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 20 - June 24.

Clearance & Settlement:

• ICC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Revise the ICC End-of-Day Price Discovery Policies and Procedures (Release No. 34-78144; File No. SR-ICC-2016-007; June 23, 2016)

Corporate Governance:

• ISE: Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1 Thereto, Relating to a Corporate Transaction in Which Nasdaq, Inc. Will Become the Indirect Parent of ISE, ISE Gemini, and ISE Mercury (Release No. 34-78119; File Nos. SR-ISE-2016-11; SR-ISE Gemini-2016-05; SR-ISE Mercury-2016-10; June 21, 2016)

Fees, Fines, Rebates & Claims:

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees (Release No. 34-78122; File No. SR-BatsBYX-2016-12; June 22, 2016); see also Exhibit 5
• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees (Release No. 34-78111; File No. SR-BatsBZX-2016-24; June 21, 2016); see also Exhibit 5
• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees (Release No. 34-78121; File No. SR-BatsEDGA-2016-12; June 22, 2016); see also Exhibit 5
• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees (Release No. 34-78112; File No. SR-BatsEDGX-2016-23; June 21, 2016); see also Exhibit 5

• CHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Institutional Broker Fee Cap and Credit (Release No. 34-78126; File No. SR-CHX-2016-10; June 22, 2016); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Pricing at Chapter XV, Section 2 (Release No. 34-78103; File No. SR-NASDAQ-2016-089; June 20, 2016); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List to Adopt a Fee Waiver and a Fee Cap Related to the Liquidity Provider Incentive Program on the NYSE Bonds^SM System (Release No. 34-78108; File No. SR-NYSE-2016-42; June 21, 2016); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule (Release No. 34-78117; File No. SR-NYSEMKT-2016-60; June 21, 2016); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange's Pricing Schedule (Release No. 34-78116; File No. SR-Phlx-2016-69; June 21, 2016); see also Exhibit 5

Miscellaneous:

• CHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fingerprinting (Release No. 34-78109; File No. SR-CHX-2016-08; June 21, 2016); see also Exhibit 5

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook (Release No. 34-78130; File No. SR-FINRA-2016-019; June 22, 2016)
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE MKT Rules 2090 Equities (Know Your Customer) and 2111 Equities (Suitability) that are Substantially Similar to FINRA Rules 2090 (Know Your Customer) and 2111(Suitability), Deleting Current NYSE MKT Rule 405 Equities (Diligence as to Accounts), and Making Other Conforming Changes (Release No. 34-78106; File No. SR-NYSEMKT-2016-59; June 20, 2016)

Products:

• BATS: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to List and Trade Shares of the Pointbreak Diversified Commodity Strategy Fund of the Pointbreak ETF Trust under BATS Rule 4.11(i), Managed Fund Shares (Release No. 34-78104; File No. SR-BATS-2016-16; June 20, 2016)

Trading & Trade Reporting:

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Order Marking (Release No. 34-78110; File No. SR-CBOE-2016-050; June 21, 2016)
• CBOE: Notice of Filing of a Proposed Rule Change to Expand the Nonstandard Expirations Pilot Program (Release No. 34-78132; File No. SR-CBOE-2016-046; June 22, 2016)

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a Pilot Program that Eliminates Position and Exercise Limits for Physically-Settled SPDR S&P 500 ETF Trust ("SPY") Options (Release No. 34-78131; File No. SR-CBOE-2016-052; June 22, 2016); see also Exhibit 3
• CFE: Notice of Proposed Rule Change to Make Clarifying Updates to Prohibited Disruptive Trading Practices (Release No. 34-78143; File No. SR-CFE-2016-002; June 23, 2016); see also Exhibit 4
• CHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rules to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-78146; File No. SR-CHX-2016-09; June 23, 2016); see also Exhibit 5
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rules 307 and 309 to Extend the SPY Pilot Program (Release No. 34-78120; File No. SR-MIAX-2016-17; June 22, 2016); see also Exhibit 3, Exhibit 3A, Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Elimination of SPY Position Limits (Release No. 34-78123; File No. SR-NASDAQ-2016-084; June 22, 2016); see also Exhibit 3, Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive Options Quoting and Trading Activity (Release No. 34-78107; File No. SR-BX-2016-036; June 21, 2016); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Elimination of SPY Position Limits (Release No. 34-78125; File No. SR-BX-2016-030; June 22, 2016); see also Exhibit 3, Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Risk Monitor Mechanism (Release No. 34-78129; File No. SR-Phlx-2016-67; June 22, 2016); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Position Limits (Release No. 34-78124; File No. SR-Phlx-2016-68; June 22, 2016); see also Exhibit 3, Exhibit 5