-80200; File No. SR-ISEGemini-2017-12; March 10, 2017); see also Exhibit 5
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX Options Rule 515, Execution of Orders and Quotes (Release No. 34-80230; File No. SR-MIAX-2017-12; March 13, 2017); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 and Rule 4753 (Release No. 34-80216; File No. SR-NASDAQ-2017-028; March 10, 2017); see also Exhibit 5
• NMS: Notice of Filing of the Thirteenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. (Release No. 34-80203; File No. 4-631; March 10, 2017); see also Exhibit A
• NYSE: Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 4, Allowing the Exchange to Trade Pursuant to Unlisted Trading Privileges Any NMS Stock Listed on Another National Securities Exchange; Establishing Listing and Trading Requirements for Exchange Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to Unlisted Trading Privileges on the Pillar Platform (Release No. 34-80214; File No. SR-NYSE-2016-44; March 10, 2017)

Market Data

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.27 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-80220; File No. SR-BatsBYX-2017-05; March 13, 2017); see also Exhibit 5
• Bats BYX: Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules (Release No. 34-80256; File Nos. SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007; SR-CBOE- 2017-012; SR-CHX-2017-03; SR-ISE-2017-08; SR-IEX-2017-04; SR-ISEGemini-2017-04; SR-ISEMercury-2017-03; SR-MIAX-2017-03; SR-PEARL-2017-04; SR-NASDAQ-2017-008; SRBX-2017-007; SR-PHLX-2017-07; SR-NYSE-2017-01; SR-NYSEArca-2017-03; SRNYSEArca-2017-04; SR-NYSEMKT-2017-02; SR-NSX-2017-03; March 15, 2017)
• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.27 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-80207; File No. SR-BatsBZX-2017-15);see also Exhibit 5
• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.21 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-80215; File No. SR-BatsEDGA-2017-05; March 10, 2017); see also Exhibit 5
• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.22 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-80208; File No. SR-BatsEDGX-2017-13; March 10, 2017); see also Exhibit 5
• CHX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-80227; File No. SR-CHX-2017-05; March 13, 2017); see also Exhibit 5
• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 11.340 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-80218; File No. SR-IEX-2017-07; March 10, 2017); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Data Collection Requirements in Rule 4470 (Release No. 34-80229; File No. SR-NASDAQ-2017-024; March 13, 2017); see also Exhibit 5
• NASDAQ BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Data Reporting Requirements of Rule 4770 (Release No. 34-80228; File No. SR-BX-2017-016; March 13, 2017); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Data Collection Requirements in Rule 3317 (Release No. 34-80226; File No. SR-Phlx-2017-22; March 13, 2017); see also Exhibit 5

Products

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Continued Listing Requirements for Exchange-Traded Products (Release No. 34-80210; File No. SR-NASDAQ-2017-023; March 10, 2017); see also Exhibit 5
• NASDAQ: Notice of Filing of Proposed Rule Change to List and Trade Exchange-Traded Managed Funds (Release No. 34-80237; File No. SR-NASDAQ-2017-025; March 14, 2017)
• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a 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. 34-80265; File No. SR-NYSEArca-2017-05; March 16, 2017)
• Phlx: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index Options on a Pilot Basis (Release No. 34-80241; File No. SR-Phlx-2017-04; March 14, 2017)

Miscellaneous

• 17d-2: Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BOX Options Exchange LLC (Release No. 34-80240; File No. 4-709; March 14, 2017)
• FICC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to (1) Implement the Margin Proxy, (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies, and (3) Make Certain Technical Corrections (Release No. 34-80235; File No. SR-FICC-2017-001; March 14, 2017)
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Liability Caps and Related Reimbursement Requirements (Release No. 34-80212; File No. SR-ISE-2017-18; March 10, 2017); see also Exhibit 5
• ISE Gemini: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Liability Caps and Related Reimbursement Requirements (Release No. 34-80209; File No. SR-ISEGemini-2017-11; March 10, 2017); see also Exhibit 5
• ISE Gemini: Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Supplementary Material .03 to Rule 713 (Release No. 34-80239; File No. SR-ISEGemini-2017-14; March 14, 2017); see also Exhibit 5
• ISE Gemini: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rename the Exchange (Release No. 34-80248; File No. SR-ISEGemini-2017-13; March 15, 2017); see also Exhibit 5
• ISE Mercury: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Liability Caps and Related Reimbursement Requirements (Release No. 34-80211; File No. SR-ISEMercury-2017-04; March 10, 2017); see also Exhibit 5
• ISE Mercury: Notice of Filing of Proposed Minor Rule Violation Plan (Release No. 34-80259; File No. 4-707; March 16, 2017)
• NYSE Arca: Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to Amend NYSE Arca Equities Rule 8.700 and to List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.700 (Release No. 34-80254; File No. SR-NYSEArca-2016-96; March 15, 2017)
• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX PEARL Rules 100, 404, 515, 529, 601 and the Title Pages of Chapter VIII and Chapter XI (Release No. 34-80251; File No. SR-PEARL-2017-11; March 15, 2017); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Address of the Exchange and its Shareholder (Release No. 34-80243; File No. SR-Phlx-2017-23; March 14, 2017); see also Exhibit 5