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 June 18 to June 22, 2018.

Clearance & Settlement

• OCC: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan (Release No. 34-83485; File No. SR-OCC-2017-021)
• OCC: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios (Release No. 34-83484; File No. SR-OCC-2017-020)
• LCH SA: Notice of Filing of Proposed Rule Change Relating to Liquidity Risk Management (Release No. 34-83456; File No. SR-LCH SA-2018-003)

Fees, Fines, Rebates & Claims

• NMS: Notice of Filing and Immediate Effectiveness of the Twenty-Ninth Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-First Amendment to the Restated CQ Plan (Release No. 34-83492; File No. SR-CTA/CQ-2018-02)
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the SPX Select Market-Maker Program (Release No. 34-83476; File No. SR-CBOE-2018-044); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Rules Pertaining to Co-location and Direct Connectivity (Release No. 34-83478; File No. SR-ISE-2018-54); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Rules Pertaining to Co-location and Direct Connectivity (Release No. 34-83466; File No. SR-NASDAQ-2018-045); see also Exhibit 5
• FICC: Order Approving Proposed Rule Change to Introduce a Floor to the Calculation of the Fails Charges and Make Other Changes (Release No. 34-83457; File No. SR-FICC-2018-004)

Products & Listing

• NMS: Notice of Filing and Immediate Effectiveness of the Forty-Third Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis (Release No. 34-83493; File No. S7-24-89)
• Cboe BZX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Principal Morley Short Duration Index ETF (Release No. 34-83479; File No. SR-CboeBZX-2018-018)
• Cboe BZX: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, to List and Trade Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares (Release No. 34-83467; File No. SR-CboeBZX-2018-019)
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 1101A, Terms of Option Contracts (Release No. 34-83458; File No. SR-Phlx-2018-47); see also Exhibit 5

Trading & Trade Reporting

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702 (Release No. 34-83482; File No. SR-NASDAQ-2018-046); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Box and Butterfly Spread Protections (Release No. 34-83464; File No. SR-ISE-2018-55); see also Exhibit 5
• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Rule 7260 by extending the Penny Pilot Program through December 31, 2018 (Release No. 34-83500; File No. SR-BOX-2018-23); see also Exhibit 5
• BOX: Notice of Withdrawal of Proposed Rule Change to Amend Rules 7150 and 7245(Release No. 34-83499; File No. SR-BOX-2018-17)
• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.35E (Release No. 34-83498; File No. SR-NYSEAMER-2018-30); see also Exhibit 5

Licensing & Registration

• MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Among Other Things, Amend MSRB Rule G-3 to Restructure the MSRB's Current Municipal Securities Representative Qualification Examination and Harmonize Certain MSRB Qualification Requirements with FINRA Rules (Release No. 34-83483; File No. SR-MSRB-2018-04); see also Exhibit 5

Miscellaneous

• NFA: Notice of Filing and Immediate Effectiveness of Proposed Technical Amendment to the Interpretive Notice to NFA Compliance Rule 2-9: Special Supervisory Requirements for Members Registered as Broker-Dealers under Section 15(b)(11) of the Securities Exchange Act of 1934 (Release No. 34-83491; File No. SR-NFA-2018-01)
• NFA: Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rule 2-9: Enhanced Supervisory Requirements: Requiring NFA Members to Maintain a Record of All Electronic Written Communications (Release No. 34-83490; File No. SR-NFA-2018-02)
• 17d-2: Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BOX Options Exchange LLC (Release No. 34-83477; File No. 4-709)
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rule Governing Crowd Space Disputes (Release No. 34-83486; File No. SR-CBOE-2018-043); see also Exhibit 5
• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) (Release No. 34-83474; File No. SR-FINRA-2018-025); see also Exhibit 5