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 July 9 to July 13, 2018.

Clearance & Settlement

• DTC: Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes (Release No. 34-83629; File No. SR-DTC-2017-022); see also Exhibit 5, Exhibit 4
• DTC: Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules (Release No. 34-83628; File No. SR-DTC-2017-021); see also Exhibit 4, Exhibit 5a, Exhibit 5b
• FICC: Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes (Release No. 34-83631; File No. SR-FICC-2017-022); see also Exhibit 4, Exhibit 5
• FICC: Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules (Release No. 34-83630; File No. SR-FICC-2017-021); see also Exhibit 5a, Exhibit 5b
• NSCC: ​Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes (Release No. 34-83633; File No. SR-NSCC-2017-018); see also Exhibit 4, Exhibit 5
• NSCC: Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules (Release No. 34-83632; File No. SR-NSCC-2017-017); see also Exhibit 4, Exhibit 5a, Exhibit 5b

Corporate Governance

• CHX: Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1, 2, and 3 Thereto, in Connection with a Proposed Transaction Involving CHX Holdings, Inc. and the Intercontinental Exchange, Inc. (Release No. 34-83635; File No. SR-CHX-2018-004)

Fees, Fines, Rebates & Claims

• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE American Options Fee Schedule (Release No. 34-83617; File No. SR-NYSEAMER-2018-36); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule (Release No. 34-83616; File No. SR-NYSEArca-2018-51); see also Exhibit 5

Products & Listing

• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 16.160 to Remove Form 19b-4(e) Filing Requirement (Release No. 34-83609; File No. SR-IEX-2018-14); see also Exhibit 5

• MIAX: Notice of Filing of a Proposed Rule Change by Miami International Securities Exchange, LLC to List and Trade on the Exchange Options on the SPIKES Index (Release No. 34-83619; File No. SR-MIAX-2018-14); see also Exhibit 3-1, Exhibit 3-2, Exhibit 5

• NASDAQ: Notice of Filing of Proposed Rule Change Relating to the First Trust Senior Loan Fund of First Trust Exchange Traded Fund IV (Release No. 34-83618; File No. SR-NASDAQ-2018-050)

Market Data & Reporting

• BOX: Order Granting Approval of a Proposed Rule Change to Adopt IM-7130-1 to Rule 7130 (Release No. 34-83624; File No. SR-BOX-2018-18)

Trading & Reporting

• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Discontinue the Router Basic Routing Option (Release No. 34-83634; File No. SR-IEX-2018-15); see also Exhibit 5

Miscellaneous

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules and Adopt a Zero Bid Options Rule (Release No. 34-83623; File No. SR-NASDAQ-2018-051); see also Exhibit 5