Weekly Roundup of Exchange Rules by Category

Click on the links below to view SEC notices of exchange rule changes and proposals for the business week of June 26 to June 30, 2017.

Clearance & Settlement

• Fixed Income Clearing Corporation ("FICC"): Order Approving a Proposed Rule Change to the Mortgage-Backed Securities Division Clearing Rules regarding Fixed Income Clearing Corporation's (1) Time of Novation, (2) Treatment of Itself as the Settlement Counterparty for Certain Transaction Types, and (3) Proposal to Implement New Processes to Promote Operational Efficiencies for Its Clearing Members (Release No. 34-81051; File No. SR-FICC-2017-012; June 29, 2017)

• FICC Advanced Notice: Notice of No Objection to Advance Notice Filing to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook (Release No. 34-81054; File No. SR-FICC-2017-802; June 29, 2017)

• ICE Clear Credit LLC ("ICC"): Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice relating to the Clearance of Additional Credit Default Swap Contracts (Release No. 34-81029; File No. SR-ICC-2017-008; June 27, 2017); see also Exhibit 5

• ICC: Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice relating to the Clearance of Additional Credit Default Swap Contracts (Release No. 34-81030; File No. SR-ICC-2017-009; June 27, 2017); see also Exhibit 5

• ICC: Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Clearing Rules and the ICC Treasury Operations Policies and Procedures (Release No. 34-81037; File No. SR-ICC-2017-010; June 28, 2017)

• National Securities Clearing Corporation ("NSCC"): Notice of Filing of Advance Notice to Adopt a New Stock Options and Futures Settlement Agreement with the Options Clearing Corporation (Release No. 34-81039; File No. SR-NSCC-2017-803; June 28, 2017)

• Options Clearing Corporation ("OCC"): Notice of Filing of Advance Notice 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. 34-81040; File No. SR-OCC-2017-804; June 28, 2017)

Fees, Fines, Rebates & Claims

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change related to Fees for Logical Ports on the Bats Equity Options Platform (Release No. 34-81032; File No. SR-BatsBZX-2017-43; June 27, 2017); see also Exhibit 5

• FINRA: Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail – Fee Dispute Resolution) (Release No. 34-81053; File No. SR-FINRA-2017-020; June 29, 2017); see also Exhibit 5

• Miami International Securities Exchange ("MIAX"): Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-81019; File No. SR-MIAX-2017-29; June 26, 2017); see also Exhibit 5

Products and Listings

• NSCC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Further Describe and Codify Existing Practices relating to the Bond Haircut (Release No. 34-81044; File No. SR-NSCC-2017-009; June 29, 2017); see also Exhibit 5

• NYSE: Notice of Filing of Proposed Rule Change to Require Listed Companies to Provide Advance Notice of Dividend Announcements to the Exchange (Release No. 34-81021; File No. SR-NYSE-2017-17; June 26, 2017); see also Exhibit 5

Trading & Trade Reporting

• Chicago Board Options Exchange ("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. 34-81017; File No. SR-CBOE-2017-050; June 26, 2017); see also Exhibit 3

• FINRA: Notice of Filing and Immediate Effectiveness of Proposed Rule Change relating to Reporting of Certain ATS Transactions in U.S. Treasury Securities (Release No. 34-81018; File No. SR-FINRA-2017-023; June 26, 2017); see also Exhibit 5

• ICE Clear Europe Limited ("ICEEU"): Order Approving Proposed Rule Changes relating to the CDS End-of-Day Price Discovery Policy and Price Submission Disciplinary Framework (Release No. 34-81031; File No. SR-ICEEU-2017-006; June 27, 2017)

• Investors Exchange LLC ("IEX"): Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify the Manner in Which the Exchange Opens Trading for Non-IEX-Listed Securities (Release No. 34-81052; File No. SR-IEX-2017-11; June 29, 2017)

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX Options Rules 307, Position Limits, and 309, Exercise Limits, to Extend the SPY Pilot Program (Release No. 34-81020; File No. SR-MIAX-2017-30; June 26, 2017); see also Exhibit 3, Exhibit 3A, Exhibit 5

• NYSE MKT: Order Granting Approval of Proposed Rule Change, as Modified by Amendments No. 1, 2, and 3, to Allow the Exchange to Trade, Pursuant to Unlisted Trading Privileges, any NMS Stock Listed on Another National Securities Exchange; Establish Rules for the Trading Pursuant to UTP of Exchange-Traded Products; and Adopt New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform (Release No. 34-81038; File No. SR-NYSEMKT-2016-103; June 28, 2017)

• OneChicago LLC ("OC"): Notice of Filing of Proposed Rule Change to Implement Four Decimal Pricing for Outright Transactions in Single Stock Futures (Release No. 34-81022; File No. SR-OC-2017-02; June 26, 2017); see also Exhibit 4

Miscellaneous

• 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. 34-81035; File No. SR-FINRA-2017-019; June 27, 2017); see also Exhibit 5

• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change relating to the Non-Priority Customer License Surcharge (Release No. 34-81023; File No. SR-GEMX-2017-25; June 26, 2017); see also Exhibit 5

• ICC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change relating to ICC's Cash Investment Yield Schedule (Release No. 34-81028; File No. SR-ICC-2017-007; June 27, 2017); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change relating to the Non-Priority Customer License Surcharge (Release No. 34-81024; File No. SR-ISE-2017-54; June 26, 2017); see also Exhibit 5