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 April 17 to April 21, 2017.

Clearance & Settlement

• CHX: Notice of Filing of Proposed Rule Change to Shorten the Standard Settlement Cycle from Three Business Days after the Trade Date to Two Business Days after the Trade Date (Release No. 34-80467; File No. SR-CHX-2017-06; April 17, 2017)
• DTC, NSCC, FICC: Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework (Release No. 34-80489; File Nos. SR-DTC-2017-004, SR-NSCC-2017-005, SR-FICC-2017-008; April 19, 2017)
• DTC, NSCC, FICC: Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan (Release No. 34-80491; File Nos. SR-DTC-2017-003, SR-NSCC-2017-004, SR-FICC-2017-007; April 19, 2017)
• FICC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Effective Date of Government Securities Division Margin Proxy Rule Changes (Release No. 34-80484; File No. SR-FICC-2017-011; April 19, 2017); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 994NY, Broadcast Order Liquidity Delivery Mechanism (Release No. 34-80494; File No. SR-NYSEMKT-2017-21; April 20, 2017); see also Exhibit 5

Fees, Fines, Rebates & Claims

• Batx BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc. (Release No. 34-80478; File No. SR-BatsBZX-2017-22; April 18, 2017); see also Exhibit 5
• Bats 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. 34-80498; File No. SR-BatsBZX-2017-23; April 20, 2017); see also Exhibit 5
• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule (Release No. 34-80473; File No. SR-C2-2017-015; April 17, 2017); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-80472; File No. SR-CBOE-2017-028; April 17, 2017); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MDX Fees Schedule (Release No. 34-80470; File No. SR-CBOE-2017-030; April 17, 2017); see also Exhibit 5
• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rulebook and Schedule of Fees to (Release No. 34-80482; File No. SR-GEMX-2017-03; April 18, 2017); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees at Rule 7030(d)(3) (Release No. 34-80487; File No. SR-NASDAQ-2017-037; April 19, 2017); see also Exhibit 5
• NASDAQ BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018 (Release No. 34-80475; File No. SR-BX-2017-020; April 17, 2017); see also Exhibit 5
• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule (Release No. 34-80468; File No. SR-PEARL-2017-18; April 17, 2017); see also: Exhibit 3, Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Section VIII (Release No. 34-80483; File No. SR-Phlx-2017-31; April 19, 2017); see also Exhibit 5

Products & Listings

• NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 7017 (Release No. 34-80465; File No. SR-NASDAQ-2017-015; April 17, 2017)
• NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of Shares of the USCF Canadian Crude Oil Index Fund under NYSE Arca Equities Rule 8.200 (Release No. 34-80486; File No. SR-NYSEArca-2016-177; April 19, 2017)
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Pricing Schedule (Release No. 34-80474; File No. SR-Phlx-2017-30; April 17, 2017); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates and Pricing for Multiply Listed Options (Release No. 34-80466; File No. SR-Phlx-2017-29; April 17, 2017); see also Exhibit 5

Trading & Trade Reporting

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend a Prior Rule Change, SR-BOX-2017-08, Which Contained a Portion of Text That Is Not Applicable to BOX (Release No. 34-80495; File No. SR-BOX-2017-12; April 20, 2017)
• CBOE: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to Unusual Market Conditions and the Requirement to Systemize Non-Electronic Orders Prior to Representation (Release No. 34-80481; File No. SR-CBOE-2017-010; April 18, 2017)

Business Continuity

• DTC, FICC, NSCC: Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk) (Release No. 34-80485; File Nos. SR-DTC-2017-005, SR-FICC-2017-009, SR-NSCC-2017-006; April 19, 2017)

Miscellaneous

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.87 (Release No. 34-80496; File No. SR-NYSEArca-2017-42; April 20, 2017); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY (Release No. 34-80497; File No. SR-NYSEMKT-2017-22; April 20, 2017); see also Exhibit 5