Weekly Roundup of Exchange Rules by Category

Corporate Governance:

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Certificate of Incorporation of the Exchanges Ultimate Parent Company, Bats Global Markets, Inc. (Release No. 34-77600; File No. SR-BatsBYX-2016-04; April 13, 2016)

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Certificate of Incorporation of the Exchanges Ultimate Parent Company, Bats Global Markets, Inc. (Release No. 34-77601; File No. SR-BatsBZX-2016-07; April 13, 2016); see also Exhibit 5

• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Certificate of Incorporation of the Exchanges Ultimate Parent Company, Bats Global Markets, Inc. (Release No. 34-77608; File No. SR-BatsEDGA-2016-05; April 13, 2016); see also Exhibit 5

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Certificate of Incorporation of the Exchanges Ultimate Parent Company, Bats Global Markets, Inc. (Release No. 34-77612; File No. SR-BatsEDGX-2016-10; April 13, 2016); see also Exhibit 5

Fees, Fines, Rebates & Claims:

• 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. 34-77572; File No. SR-BOX-2016-14; April 8, 2016); 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. 34-77568; File No. SR-BOX-2016-15; April 8, 2016); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule (Release No. 34-77575; File No. SR-CBOE-2016-030; April 11, 2016); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees (Release No. 34-77593; File No. SR-ISE-2016-09; April 12, 2016); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7018(a) (Release No. 34-77609; File No. SR-NASDAQ-2016-054; April 13, 2016); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees under Rule 7018(a) (Release No. 34-77590; File No. SR-BX-2016-020; April 12, 2016); see also Exhibit 5

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Adopt a Rebate Program for the NYSE Bonds^SM System (Release No. 34-77591; File No. SR-NYSE-2016-26; April 12, 2016); see also Exhibit 5

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List for Equity Transactions in Stocks with A Per Share Stock Price More than $1.00 (Release No. 34-77604; File No. SR-NYSE-2016-29; April 13, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services (Release No. 34-77588; File No. SR-NYSEArca-2016-54; April 12, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule (Release No. 34-77610; File No. SR-NYSEArca-2016-55; April 13, 2016); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Qualified Contingent Cross Rebates and Certain Floor Options Transaction Charges (Release No. 34-77577; File No. SR-Phlx-2016-42; April 11, 2016); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposed Rule Change to Modify Chapter VII Section B of the Exchanges Pricing Schedule (Release No. 34-77613; File No. SR-Phlx-2016-45; April 13, 2016); see also Exhibit 5

Miscellaneous:

• FINRA: Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change Relating to Proposed Rule Change to Adopt FINRA Capital Acquisition Broker Rules (Release No. 34-77581; File No. SR-FINRA-2015-054; April 11, 2016); see also Exhibit 4; Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7039 (Release No. 34-77578; File No. SR-NASDAQ-2016-048; April 11, 2016); see also Exhibit 5

NMS Plans:

• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Non-Substantive Correction to Rule 11.27 (Release No. 34-77583; File No. SR-BatsEDGA-2016-04; April 11, 2016); see also Exhibit 5

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Non-Substantive Correction to Rule 11.27 (Release No. 34-77582; File No. SR-BatsEDGX-2016-07; April 11, 2016); see also Exhibit 5

• NMS: Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend the Redistribution Fee Set Forth in OPRA's Fee Schedule (Release No. 34-77586; File No. SR-OPRA-2015-03; April 12, 2016)

• NMS: Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend the Professional Subscriber Device-Based Fees Set Forth in OPRA's Fee Schedule (Release No. 34-77585; File No. SR-OPRA-2015-02; April 12, 2016)

• NMS: Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Certain Provisions of the OPRA's Fee Schedule (Release No. 34-77584; File No. SR-OPRA-2015-01; April 12, 2016)

Products:

• BATS: Notice of Filing of Amendment No. 1 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3, to List and Trade Shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust (Release No. 34-77567; File No. SR-BATS-2015-94; April 8, 2016)

• Bats BZX: Notice of Filing of Proposed Rule Change to List and Trade under BZX Rule 14.11(c)(4) Shares of the Following Series of Market Vectors ETF Trust: Market Vectors 6-8 Year Municipal Index ETF; Market Vectors 8-12 Year Municipal Index ETF; and Market Vectors 12-17 Year Municipal Index ETF (Release No. 34-77594; File No. SR-BatsBZX-2016-01; April 12, 2016)

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPXPM Pilot Program (Release No. 34-77573; File No. SR-CBOE-2016-036; April 8, 2016)

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade of Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-77571; File No. SR-NYSEArca-2016-28; April 8, 2016)

• NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade Shares of AdvisorShares Cornerstone Small Cap ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-77576; File No. SR-NYSEArca-2016-46; April 11, 2016)

• NYSE Arca: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-77587; File No. SR-NYSEArca-2016-28; April 12, 2016)

Trading & Trade Reporting:

• BATS: Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt an Early Trading Session and Three New Time-in-Force Instructions (Release No. 34-77611; File No. SR-BATS-2016-14; April 13, 2016)

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing (Release No. 34-77602; File No. SR-BatsBYX-2016-03; April 13, 2016); see also Exhibit 5

• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing (Release No. 34-77606; File No. SR-BatsEDGA-2016-03; April 13, 2016); see also Exhibit 5

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing (Release No. 34-77589; File No. SR-BatsEDGX-2016-04; April 12, 2016); see also Exhibit 5

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 100 (Definitions) Relating to Professionals (Release No. 34-77580; File No. SR-BOX-2016-13; April 11, 2016); see also Exhibit 5

• BYX: Order Approving Proposed Rule Change, as Modified by Amendment No. 1 thereto, to Adopt an Early Trading Session and Three New Time-in-Force Instructions (Release No. 34-77607; File No. SR-BYX-2016-03; April 13, 2016)

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 6.1A (Release No. 34-77570; File No. SR-CBOE-2016-028; April 8, 2016)

• FINRA: Order Approving a Proposed Rule Change to Reduce the Synchronization Tolerance for Computer Clocks that are Used to Record Events in NMS Securities and OTC Equity Securities (Release No. 34-77565; File No. SR-FINRA-2016-005; April 8, 2016)

• FINRA: Notice of Filing of Amendment No. 2 and Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market, as Modified by Amendment Nos. 1 and 2 (Release No. 34-77579; File No. SR-FINRA-2015-036; April 11, 2016); see also Exhibit 4; Exhibit 5

• ISE Mercury: Notice of Filing of Proposed Rule Change Related to Market Wide Risk Protection (Release No. 34-77569; File No. SR-ISEMercury-2016-07; April 8, 2016); see also Exhibit 5

• NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rules 4702 and 4703 (Release No. 34-77592; File No. SR-NASDAQ-2016-023; April 12, 2016)

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 72 Relating to Setting Interest (Release No. 34-77603; File No. SR-NYSE-2016-28; April 13, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 72 - Equities Relating to Setting Interest (Release No. 34-77605; File No. SR-NYSEMKT-2016-43; April 13, 2016); see also Exhibit 5