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 June 5 to June 9, 2017.

Business Continuity

• CBOE: Notice of Filing of a Proposed Rule Change Relating to Disaster Recovery (Release No. 34-80857; File No. SR-CBOE-2017-044; June 5, 2017); see also Exhibit 5

Clearance & Settlement

• DTC, FICC, NSCC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk) (Release No. 34-80876; File Nos. SR-DTC-2017-005, SR-FICC-2017-009, SR-NSCC-2017-006; June 7, 2017)

• DTC, NSCC, FICC: Notice of Designation of Longer Period for Commission Action on 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. 34-80878; File Nos. SR-DTC-2017-003, SR-NSCC-2017-004; June 7, 2017)

• DTC, NSCC, FICC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework (Release No. 34-80877; File Nos. SR-DTC-2017-004, SR-NSCC-2017-005, SR-FICC-2017-008; June 7, 2017)

• FICC: Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend the Mortgage-Backed Securities Division Rules concerning Use of Clearing Fund for Losses, Liabilities or Temporary Needs for Funds Incident to the Clearance and Settlement Business and Make Other Related Changes (Release No. 34-80879; File No. SR-FICC-2017-010; June 7, 2017)

Corporate Governance

• NYSE Arca: Notice of Filing of Proposed Rule Change to Amend NYSE Arca Equities Rule 13.2, Liability of Corporation (Release No. 34-80866; File No. SR-NYSEArca-2017-46; June 6, 2017); see also Exhibit 5

Fees, Fines, Rebates & Claims

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees at Rule 7046 (Release No. 34-80856; File No. SR-NASDAQ-2017-051; June 5, 2017); see also Exhibit 5

• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule to Establish an Options Regulatory Fee ("ORF") (Release No. 34-80875; File No. SR-PEARL-2017-26; June 7, 2017); see also Exhibit 5

Products and Listings

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5110(c) to Permit a Reverse Merger Company to Qualify for Initial Listing Under Any Applicable Listing Standard After Satisfying the Required Seasoning Period (Release No. 34-80888; File No. SR-NASDAQ-2017-053; June 8, 2017)

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Merge the OpenView Depth-of-Book Product into TotalView (Release No. 34-80891; File No. SR-NASDAQ-2017-054; June 8, 2017); see also Exhibit 5

• NYSE: Notice of Filing of Proposed Rule Change to Amend Its Listing Standards for Closed-end Funds (Release No. 34-80867; File No. SR-NYSE-2017-08; June 6, 2017); see also Exhibit 5

• NYSE Arca: Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of the Franklin Liberty Intermediate Municipal Opportunities ETF and Franklin Liberty Municipal Bond ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-80865; File No. SR-NYSEArca-2017-48; June 6, 2017)

• NYSE Arca: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to List and Trade of Shares of the IQ Municipal Insured ETF, IQ Municipal Short Duration ETF, and IQ Municipal Intermediate ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-80885; File No. SR-NYSEArca-2017-44; June 8, 2017)

Trading & Trade Reporting

• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program (Release No. 34-80882; File No. SR-C2-2017-020; June 8, 2017)

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program (Release No. 34-80883; File No. SR-CBOE-2017-045; June 8, 2017)

• CBOE: Notice of Withdrawal of a Proposed Rule Change Related to Rules Regarding the Responsibility for Ensuring Compliance with Priority and Allocation Requirements and Trade-Through Prohibitions in Open Outcry Trading (Release No. 34-80859; File No. SR-CBOE-2016-082; June 5, 2017)

• ICC: Notice of Filing of Amendment No. 1 and Order Approving Proposed Rule Change, as modified by Amendment No. 1 Thereto, Relating to ICC's End-of-Day Price Discovery Policies and Procedures (Release No. 34-80858; File No. SR-ICC-2017-003; June 5, 2017)

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX Options Rule 406, Long Term Option Contracts (Release No. 34-80869; File No. SR-MIAX-2017-27; June 7, 2017); see also Exhibit 5

• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX PEARL Rule 406, Long Term Option Contracts (Release No. 34-80868; File No. SR-PEARL-2017-28; June 6, 2017); see also Exhibit 5

Miscellaneous

• CHX: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change in Connection with the Proposed Transaction Involving CHX Holdings, Inc. and North America Casin Holdings, Inc. (Release No. 34-80864; File No. SR-CHX-2016-20; June 6, 2017)

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Chapter 21 from the ISE Rulebook (Release No. 34-80873; File No. SR-ISE-2017-51; June 7, 2017); see also Exhibit 5