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 August 28 to September 1, 2017.

Clearance & Settlement

• DTC: Order Approving Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework (Release No. 34-81485; File Nos. SR-DTC-2017-008, SR-FICC-2017-014, SR-NSCC-2017-008; August 25, 2017)

• ICC: Notice of Filing of Proposed Rule Change Relating to ICC's Liquidity Risk Management Framework and ICC's Stress Testing Framework (Release No. 34-81486; File No. SR-ICC-2017-012; August 25, 2017)

• LCH: Notice of Filing of Proposed Rule Change Relating to Options on Index Credit Default Swaps (Release No. 34-81487; File No. SR-LCH SA-2017-006; August 25, 2017)

• FICC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt the Interpretive Guidance with Respect to Watch List Consequences (Release No. 34-81511; File No. SR-FICC-2017-019; August 31, 2017)

• NASDAQ BX, Inc.: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Address the Application of Exchange Rule 11140 (Transactions in Securities "Ex-Dividend," "Ex-Rights" or "Ex-Warrants") as It Relates to Establishing Ex-Dividend Dates in Connection with the Implementation of the T+2 Settlement Cycle on September 5, 2017 (Release No. 34-81512; File No. SR-BX-2017-039; August 31, 2017)

Corporate Governance

• BatsBYX: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Harmonize the Corporate Governance Framework with That of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated (Release No. 34-81498; File No. SR-BatsBYX-2017-19; August 30, 2017); see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D , Exhibit 5E

• BatsBZX: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Harmonize the Corporate Governance Framework with That of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated (Release No. 34-81497; File No. SR-BatsBZX-2017-55; August 30, 2017); see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E

• BatsEDGA: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Harmonize the Corporate Governance Framework with That of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated (Release No. 34-81496; File No. SR-BatsEDGA-2017-22; August 30, 2017); see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E

• BatsEDGX: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Harmonize the Corporate Governance Framework with That of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated (Release No. 34-81503; File No. SR-BatsEDGX-2017-35; August 30, 2017); see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E

Fees, Fines, Rebates & Claims

• BatsBYX: Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process (Release No. 34-81500; File Nos. SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31; August 30, 2017)

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Establish a Booth Space Fee for the BOX Trading Floor (Release No. 34-81506; File No. SR-BOX-2017-29; August 30, 2017); see also Exhibit 5

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees and Rebates for the Trading Floor on the BOX Market LLC ("BOX") Options Facility (Release No. 34-81504; File No. SR-BOX-2017-28; August 30, 2017); see also Exhibit 5

• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees Pursuant to Rule 15.110 (Release No. 34-81502; File No. SR-IEX-2017-28; August 30, 2017)

Market Data

• NYSE: Notice of Filing of Proposed Rule Change to Amend Section 202.06 of the NYSE Listed Company Manual to Prohibit Listed Companies from Issuing Material News after the Official Closing Time for the Exchange's Trading Session until the Earlier of Publication of Such Company's Official Closing Price on the Exchange or Five Minutes after the Official Closing Time (Release No. 34-81494; File No. SR-NYSE-2017-32; August 29, 2017); see also Exhibit 5

Products and Listings

• Bats BZX: Notice of Filing of a Proposed Rule Change to List and Trade Shares of Specified Series of the Innovator Shield Strategy S&P 500 Monthly Index Series and Innovator Ultra Shield Strategy S&P 500 Monthly Index Series under Rule 14.11(c)(3) (Release No. 34-81495; File No. SR-BatsBZX-2017-56; August 29, 2017)

• BatsBZX: Notice of Filing of a Proposed Rule Change to List and Trade Shares of the WisdomTree CBOE Russell 2000 PutWrite Strategy Fund, a Series of the WisdomTree Trust, under Rule 14.11(c)(3), Index Fund Shares (Release No. 34-81510; File No. SR-BatsBZX-2017-53; August 30, 2017)

• NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade Shares of the Hartford Municipal Opportunities ETF under NYSE Arca Rule 8.600-E (Release No. 34-81505; File No. SR-NYSEArca-2017-90; August 30, 2017); see also Exhibit 5

Trading & Trade Reporting

• CBOE: Notice of Filing of a Proposed Rule Change to Amend Interpretation and Policy .07 of Exchange Rule 4.11, Position Limits, to Increase the Position Limits for Options on Certain ETFs (Release No. 34-81483; File No. SR-CBOE-2017-057; August 25, 2017); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4752(d)(2)(F)(I) (Release No. 34-81493; File No. SR-NASDAQ-2017-085; August 29, 2017); see also Exhibit 5

• BatsBZX: Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT (Release No. 34-81499; File Nos. SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30; August 30, 2017)

• BatsEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 20.3, Trading Halts, and Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors (Release No. 34-81515; File No. SR-BatsEDGX-2017-36; August 31, 2017); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6.25, Nullification and Adjustment of Options Transactions including Obvious Errors (Release No. 34-81516; File No. SR-CBOE-2017-058; August 31, 2017); see also Exhibit 5