Weekly Roundup of Exchange Rules by Category

The SEC announced new SRO rules and rule proposals. Click on the links below to view the SEC's notices of exchange rule changes and proposals for the week of July 5 – July 8.

Fees, Fines, Rebates & Claims:

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List (Release No. 34-78233; File No. SR-NYSE-2016-47; July 6, 2016); see also Exhibit 5

Miscellaneous:

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Application of FINRA Rule 2210 ("Communications with the Public") to Debt Research Reports (Release No. 34-78237; File No. SR-FINRA-2016-021; July 7, 2016); see also Exhibit 5

Products:

• Bats BZX: Notice of Filing of Proposed Rule Change to BZX Rule 14.11(d) to Add the EURO STOXX 50^® Volatility Futures to the Definition of Futures Reference Asset (Release No. 34-78236; File No. SR-BatsBZX-2016-26; July 6, 2016); see also Exhibit 5

• BOX: Notice of Filing of Proposed Rule Change to expand the Short Term Option Series Program to allow Wednesday expirations for SPY options (Release No. 34-78243; File No. SR-BOX-2016-28; July 7, 2016); see also Exhibit 5

• NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the Amplify Dow Theory Forecasts Buy List ETF of Amplify ETF Trust (Release No. 34-78225; File No. SR-NASDAQ-2016-072; July 5, 2016)

• NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the First Trust Equity Market Neutral ETF of the First Trust Exchange-Traded Fund VIII (Release No. 34-78227; File No. SR-NASDAQ-2016-061; July 5, 2016)

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to List and Trade Shares of the AdvisorShares KIM Korea Equity ETF (Release No. 34-78240; File No. SR-NYSEArca-2016-64; July 7, 2016)

Trading & Trade Reporting:

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Interpretation and Policy .01 to Rule 16.1 to Specify the Calculation Methodology for Counting Professional Orders (Release No. 34-78226; File No. SR-BatsBZX-2016-31; July 5, 2016); see also Exhibit 5

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend IM-3120-2 to Rule 3120 to Extend the Pilot Program that Eliminated the Position Limits for Options on SPDR S&P 500 ETF ("SPY") ("SPY Pilot Program") (Release No. 34-78247; File No. SR-BOX-2016-31; July 7, 2016); see also Exhibit 3; Exhibit 5

• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules Related to Execution and Priority (Release No. 34-78235; File No. SR-C2-2016-010; July 6, 2016); see also Exhibit 5

• CFE: Notice of Proposed Rule Change Regarding Account and Order Ticket Information (Release No. 34-78248; File No. SR-CFE-2016-003; July 7, 2016); see also Exhibit 4

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rules to Implement the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program (Release No. 34-78251; File No. SR-NASDAQ-2016-093; July 7, 2016); see also Exhibit 5

• NASDAQ: Notice of Filing of Proposed Rule Change to Adopt Limit Order Protection (Release No. 34-78246; File No. SR-NASDAQ-2016-067; July 7, 2016); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rules to Implement the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program (Release No. 34-78250; File No. SR-BX-2016-039; July 7, 2016); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4120 (Release No. 34-78234; File No. SR-BX-2016-033; July 6, 2016); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend PRISM Pilot Program Through January 18, 2017 (Release No. 34-78249; File No. SR-BX-2016-038; July 7, 2016); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing of Proposed Rule Change to Adopt Limit Order Protection (Release No. 34-78244; File No. SR-BX-2016-037; July 7, 2016); see also Exhibit 5

• NYSE: Notice of Filing of Partial Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 2 and 3, Relating to Pre-Opening Indications and Opening Procedures (Release No. 34-78228; File No. SR-NYSE-2016-24; July 5, 2016)

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Rule 6.8 to Extend the Pilot Program that Eliminated the Position Limits for Options on SPDR S&P 500 ETF (Release No. 34-78242; File No. SR-NYSEArca-2016-92; July 7, 2016); see also Exhibit 3, Exhibit 5

• NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 6.67(c) by Revising the Clearing Member Requirement for Entering an Order into the Electronic Order Capture System (Release No. 34-78239; File No. SR-NYSEArca-2016-15; July 7, 2016)

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Rule 904 to Extend the Pilot Program that Eliminated the Position Limits for Options on SPDR S&P 500 ETF (Release No. 34-78241; File No. SR-NYSEMKT-2016-65; July 7, 2016); see also Exhibit 3, Exhibit 5

• NYSE MKT: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 955NY(c) by Revising the Clearing Member Requirement for Entering an Order into the Electronic Order Capture System (Release No. 34-78238; File No. SR-NYSEMKT-2016-13; July 7, 2016)

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3100 (Release No. 34-78232; File No. SR-PHLX-2016-70; July 6, 2016); see also Exhibit 5

• Phlx: Notice of Filing of Proposed Rule Change to Adopt Limit Order Protection (Release No. 34-78245; File No. SR-PHLX-2016-58; July 7, 2016); see also Exhibit 5