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 August 15 – August 19.

Clearance & Settlement:

• ICE EU: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Settlement of UK Spot Natural Gas Contracts and European Emissions Contracts (Release No. 34-78604; File No. SR-ICEEU-2016-009; August 17, 2016)

Corporate Governance:

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rules 803 and 308 (Release No. 34-78612; File No. SR-MIAX-2016-29; August 18, 2016); see also Exhibit 5

Fees, Fines, Rebates & Claims:

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchanges Options Platform (Release No. 34-78522; File No. SR-BatsEDGX-2016-40; August 9, 2016)

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility (Release No. 34-78618; File No. SR-BOX-2016-41; August 18, 2016); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error in Rules IM-5910-1 and IM-5920-1 (Release No. 34-78605; File No. SR-NASDAQ-2016-118; August 17, 2016)

• NASDAQ: Notice of Filing of Proposed Rule Change to Amend Nasdaq Rule 5735 to Adopt Generic Listing Standards for Managed Fund Shares (Release No. 34-78616; File No. SR-NASDAQ-2016-104; August 18, 2016); see also Exhibit 5

• NYSE: Notice of Filing of Proposed Rule Change Adopting Maximum Fees Member Organizations may Charge in Connection with the Distribution of Investment Company Shareholder Reports Pursuant to Any Electronic Delivery Rules Adopted by the Securities and Exchange Commission (Release No. 34-78589; File No. SR-NYSE-2016-55; August 16, 2016)

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule (Release No. 34-78576; File No. SR-Phlx-2016-83; August 15, 2016)

Licensing & Registration:

• NYSE MKT: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rules 340, 341, and 359 to Extend the Time Within Which a Member, Member Organization, or an ATP Holder Must File a Uniform Termination Notice for Securities Industry Registration ("U5") (Release No. 34-78598; File No. SR-NYSEMKT-2016-52; August 17, 2016)

Products:

• Bats BZX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the JPMorgan Global Bond Opportunities ETF (Release No. 34-78613; File No. SR-BatsBZX-2016-35; August 18, 2016)

• NASDAQ: Order Granting Approval of 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. 34-78592; File No. SR-NASDAQ-2016-061; August 16, 2016)

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the First Trust Horizon Managed Volatility Domestic ETF and the First Trust Horizon Managed Volatility Developed International ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-78587; File No. SR-NYSEArca-2016-87; August 16, 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 JPMorgan Diversified Event Driven ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-78610; File No. SR-NYSEArca-2016-82; August 18, 2016)

• NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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. 34-78614; File No. SR-NYSEArca-2016-64; August 18, 2016)

• NYSE MKT: Notice of Filing of Proposed Rule Change Amending Section 146 of the NYSE MKT Company Guide to Adjust the Entitlement to Services of Special Purpose Acquisition Companies (Release No. 34-78586; File No. SR-NYSEMKT-2016-62; August 16, 2016); see also Exhibit 5

Trading & Trade Reporting:

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the Alternative Display Facility for Trade Reporting Purpose Only (Release No. 34-78609; File No. SR-FINRA-2016-031; August 18, 2016)

• FINRA: Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities (Release No. 34-78573; File No. SR-FINRA-2016-032; August 15, 2016); See also Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 2d, Exhibit 2e, Exhibit 5

• MIAX: Notice of Filing of a Proposed Rule Change by Miami International Securities Exchange, LLC to Adopt New Rules to Govern the Trading of Complex Orders on the Exchange (Release No. 34-78620; File No. SR-MIAX-2016-26; August 18, 2016); see also Exhibit 5

• MSRB: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities (Release No. 34-78611; File No. SR-MSRB-2016-07; August 18, 2016); see also Exhibit 4; Exhibit 5

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchanges Retail Liquidity Program (Release No. 34-78600; File No. SR-NYSE-2016-54; August 17, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchanges Retail Liquidity Program (Release No. 34-78601; File No. SR-NYSEArca-2016-113; August 17, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Arca Equities Rules 7.35P, 7.34P, 7.18P and 7.31P Regarding Order Processing Following an Auction or When Transitioning from One Trading Session to Another (Release No. 34-78615; File No. SR-NYSEArca-2016-117; August 18, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchanges Retail Liquidity Program (Release No. 34-78602; File No. SR-NYSEMKT-2016-76; August 17, 2016); see also Exhibit 5

• Phlx: Notice of Filing of Proposed Rule Change to Adopt a New Exception in Exchange Rule 1000(f) for Sub-MPV Split-Priced Orders (Release No. 34-78593; File No. SR-Phlx-2016-82; August 16, 2016)

• Phlx: Notice of Filing of Proposed Rule Change to Amend Rule 1017, Openings in Options (Release No. 34-78588; File No. SR-Phlx-2016-79; August 16, 2016)