Weekly Roundup of Exchange Rules by Category

Click on the links to view SEC notices of exchange rule changes and proposals for the week of April 9 to April 13, 2018.

Fees, Fines, Rebates & Claims

• Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees for Use on Cboe BZX Exchange, Inc.'s Equity Platform (Release No. 34-83019; File No. SR-CboeBZX-2018-023); 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 to Amend the Strategy QOO Order Fee Cap (Release No. 34-83028; File No. SR-BOX-2018-11); see also Exhibit 5
• Cboe 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. 34-83031; File No. SR-CboeBZX-2018-027); see also Exhibit 5
• Cboe EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees for Use on Cboe EDGX Exchange, Inc.'s Equity Platform (Release No. 34-83027; File No. SR-CboeEDGX-2018-009); see also Exhibit 5
• Cboe EDGX: 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. 34-83026; File No. SR-CboeEDGX-2018-013); see also Exhibit 5
• Cboe EDGX: 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. 34-83015; File No. SR-CboeEDGX-2018-010; April 9, 2018); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a) (Release No. 34-83025; File No. SR-NASDAQ-2018-025); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule (Release No. 34-83016; File No. SR-Phlx-2018-26; April 9, 2018); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges (Release No. 34-83032; File No. SR-NYSEArca-2018-20); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt PAR Hardware Replacement Fees (Release No. 34-83042; File No. SR-CBOE-2018-028); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018 (Release No. 34-83045; File No. SR-BX-2018-011); see also Exhibit 5

Products and Listings

• Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 19.3, Criteria for Underlying Securities (Release No. 34-83018; File No. SR-CboeBZX-2018-025)
• Cboe BZX: Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the iShares Gold Strategy ETF Under Exchange Rule 14.11(i) (Release No. 34-83014; File No. SR-CboeBZX-2017-023)
• Cboe EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 19.3, Criteria for Underlying Securities (Release No. 34-83020; File No. SR-CboeEDGX-2018-011; April 9, 2018)
• NASDAQ: Order Granting Approval of a Proposed Rule Change to List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF (Release No. 34-83046; File No. SR-NASDAQ-2018-012)

Trading & Trade Reporting

• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Implement an Equity Rights Program (Release No. 34-83012; File No. SR-PEARL-2018-08)
• Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Rule 21.9 of the Exchange's Rules and Related Functionality Applicable to the Routing Options Made Available by the Exchange's Equity Options Platform (Release No. 34-83021; File No. SR-CboeBZX-2018-026); see also Exhibit 5
• Cboe EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Rule 21.9 of the Exchange's Rules and Related Functionality Applicable to the Routing Options Made Available by the Exchange's Equity Options Platform (Release No. 34-83022; File No. SR-CboeEDGX-2018-012; April 9, 2018); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Delay of Complex Order Quoting Functionality (Release No. 34-83001; File No. SR-ISE-2018-29; April 5, 2018); see also Exhibit 5
• Phlx: Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to Adopt Protections for Butterfly Spreads and Box Spreads (Release No. 34-83033; File No. SR-Phlx-2018-14); see also Exhibit 5
• MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the MSRB's Facility for the Real-Time Transaction Reporting System (Release No. 34-83038; File No. SR-MSRB-2018-02); see also Exhibit 4, Exhibit 5
• PEARL: Order Granting Approval of a Proposed Rule Change to Adopt Rules Relating to Index Options (Release No. 34-83039; File No. SR-PEARL-2018-02)
• NMS: Order Approving the Seventeenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe 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 American LLC, and NYSE Arca, Inc. (Release No. 34-83044; File No. 4-631)
• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.190(g) to Incrementally Optimize and Enhance the Effectiveness of the Quote Instability Calculation in Determining Whether a Crumbling Quote Exists (Release No. 34-83048; File No. SR-IEX-2018-07); see also Exhibit 5

Market Data

• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify Within Rule 718 the Data Feeds on GEMX (Release No. 34-83050; File No. SR-GEMX-2018-12); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify Within Rule 718 the Data Feeds on ISE (Release No. 34-83051; File No. SR-ISE-2018-32); see also Exhibit 5
• MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Data Feeds Offered to MRX Members (Release No. 34-83049; File No. SR-MRX-2018-11); see also Exhibit 5

Miscellaneous

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Select Customer Options Reduction Program (Release No. 34-83041; File No. SR-CBOE-2018-027); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error Within Chapter VI, Section 9 of the BX Rules (Release No. 34-83047; File No. SR-BX-2018-012); see also Exhibit 5