Weekly Roundup of Exchange Rules by Category

The SEC announced new SRO rules, rule proposals and NMS plans. Click on the links below to view the SEC's notices of exchange rule changes and proposals from March 21, 2016, to March 25, 2016.

Clearance & Settlement:

• ICC: Notice of Filing of Proposed Rule Change to Revise the ICC Operational Risk Management Framework (Release No. 34-77413; File No. SR-ICC-2016-003; March 21, 2016)

• ICE EU: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Additions to Permitted Cover (Release No. 34-77427; File No. SR-ICEEU-2016-003; March 23, 2016)

• OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Voluntary Termination by Offset and Re-matching of Matched-Book Positions in the Stock Loan/Hedge Program (Release No. 34-77415; File No. SR-OCC-2016-006; March 22, 2016)

Corporate Governance:

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Comply with the Requirements of the Amended and Restated Limited Liability Company Agreement of BOX Holdings, and to Permit Certain Ownership Changes Pursuant Thereto (Release No. 34-77403; File No. SR-BOX-2016-12; March 18, 2016)

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter XI (Doing Business with the Public), Section 8 (Supervision of Accounts) of the Exchanges Rulebook (Release No. 34-77428; File No. SR-NASDAQ-2016-038; March 23, 2016)

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter XI (Doing Business with the Public), Section 8 (Supervision of Accounts) of the Exchanges Rulebook (Release No. 34-77429; File No. SR-BX-2016-017; March 23, 2016)

Fees, Fines, Rebates & Claims:

• ISE Mercury: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees (Release No. 34-77412; File No. SR-ISE-2016-06; March 21, 2016); see also Exhibit 5

• ISE Mercury: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees (Release No. 34-77409; File No. SR-ISE-2016-05; March 21, 2016); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rebates and Fees for Adding and Removing Liquidity in SPY (Release No. 34-77402; File No. SR-Phlx-2016-21; March 18, 2016); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchanges Continuing Education Fee Schedule (Release No. 34-77444; File No. SR-Phlx-2016-34; March 25, 2016); see also Exhibit 5

Miscellaneous:

• Crow, Michael W.; Clug, Alexandre S.; Aurum Mining, LLC; Panam Terra, Inc.; and The Corsair Group, Inc. (File No. 3-16318; March 10, 2016)

• FINRA: Order Approving Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers) (Release No. 34-77430; File No. SR-FINRA-2015-057; March 23, 2016)

• Perres, Allen M. and St. Germain, Willard R. (File No. 3-17013; March 10, 2016)

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Rule 756 (Release No. 34-77443; File No. SR-Phlx-2016-37; March 25, 2016); see also Exhibit 5

NMS Plans:

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 1.27 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-77418; File No. SR-BatsBYX-2016-01; March 22, 2016); see also Exhibit 5

• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 1.27 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-77417; File No. SR-BatsEDGA-2016-01; March 22, 2016); see also Exhibit 5

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 1.27 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-77416; File No. SR-BatsEDGX-2016-01; March 22, 2016); see also Exhibit 5

Products:

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Eaton Vance Global Income Builder NextShares of the Eaton Vance ETMF Trust (Release No. 34-77419; File No. SR-NASDAQ-2016-041; March 22, 2016)

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt NYSE Arca Equities Rule 8.900 to Permit Listing and Trading of Managed Portfolio Shares and To Permit Listing and Trading of Shares of Fifteen Issues of the Precidian ETFs Trust (Release No. 34-77405; File No. SR-NYSEArca-2016-08; March 18, 2016)

Trading & Trade Reporting:

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities (Release No. 34-77404; File No. SR-FINRA-2016-011; March 18, 2016)

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Strict Concentration Limits on Primary Market Makers (Release No. 34-77410; File No. SR-ISE-2016-07; March 21, 2016); see also Exhibit 5

• NASDAQ: Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend Rule 4120 (Release No. 34-77445; File No. SR-NASDAQ-2016-008; March 25, 2016)

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 to Expand the Availability of Self-Trade Prevention Modifiers to Non-Algorithmically Entered Floor Broker Interest (Release No. 34-77434; File No. SR-NYSE-2016-23; March 23, 2016); see also Exhibit 5

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchanges Retail Liquidity Program (Release No. 34-77426; File No. SR-NYSE-2016-25; March 23, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchanges Retail Liquidity Program, Which is Currently Scheduled to Expire on March 31, 2016, until August 31, 2016 (Release No. 34-77425; File No. SR-NYSEArca-2016-47; March 23, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31P(h) to Add a New Discretionary Pegged Order (Release No. 34-77441; File No. SR-NYSEArca-2016-44; March 24, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.2 to Create a Reserve Market Maker Options Trading Permit (Release No. 34-77440; File No. SR-NYSEArca-2016-50; March 24, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 964.2NY Regarding the Participation Entitlement Formula for Specialists and e-Specialists (Release No. 34-77435; File No. SR-NYSEMKT-2016-41; March 23, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Equities to Expand the Availability of Self-Trade Prevention Modifiers to Non-Algorithmically Entered Floor Broker Interest (Release No. 34-77433; File No. SR-NYSEMKT-2016-38; March 23, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchanges Retail Liquidity Program (Release No. 34-77424; File No. SR-NYSEMKT-2016-39; March 23, 2016); see also Exhibit 5