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 16 to April 20, 2018.

Clearance & Settlement

• ICC: Order Approving Proposed Rule Change Relating to Amendments to the ICC Operational Risk Management Framework (Release No. 34-83071; File No. SR-ICC-2018-003)

• DTC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Redemptions Service Guide and the DTC Reorganizations Service Guide to Add Clarifying Text Relating to the Processing of MMI Securities (Release No. 34-83058; File No. SR-DTC-2018-003); see also Exhibit 5

Trading & Trade Reporting

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarify the Requirements for Delivery of a Contrary Exercise Advice (Release No. 34-83064; File No. SR-BX-2018-014); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 6.8-O, Commentary .06 to Expand Position Limits for Options on Certain Exchange-Traded Funds (Release No. 34-83066; File No. SR-NYSEArca-2018-23); see also Exhibit 5

• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 904, Commentary .07 to Expand Position Limits for Options on Certain Exchange-Traded Funds (Release No. 34-83065; File No. SR-NYSEAMER-2018-14); see also Exhibit 5

• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exchange Rule 503, Openings on the Exchange (Release No. 34-83060; File No. SR-PEARL-2018-10); Exhibit 5

• NYSEAMER: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Establish an Electronic Price Improvement Auction for Complex Orders (Release No. 34-83061; File No. SR-NYSEAMER-2018-05)

• ICEEU: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Related to ICEEU's Recovery and Wind-Down Plans (Release No. 34-83055; File Nos. SR-ICEEU-2017-016, SR-ICEEU-2017-017)

• ICEEU: Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to amendments to the ICE Clear Europe CDS End-of-Day Pricing Policy (Release No. 34-83072; File No. SR-ICEEU-2018-006)

• FINRA: Notice of Filing of a Proposed Rule Change to Establish a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc. (Release No. 34-83082; File No. SR-FINRA-2018-013); see also Exhibit 5
• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.350 to Clarify When a New IEX-Listed Security Will Be Eligible to Begin Trading with an IPO Auction (Release No. 34-83075; File No. SR-IEX-2018-08); see also Exhibit 5

Fees, Fines, Rebates & Claims

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule (Release No. 34-83074; File No. SR-NYSEArca-2018-24); see also Exhibit 5
• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE American Options Fee Schedule (Release No. 34-83073; File No. SR-NYSEAMER-2018-15); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Section II to Clarify Fees Applicable to Correcting "As/of" or "Reversal" Trades (Release No. 34-83080; File No. SR-Phlx-2018-31); see also Exhibit 5

Miscellaneous

• NASDAQ: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Duplicative Rules Related to the Consolidated Audit Trail from Its Rulebook (Release No. 34-83054; File No. SR-NASDAQ-2018-027); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Duplicative Rules Related to the Consolidated Audit Trail from Its Rulebook (Release No. 34-83059; File No. SR-BX-2018-013); see also Exhibit 5

• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Incorporate by Reference The Nasdaq Stock Market LLC's Consolidated Audit Trail Rules into the Rules of Nasdaq GEMX (Release No. 34-83083; File No. SR-GEMX-2018-13); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Incorporate by Reference The Nasdaq Stock Market LLC's Consolidated Audit Trail Rules into the Rules of Nasdaq ISE (Release No. 34-83079; File No. SR-ISE-2018-35); see also Exhibit 5
• MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Incorporate by Reference The Nasdaq Stock Market LLC's Consolidated Audit Trail Rules into the Rules of Nasdaq MRX (Release No. 34-83085; File No. SR-MRX-2018-12); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Incorporate by Reference The Nasdaq Stock Market LLC's Consolidated Audit Trail Rules into the Rules of Nasdaq BX (Release No. 34-83081; File No. SR-BX-2018-015); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Incorporate by Reference The Nasdaq Stock Market LLC's Consolidated Audit Trail Rules into the Rules of Nasdaq Phlx (Release No. 34-83077; File No. SR-Phlx-2018-30); see also Exhibit 5