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 27 to March 31, 2017.

Clearance & Settlement

• FICC-AN: Notice of No Objection to Advance Notice Filing to (1) Implement the Margin Proxy and (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies (Release No. 34-80341; File No. SR-FICC-2017-801; March 30, 2017)

• ICC: Order Approving Proposed Rule Change to Revise Liquidity Thresholds for Euro Denominated Products (Release No. 34-80324; File No. SR-ICC-2017-002; March 28, 2017)

Fees, Fines, Rebates & Claims

• NYSE: Notice of Filing of Partial Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 through 4, to Amend the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees (Release No. 34-80311; File No. SR-NYSE-2016-45; March 24, 2017)

Licensing & Registration

• MSRB: Notice of Filing of a Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements (Release No. 34-80327; File No. SR-MSRB-2017-02; March 29, 2017); see also Exhibit 2, Exhibit 5

Miscellaneous

• Bats BZX: Bats' Petition for Review regarding SR-BatsBZX-2016-30, Release No. 34-80206 (March 24, 2017)

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Private Placement Filer Form under FINRA Rules 5122 and 5123 (Release No. 34-80321; File No. SR-FINRA-2017-008; March 28, 2017)

• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Typographical Errors in SR-IEX-2017-06 (Release No. 34-80331; File No. SR-IEX-2017-08; March 29, 2017); see also Exhibit 5

• ISE Mercury: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rename the Exchange as Nasdaq MRX, LLC (Release No. 34-80326; File No. SR-ISEMercury-2017-05; March 29, 2017); see also Exhibit 5

Products and Exchange Listings

• NASDAQ: Notice of Filing of Proposed Rule Change to List and Trade Exchange-Traded Managed Funds (Release No. 34-80315; File No. SR-NASDAQ-2017-029; March 27, 2017)

• NYSE: Notice of Filing of Proposed Rule Change to Amend Section 102.01B of the NYSE Listed Company Manual to Modify the Requirements that Apply to Companies that List Without a Prior Exchange Act Registration and that Are Not Listing in Connection with an Underwritten Initial Public Offering (Release No. 34-80313; File No. SR-NYSE-2017-12; March 27, 2017); see also Exhibit 5

• NYSE Arca: Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the SolidX Bitcoin Trust under NYSE Arca Equities Rule 8.201 (Release No. 34-80319; File No. SR-NYSEArca-2016-101; March 28, 2017)

Trading & Trade Reporting

• CBOE: Notice of Filing of a Proposed Rule Change Relating to Reporting Duties (Release No. 34-80328; File No. SR-CBOE-2017-024; March 29, 2017); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of Functionality Associated with Stock-Option Orders (Release No. 34-80316; File No. SR-ISE-2017-28; March 27, 2017); see also Exhibit 5

• NYSE: Order Approving Proposed Rule Change Amending Rule 98 (Release No. 34-80334; File No. SR-NYSE-2017-03; March 29, 2017)

• NYSE Arca: Order Approving Proposed Rule Change to Amend Rule 6.37B Regarding Market Maker Quotations, Including to Adopt a Market Maker Light Only Quotation (Release No. 34-80329; File No. SR-NYSEArca-2017-17; March 29, 2017)

• NYSE MKT: Order Approving Proposed Rule Change to Amend Rule 925.1NY Regarding Market Maker Quotations, Including to Adopt a Market Maker Light Only Quotation (Release No. 34-80330; File No. SR-NYSEMKT-2017-08; March 29, 2017)

• NYSE MKT: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Market Makers Applicable when the Exchange Transitions Trading to Pillar, the Exchange's New Trading Technology Platform (Release No. 34-80336; File No. SR-NYSEMKT-2017-04; March 29, 2017)

• NYSE MKT: Notice of Designation of a Longer Period for Commission Action on a 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. 34-80337; File No. SR-NYSEMKT-2017-01; March 29, 2017)

• OCC: Notice of Filing of Advance Notice Concerning Enhancements to OCC's Stock Loan Programs (Release No. 34-80323; File No. SR-OCC-2017-802; March 28, 2017)