Weekly Roundup of Exchange Rules by Category

New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view the SEC Notices of exchange rule changes and proposals for the week of July 25 - July 29.

Clearance & Settlement:

• OCC: Notice of Filing of Proposed Rule Change Concerning Enhancements to The Options Clearing Corporation's Governance Arrangements (Release No. 34-78438; File No. SR-OCC-2016-002; July 28, 2016); see also Exhibit 5a

Corporate Governance:

• NYSE: Notice of Filing of Proposed Rule Change Amending the Ninth Amended and Restated Operating Agreement of the Exchange (Release No. 34-78436; File No. SR-NYSE-2016-51; July 28, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a New NYSE Arca Rule 13.9 and a New NYSE Arca Equities Rule 11.9 and to Make Conforming Changes to NYSE Arca Rule 3.2 and NYSE Arca Equities Rule 3.2 (Release No. 34-78422; File No. SR-NYSEArca-2016-102; July 27, 2016); see also Exhibit 5

Fees, Fines, Rebates & Claims:

• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule (Release No. 34-78421; File No. SR-C2-2016-013; July 26, 2016); see also Exhibit 5

• IEX: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Collection of Exchange Fees and Other Claims and Billing Policy (Release No. 34-78416; File No. SR-IEX-2016-01; July 26, 2016); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Options Market LLC Pricing at Chapter XV (Release No. 34-78406; File No. SR-NASDAQ-2016-100; July 25, 2016); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Tiers Related to SPY Options (Release No. 34-78431; File No. SR-BX-2016-045; July 28, 2016); see also Exhibit 5

Market Data:

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Public Disclosure of Exchange Usage of Market Data (Release No. 34-78404; File No. SR-NASDAQ-2016-099; July 25, 2016)

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Public Disclosure of Exchange Usage of Market Data (Release No. 34-78405; File No. SR-BX-2016-044; July 25, 2016)

• NSX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to NSX Rule 11.25(a), Stating It Will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes (Release No. 34-78403; File No. SR-NSX-2016-06; July 25, 2016); see also Exhibit 5

Products:

• Bats BZX: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust under BZX Rule 14.11(i), Managed Fund Shares (Release No. 34-78415; File No. SR-BatsBZX-2016-09; July 26, 2016)

• NASDAQ: Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of the PowerShares Variable Rate Investment Grade Portfolio, a series of the PowerShares Actively Managed Exchange-Traded Fund Trust (Release No. 34-78437; File No. SR-NASDAQ-2016-056; July 28, 2016)

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Global Currency Gold Fund under NYSE Arca Equities Rule 8.201 (Release No. 34-78425; File No. SR-NYSEArca-2016-84; July 27, 2016)

• NYSE Arca: Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust under NYSE Arca Equities Rule 8.201 (Release No. 34-78426; File No. SR-NYSEArca-2016-101; July 27, 2016); see also Exhibit 3

• NYSE Arca: Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Direxion Daily Municipal Bond Taxable Bear 1X Fund under NYSE Arca Equities Rule 5.2(j)(3) (Release No. 34-78433; File No. SR-NYSEArca-2016-100; July 28, 2016)

• NYSE Arca: Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Virtus Japan Alpha ETF Under NYSE Arca Equities Rule 8.600 (Release No. 34-78414; File No. SR-NYSEArca-2016-79; July 26, 2016)

• NYSE MKT: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund (Release No. 34-78432; File No. SR-NYSEMKT-2016-58; July 28, 2016)

Trading & Trade Reporting:

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Tied to Stock Orders (Release No. 34-78407; File No. SR-CBOE-2016-057; July 25, 2016)

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Operation of the Regulation NMS Plan to Address Extraordinary Market Volatility (Release No. 34-78435; File No. SR-FINRA-2016-028; July 28, 2016); see also Exhibit 5

• IEX: Investors Exchange LLC; Notice of Filing of Proposed Rule Change to Amend Rule 11.230 to Rename the "Router Plus" Routing Option to "Router" (Release No. 34-78420; File No. SR-IEX-2016-02; July 26, 2016); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Rule 754 (Employees' Discretion as to Customers' Accounts) (Release No. 34-78419; File No. SR-Phlx-2016-78; July 26, 2016)