Weekly Roundup of Exchange Rules by Category

Click on the links below to view SEC notices of exchange rule changes and proposals for the week of July 31 to August 4, 2017.

Clearance and Settlement

• DTC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Effective Date of the Settlement Cycle Rule Changes (Release No. 34-81305; File No. SR-DTC-2017-015; August 3, 2017); see also Exhibit 5
• NSCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Effective Date of the Settlement Cycle Rule Changes (Release No. 34-81306; File No. SR-NSCC-2017-014; August 3, 2017); see also Exhibit 5
• NSCC, OCC: Notice of No Objection to Advance Notices concerning the Adoption of a New Stock Options and Futures Settlement Agreement between the National Securities Clearing Corporation and the Options Clearing Corporation (Release No. 34-81260; File Nos. SR-NSCC-2017-803, SR-OCC-2017-804; July 31, 2017)
• NSCC, OCC: Order Approving Proposed Rule Changes concerning the Adoption of a New Stock Options and Futures Settlement Agreement between the National Securities Clearing Corporation and the Options Clearing Corporation (Release No. 34-81266; File Nos. SR-NSCC-2017-007, SR-OCC-2017-013; July 31, 2017)

Corporate Governance

• ISE: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Harmonize the Corporate Governance Framework of Nasdaq ISE, LLC with that of the NASDAQ Stock Market LLC, NASDAQ PHLX LLC, and NASDAQ BX, Inc. (Release No. 34-81263; File No. SR-ISE-2017-32; July 31, 2017)
• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change in Connection with the Proposed Merger of Its Wholly Owned Subsidiary NYSE Arca Equities, Inc. with and into the Exchange (Release No. 34-81294; File No. SR-NYSEArca-2017-40; August 2, 2017)

Fees, Fines, Rebates, and Claims

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc. (Release No. 34-81288; File No. SR-BatsBYX-2017-16; August 2, 2017); see also Exhibit 5
• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc. and Bats BZX Exchange, Inc.'s Equity Options Platform (Release No. 34-81289; File No. SR-BatsBZX-2017-47; August 2, 2017); see also Exhibit 5A, Exhibit 5B
• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.'s Equity Options Platform (Release No. 34-81304; File No. SR-BatsBZX-2017-48; August 3, 2017); see also Exhibit 5
• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGA Exchange, Inc. (Release No. 34-81291; File No. SR-BatsEDGA-2017-19; August 2, 2017); see also Exhibit 5
• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc. and Bats EDGX Exchange, Inc.'s Equity Options Platform (Release No. 34-81290; File No. SR-BatsEDGX-2017-31; August 2, 2017); see also Exhibit 5A, Exhibit 5B
• FICC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees in the Mortgage-Backed Securities Division Clearing Rules and the EPN Rules (Release No. 34-81255; File No. SR-FICC-2017-018; July 28, 2017); see also Exhibit 5
• FINRA: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution) (Release No. 34-81275; File No. SR-FINRA-2017-020; August 1, 2017)
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a New Type of MIAX Express Interface Port Known as a Purge Port, to Amend MIAX Options Rule 519C, Mass Cancellation of Trading Interest, to Adopt a New Purge Message, and to Amend Its Fee Schedule to Adopt Fees for Purge Ports (Release No. 34-81252; File No. SR-MIAX-2017-36; July 28, 2017); see also Exhibit 5B and Exhibit 5A
• MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Assess an Underwriting Fee on Dealers that are Underwriters of Primary Offerings of Plans (Release No. 34-81264; File No. SR-MSRB-2017-05; July 31, 2017); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter the Exchange's Fee Schedule for the Short Interest Report (Release No. 34-81256; File No. SR-NASDAQ-2017-077; July 28, 2017); see also Exhibit 5
• NSCC: Notice of Filing of Advance Notice to Expand the Application of the Family-Issued Securities Charge (Release No. 34-81286; File No. SR-NSCC-2017-804; August 2, 2017); see also Exhibit 5

Market Data

• MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Ports That Members Use to Connect to the Exchange (Release No. 34-81312; File No. SR-MRX-2017-13; August 3, 2017); see also Exhibit 5
• NYSE NAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 11.26 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-81269; File No. SR-NYSENAT-2017-03; July 31, 2017); see also Exhibit 5

Products and Listings

• NASDAQ: Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, Relating to the First Trust Municipal High Income ETF (Release No. 34-81265; File No. SR-NASDAQ-2017-038; July 31, 2017)
• NYSE: Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Section 102.01B of the NYSE Listed Company Manual to Provide for the Listing of Companies That List without a Prior Exchange Act Registration and that Are Not Listing in Connection with an Underwritten Initial Public Offering and Related Changes to Rules 15, 104, and 123D (Release No. 34-81309; File No. SR-NYSE-2017-30; August 3, 2017)
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule (Release No. 34-81268; File No. SR-NYSEArca-2017-79; July 31, 2017); see also Exhibit 5
• NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt NYSE Arca Equities Rule 8.900 to Permit Listing and Trading of Managed Portfolio Shares and to List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF under Proposed NYSE Arca Equities Rule 8.900 (Release No. 34-81267; File No. SR-NYSEArca-2017-36; July 31, 2017)
• Phlx: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index Options on a Pilot Basis (Release No. 34-81293; File No. SR-Phlx-2017-04; August 2, 2017)

Trading and Trade Reporting

• BOX: Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt Rules for an Open-Outcry Trading Floor (Release No. 34-81292; File No. SR-BOX-2016-48; August 2, 2017)
• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6.1, Days and Hours of Business, to Clarify the Trading Hours for Options on Index-Linked Exchangeable Notes (Release No. 34-81261; File No. SR-C2-2017-022; July 31, 2017)
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6.1, Days and Hours of Business, to Clarify the Trading Hours for Options on Exchange-Traded Funds and Exchange-Traded Notes (Release No. 34-81262; File No. SR-CBOE-2017-056; July 31, 2017)
• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Policy Relating to Its Treatment of Trade Reports that It Determines to Be Inconsistent with the Prevailing Market (Release No. 34-81278; File No. SR-IEX-2017-24; August 1, 2017)
• NASDAQ: Notice of Filing of Proposed Rule Change to Adopt the Midpoint Extended Life Order (Release No. 34-81311; File No. SR-NASDAQ-2017-074; August 3, 2017); see also Exhibit 5
• NYSE: Notice of Filing of Proposed Rule Change for Trading UTP Securities on Pillar, the Exchange's New Trading Technology Platform, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing (Release No. 34-81310; File No. SR-NYSE-2017-36; August 3, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.37 (Release No. 34-81303; File No. SR-NYSEArca-2017-83; August 3, 2017); see also Exhibit 5
• Phlx: Notice of Filing of Proposed Rule Change to a Proposal to Amend Rule 1027, Discretionary Accounts, to Conform It More Closely to a Comparable Rule of the Chicago Board Options Exchange (CBOE) and to Make Minor Corrections and Clarifications (Release No. 34-81270; File No. SR-Phlx-2017-56; July 31, 2017); see also Exhibit 5