Weekly Roundup of Exchange Rules by Category

The SEC announced new SRO rules and rule proposals. Click on the links to view the SEC notices of exchange rule changes and proposals for the week of June 6 – June 10.

Fees, Fines, Rebates & Claims:

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Make Non-Substantive Clerical Amendments (Release No. 34-78024; File No. SR-BOX-2016-23; June 9, 2016); see also Exhibit 5

• NYSE MKT: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the NYSE Amex Options Fee Schedule with Respect to Fees, Rebates, and Credits for Transactions in the Customer Best Execution Auction (Release N. 34-78029; File No. SR-NYSEMKT-2016-45; June 9, 2016)

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchanges Pricing Schedule under Section VIII (Release No. 34-78027; File No. SR-Phlx-2016-64; June 9, 2016); see also Exhibit 5

Miscellaneous:

• CHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Business Continuity Plan Requirements for Participants (Release No. 34-77995; File No. SR-CHX-2016-07; June 6, 2016); see also Exhibit 5

• FINRA: Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools) (Release No. 34-78026; File No. SR-FINRA-2016-018; June 9, 2016); see also Exhibit 5

Products:

• BATS: Notice of Filing of Amendment No. 5 to Proposed Rule Change, as Modified by Amendments Nos. 1, 3, and 4 thereto, to Amend Rule 14.11(i) to Adopt Generic Listing Standards for Managed Fund Shares (Release No. 34-78005; File No. SR-BATS-2015-100; June 7, 2016); see also Exhibit 4, Exhibit 5

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Shares of the Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-78003; File No. SR-NYSEArca-2015-93; June 7, 2016)

• NYSE Arca: Notice of Filing of Amendment No. 6 to a Proposed Rule Change to Amend NYSE Arca Equities Rule 8.600 to Adopt Generic Listing Standards for Managed Fund Shares (Release No. 34-78016; File No. SR-NYSEArca-2015-110; June 8, 2016)

• NYSE MKT: Notice of Filing of Proposed Rule Change Relating to Amendments to NYSE MKT Rules 1600 et seq. and to Changes to the Names and Operation of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund (Release No. 34-78000; File No. SR-NYSEMKT-2016-58; June 7, 2016); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Rules Governing Trading of Index Options (Release No. 34-78004; File No. SR-Phlx-2016-61; June 7, 2016); see also Exhibit 5

Trading & Trade Reporting:

• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program (Release No. 34-78012; File No. SR-C2-2016-007; June 8, 2016)

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program (Release No. 34-78013; File No. SR-CBOE-2016-048; June 8, 2016)

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 519C, Mass Cancellation of Trading Interest (Release No. 34-78023; File No. SR-MIAX-2016-14; June 8, 2016); see also Exhibit 5

• NASDAQ: Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Secondary Contingency Procedures for the Exchanges Closing Cross (Release No. 34-78014; File No. SR-NASDAQ-2016-035; June 8, 2016)

• NYSE: Notice of Filings of Amendment No. 1, and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendment No. 1, to Provide for How the Exchanges Would Determine an Official Closing Price if the Exchanges are Unable to Conduct a Closing Transaction (Release No. 34-78015; File Nos. SR-NYSE-2016-18, SR-NYSEMKT-2016-31; June 8, 2016)

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to a Proposal to Relocate and Update the Existing Provisions of Rule 1080.07 to New Rule 1098 (Release No. 34-78001; File No. SR-Phlx-2016-63; June 8, 2016); see also Exhibit 5