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 12 to June 16, 2017.

Clearance & Settlement

• NSCC: Notice of Filing of Proposed Rule Change to Adopt a New Stock Options and Futures Settlement Agreement with The Options Clearing Corporation (Release No. 34-80942; File No. SR-NSCC-2017-007; June 15, 2017); see also Exhibit 5A, Exhibit 5B

• OCC: Notice of Filing of Proposed Rule Change Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation (Release No. 34-80941; File No. SR-OCC-2017-013; June 15, 2017); see also Exhibit 5A, Exhibit 5B, Exhibit 5C

Fees, Fines, Rebates & Claims

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc. (Release No. 34-80939; File No. SR-BatsBYX-2017-15; June 15, 2017); see also Exhibit 5

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc. (Release No. 34-80912; File No. SR-BatsBZX-2017-42; June 13, 2017); see also Exhibit 5

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.'s Options Platform (Release No. 34-80919; File No. SR-BatsBZX-2017-41; June 14, 2017); see Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-80925; File No. SR-CBOE-2017-047; June 14, 2017); see also Exhibit 5

• CHX: Notice of Filing of a Proposed Rule Change to Adopt Article 23, Rule 13, Consolidated Audit Trail - Fee Dispute Resolution (Release No. 34-80916; File No. SR-CHX-2017-11; June 13, 2017); see also Exhibit 5

• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule (Release No. 34-80921; File No. SR-GEMX-2017-23; June 14, 2017); see Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees to (1) Reduce the Priority Customer Taker Fee for Regular Orders in SPY to $0.35 Per Contract, and (2) Lower the Threshold of Net Zero Complex Contracts (Release No. 34-80922; File No. SR-ISE-2017-49; June 14, 2017); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018(a)(2) (Release No. 34-80928; File No. SR-NASDAQ-2017-056; June 14, 2017); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018 (Release No. 34-80924; File No. SR-BX-2017-028; June 14, 2017); see also Exhibit 5

• NMS: Notice of Filing and Immediate Effectiveness of Amendment No. 2 to the National Market System Plan Governing the Consolidated Audit Trail by Bats BYX Exchange, Inc., Bats BZX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, NASDAQ BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, NASDAQ PHLX LLC, The NASDAQ Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC and NYSE National, Inc. (Release No. 34-80930; File No. SR-CBOE-2017-10; June 14, 2017)

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List Regarding the Liquidity Provider Incentive Program (Release No. 34-80934; File No. SR-NYSE-2017-27; June 15, 2017); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services (Release No. 34-80920; File No. SR-NYSEArca-2017-64; June 14, 2017); see also Exhibit 5

• NYSE Arca: Notice of Filing of Proposed Rule Change in Connection with the Proposed Merger of Its Wholly Owned Subsidiary NYSE Arca Equities, Inc. With and Into the Exchange (Release No. 34-80929; File No. SR-NYSEArca-2017-40; June 14, 2017); see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H, Exhibit 5I, Exhibit 5J

• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule (Release No. 34-80914; File No. SR-PEARL-2017-30; June 13, 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. 34-80915; File No. SR-PEARL-2017-29; June 13, 2017); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exchange's Transaction Fees at Section VIII (Release No. 34-80938; File No. SR-Phlx-2017-44; June 15, 2017); see also Exhibit 5

Products and Listings

• Bats BZX: Notice of Filing of a Proposed Rule Change to Permit the Listing and Trading of Managed Portfolio Shares; and to List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF; ClearBridge Large Cap ETF; ClearBridge MidCap Growth ETF; ClearBridge Select ETF; and ClearBridge All Cap Value ETF (Release No. 34-80911; File No. SR-BatsBZX-2017-30; June 13, 2017); see also Exhibit 5

• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Continued Listing Standards for Exchange Traded Products (Release No. 34-80905; File No. SR-IEX-2017-14; June 12, 2017); 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 List and Trade Shares of the Guggenheim Limited Duration ETF (Release No. 34-80946; File No. SR-NASDAQ-2017-039; June 15, 2017)

• NYSE: Notice of Filing of Proposed Rule Change to Amend Section 102.01B of the NYSE Listed Company Manual to Provide for the Listing of Companies that List Without a Prior Exchange Act Registration and that Are Not Listing in Connection with an Underwritten Initial Public Offering and Related Changes to Rules 15, 104, and 123D (Release No. 34-80933; File No. SR-NYSE-2017-30; June 15, 2017); see also Exhibit 5

Trading & Trade Reporting

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats BZX Exchange, Inc. to Extend Through December 31, 2017, the Penny Pilot Program in Options Classes in Certain Issues (Release No. 34-80927; File No. SR-BatsBZX-2017-40; June 14, 2017); see Exhibit 5

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats EDGX Exchange, Inc. to Extend Through December 31, 2017, the Penny Pilot Program in Options Classes in Certain Issues (Release No. 34-80907; File No. SR-BatsEDGX-2017-28; June 12, 2017); see also Exhibit 5

• BOX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BOX Rule 7240 (Complex Orders) to Expand the Price Range Within Which Complex Orders Can Trade (Release No. 34-80917; File No. SR-BOX-2017-20; June 13, 2017); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Rule 5.5 (Release No. 34-80913; File No. SR-CBOE-2017-048; June 13, 2017)

• CBOE: Notice of Withdrawal of Proposed Rule Change Related to Complex Orders (Release No. 34-80926; File No. SR-CBOE-2017-019; June 14, 2017)

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC to Implement an Equity Rights Program (Release No. 34-80909; File No. SR-MIAX-2017-28; June 12, 2017)

• MIAX: Order Approving a Proposed Rule Change Relating to the Exposure Periods of the MIAX Price Improvement Mechanism and Solicitation Mechanism (Release No. 34-80940; File No. SR-MIAX-2017-16; June 15, 2017)

• MRX: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, to Amend the Opening Process (Release No. 34-80937; File No. SR-MRX-2017-01; June 15, 2017); see also Exhibit 5

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Authority to Grant Exemptions from the OATS Requirements (Release No. 34-80906; File No. SR-NYSE-2017-28; June 12, 2017); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Authority to Grant Exemptions from the OATS Requirements (Release No. 34-80903; File No. SR-NYSEArca-2017-66; June 12, 2017); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Authority to Grant Exemptions from the OATS Requirements (Release No. 34-80902; File No. SR-NYSEMKT-2017-35; June 12, 2017); see also Exhibit 5

Miscellaneous

• ISE: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Harmonize the Corporate Governance Framework with that of The NASDAQ Stock Market LLC, NASDAQ PHLX LLC, and NASDAQ BX, Inc. (Release No. 34-80923; File No. SR-ISE-2017-32; June 14, 2017)