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 19 to June 23, 2017.

Clearance & Settlement

• OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the U.S. Market Transition to a Shortened Settlement Cycle (Release No. 34-81008; File No. SR-OCC-2017-015; June 23, 2017); see also Exhibit 5A

Fees, Fines, Rebates & Claims

• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Amend Its Fee Schedule to Replace Current Inverted Pricing Model with Low Fee Model (Release No. 34-80976; File No. SR-BatsEDGA-2017-18; June 20, 2017); see also Exhibit 5

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use on Bats EDGX Exchange, Inc. (Release No. 34-80977; File No. SR-BatsEDGX-2017-30; June 20, 2017); see also Exhibit 5

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Make Several Non-Substantive Changes (Release No. 34-80969; File No. SR-BOX-2017-21; June 19, 2017); see also Exhibit 5

• FINRA: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive Certain TRACE Reporting Fees (Release No. 34-81009; File No. SR-FINRA-2017-022; June 23, 2017)

• GEMX: Notice of Filing of a Proposed Rule Change to Adopt Rule 912 (Release No. 34-80970; File No. SR-GEMX-2017-24; June 19, 2017); see also Exhibit 5

• ISE: Notice of Filing of a Proposed Rule Change to Adopt Rule 912 (Release No. 34-80971; File No. SR-ISE-2017-52; June 19, 2017); see also Exhibit 5

• MRX: Notice of Filing of a Proposed Rule Change to Adopt Rule 912 (Release No. 34-80966; File No. SR-MRX-2017-08; June 19, 2017) see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing of a Proposed Rule Change to Adopt Rule 6896 and Chapter IX, Section 9 (Release No. 34-80968; File No. SR-BX-2017-029; June 19, 2017); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule (Release No. 34-80990; File No. SR-NYSEArca-2017-67; June 21, 2017); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Its NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Add Access for Users to Two Third Party Systems and Connectivity to Six Additional Third Party Data Feeds (Release No. 34-81013; File No. SR-NYSEArca-2017-62; June 23, 2017); see also Exhibit 5

• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE Amex Options Fee Schedule (Release No. 34-80964; File No. SR-NYSEMKT-2017-37; June 19, 2017); see also Exhibit 5

• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Add Access for Users to Two Third Party Systems and Connectivity to Six Additional Third Party Data Feeds (Release No. 34-81015; File No. SR-NYSEMKT-2017-32; June 23, 2017); see also Exhibit 5

• Phlx: Notice of Filing of a Proposed Rule Change to Adopt Rule 996A (Release No. 34-80967; File No. SR-Phlx-2017-47; June 19, 2017); see also Exhibit 5

Products and Listings

• FINRA: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New TRACE Security Activity Report (Release No. 34-81007; File No. SR-FINRA-2017-021; June 23, 2017); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks (Release No. 34-80994; File No. SR-NASDAQ-2017-058; June 21, 2017); see also Exhibit 5

Trading & Trade Reporting

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Rule 6.56 (Compression Forums) (Release No. 34-81010; File No. SR-CBOE-2017-049; June 23 ,2017)

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Implementation Date for Trade Modifiers When Reporting Transactions in U.S. Treasury Securities (Release No. 34-80975; File No. SR-FINRA-2017-018; June 20, 2017)

• FINRA: Order Granting Approval of Proposed Rule Change to Reduce the Delay Period for Transactions Included in the Historic TRACE Data Sets Relating to Corporate and Agency Debt Securities (Release No. 34-81011; File No. SR-FINRA-2017-012; June 23, 2017)

• ICEEU: Notice of Filing of Amendment No. 1 and Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to ICE Clear Europe's End-of-Day Price Discovery Policy (Release No. 34-80978; File No. SR-ICEEU-2017-003; June 20, 2017)

• MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quote Mitigation (Release No. 34-80974; File No. SR-MRX-2017-09; June 19, 2017); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 6.72 in Order to Extend the Penny Pilot in Options Classes in Certain Issues through December 31, 2017 (Release No. 34-80988; File No. SR-NYSEArca-2017-68; June 21, 2017); see also Exhibit 5

• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues (Release No. 34-80989; File No. SR-NYSEMKT-2017-36; June 21, 2017); see also Exhibit 5

Corporate Governance

• NYSEMKT: Order Granting Approval of Proposed Rule Change to Harmonize the Requirements of the NYSE MKT Company Guide with the Periodic and Semi-Annual Reporting Requirements of the NYSE (Release No. 34-81016; File No. SR-NYSEMKT-2017-23; June 23, 2017)

Miscellaneous

• FINRA: Order Approving a Proposed Rule Change Relating to Expediting List Selection in Arbitration (Release No. 34-80973; File No. SR-FINRA-2017-009; June 19, 2017)

• MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter 19 (Release No. 34-80965; File No. SR-MRX-2017-07; June 19, 2017); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1049, Communications to Customers (Release No. 34-80972; File No. SR-Phlx-2017-39; June 19, 2017); see also Exhibit 5