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 SEC Notices of exchange rule changes and proposals for the week of October 3 - October 7.

Corporate Governance:

• 17d-2: Notice of Filing and Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc., Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., and Bats EDGX Exchange, Inc. (Release No. 34-79057; File No. 4-705; October 6, 2016)
• NASDAQ: Notice of Filing of Proposed Rule Change to Modify Rule IM-5900-7 to Adjust the Entitlement to Services of Acquisition Companies (Release No. 34-79025; File No. SR-NASDAQ-2016-106; October 3, 2016); see also Exhibit 5
• NYSE MKT: Order Granting Approval 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. 34-79056; File No. SR-NYSEMKT-2016-62; October 6, 2016)

Fees, Fines, Rebates & Claims:

• 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. 34-79040; File No. SR-BOX-2016-49; October 4, 2016); see also Exhibit 5
• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Adopt Participant Fees on the BOX Market LLC ("BOX") Options Facility (Release No. 34-79038; File No. SR-BOX-2016-47; October 4, 2016); see also Exhibit 5
• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees and Transaction Credits for the FINRA/NYSE Trade Reporting Facility (Release No. 34-79050; File No. SR-FINRA-2016-037; October 5, 2016); see also Exhibit 3, Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend a Current Billing Practice With Respect to Billing Disputes (Release No. 34-79061; File No. SR-ISE-2016-23; October 6, 2016); see also Exhibit 5
• ISE Gemini: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to a Proposal to Amend a Current Billing Practice With Respect to Billing Disputes (Release No. 34-79060; File No. SR-ISEGemini-2016-11; October 6, 2016); see also Exhibit 5
• ISEMercury: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend a Current Billing Practice With Respect to Billing Disputes (Release No. 34-79059; File No. SR-ISEMercury-2016-17; October 6, 2016); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7046 (Release No. 34-79035; File No. SR-NASDAQ-2016-124; October 4, 2016); see also Exhibit 5
• NYSE: Notice of Designation of a Longer Period for Commission Action on 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. 34-79051; File No. SR-NYSE-2016-55; October 5, 2016)
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule (Release No. 34-79063; File No. SR-NYSEArca-2016-132; October 6, 2016); see also Exhibit 5
• OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees (Release No. 34-79028; File No. SR-OCC-2016-012; October 3, 2016); see also Exhibit 5

Licensing & Registration:

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 22.3, Continuing Options Market Maker Registration (Release No. 34-79039; File No. SR-BatsBZX-2016-62; October 4, 2016); see also Exhibit 5
• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 22.3, Continuing Options Market Maker Registration, of Bats EDGX Exchange, Inc. (Release No. 34-79041; File No. SR-BatsEDGX-2016-53; October 4, 2016); see also Exhibit 5

Products:

• BatsBZX: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to List and Trade Shares of the JPMorgan Global Bond Opportunities ETF of the J.P. Morgan Exchange-Traded Fund Trust under BZX Rule 14.11(i), Managed Fund Shares (Release No. 34-79053; File No. SR-BatsBZX-2016-35; October 5, 2016)
• NYSE Arca: Notice of Withdrawal of a 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. 34-79062; File No. SR-NYSEArca-2016-64; October 6, 2016)

Trading & Trade Reporting:

• BatsBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees to Make a Clarifying Change Related to the Tape B Quoting Tier (Release No. 34-79064; File No. SR-BatsBZX-2016-64; October 6, 2016); see also Exhibit 5
• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Controversial Amendments to its Rules (Release No. 34-79037; File No. SR-BOX-2016-46; October 4, 2016); see also Exhibit 5
• CHX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules to Describe Changes Necessary to Implement the Tick Size Pilot Program (Release No. 34-79027; File No. SR-CHX-2016-19; October 3, 2016); see also Exhibit 5
• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Quoting and Trading Requirements Relating to the Block Size Exception and the Use of Intermarket Sweep Orders and Trade-at Intermarket Sweep Orders (Release No. 34-79026; File No. SR-FINRA-2016-038; October 3, 2016); see also Exhibit 5
• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to adopt rules to implement the quoting and trading provisions of the Tick Size Pilot Program and to describe related changes to IEX system functionality (Release No. 34-79036; File No. SR-IEX-2016-16; October 4, 2016); see also Exhibit 5
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 503 Openings on the Exchange and Rule 603 Obligations of Market Makers (Release No. 34-79048; File No. SR-MIAX-2016-35; October 5, 2016); see also Exhibit 5
• NASDAQ: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt the Third Party Connectivity Service under Rules 7034(b) and 7051 (Release No. 34-79049; File No. SR-NASDAQ-2016-120; October 5, 2016)
• NYSE: Notice of Filing of Partial Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 2, to Amend Rule 67 Relating to the Tick Size Pilot Program (Release No. 34-79030; File No. SR-NYSE-2016-62; October 3, 2016); see also Exhibit 5
• NYSE MKT: Notice of Filing of Partial Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 2, to Amend Rule 67 - Equities Relating to the Tick Size Pilot Program (Release No. 34-79029; File No. SR-NYSEMKT-2016-83; October 3, 2016); see also Exhibit 5
• NYSE MKT: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Extend the Time Within Which a Member, Member Organization, an ATP Holder, an OTP Holder, or an OTP Firm Must File a Uniform Termination Notice for Securities Industry Registration ("Form U5") (Release No. 34-79055; File Nos. SR-NYSEMKT-2016-52, SR-NYSEArca-2016-103; October 5, 2016)
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Floor Procedure Advice F-1, Entitled "Use of Identification Letters and Numbers." (Release No. 34-79047; File No. SR-Phlx-2016-96; October 5, 2016); see also Exhibit 5