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 October 9 to October 13, 2017.

Corporate Governance

• Bats BYX, Bats BZX, Bats EDGA, Bats EDGX: Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, to Harmonize the Corporate Governance Framework of each Exchange with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated (Release No. 34-81849; File Nos. SR-BatsBYX-2017-19, SR-BatsBZX-2017-55, SR-BatsEDGA-2017-22, SR-BatsEDGX-2017-35)

Fees, Fines, Rebates, and Claims

• DTC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Distributions Guide Relating to Announcements and Tax Treatment of Certain Corporate Action Events and to Amend the DTC Fee Schedule (Release No. 34-81871; File No. SR-DTC-2017-018); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7030 that Apply to Use of the Nasdaq Testing Facility (Release No. 34-81870; File No. SR-NASDAQ-2017-105; October 12, 2017); see also Exhibit 5

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform (Release No. 34-81866; File No. SR-BatsBZX-2017-65); see also Exhibit 5

• DTC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate a Surcharge for Eligibility Requests Submitted to DTC Two Days Prior to Closing Date (Release No. 34-81854; File No. SR-DTC-2017-019; October 11, 2017); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Decrease the Qualification Criteria of a Credit Tier and Make Related Changes (Release No. 34-81860; File No. SR-Phlx-2017-78); see also Exhibit 5

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Adopt a Strategy QOO Order Fee Cap (Release No. 34-81852; File No. SR-BOX-2017-32); see also Exhibit 5

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Update Certain Fees Assessed Under Section VI.A (Connectivity Fees) (Release No. 34-81850; File No. SR-BOX-2017-31); see also Exhibit 5

• MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Amend the Annual Municipal Advisor Professional Fee (Release No. 34-81841; File No. SR-MSRB-2017-07); see also Exhibit 5

• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule (Release No. 34-81844; File No. SR-PEARL-2017-34); see also Exhibit 5

Products and Listings

• NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade Shares of the JPMorgan Equity Long/Short ETF under NYSE Arca Rule 8.600-E (Release No. 34-81842; File No. SR-NYSEArca-2017-87)

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade the Shares of the U.S. Equity Cumulative Dividends Fund – Series 2027 and the U.S. Equity Ex-Dividend Fund – Series 2027 under NYSE Arca Equities Rule 8.200, Commentary .02 (Release No. 34-81848; File No. SR-NYSEArca-2017-88)

• NYSE: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Listed Company Manual to Adopt Initial and Continued Listing Standards for Subscription Receipts (Release No. 34-81856; File No. SR-NYSE-2017-31; October 11, 2017)

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Interpretation with Respect to the Meaning, Administration, or Enforcement of Rule 14.11, Other Securities, and Rule 14.12, Failure to Meet Listing Standards (Release No. 34-81864; File No. SR-BatsBZX-2017-61)

• IEX: Order Approving Proposed Rule Change to Adopt Rule 14.602 to Describe the Complimentary Products and Services to Be Made Available to All Listed Companies (Release No. 34-81872; File No. SR-IEX-2017-20)

Trading and Trade Reporting

• CBOE: Notice of Designation of Longer Period for Commission Action on 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. 34-81853; File No. SR-CBOE-2017-057)

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 723 and Rule 1614 (Release No. 34-81863; File No. SR-ISE-2017-86); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Postpone Implementation of a New Attribute for Designated Retail Orders (Release No. 34-81855; File No. SR-NASDAQ-2017-103; October 11, 2017)

• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Certain Rules to Add New Optional Functionality to Orders with a Minimum Quantity Instruction (Release No. 34-81859; File No. SR-BatsEDGA-2017-26); see also Exhibit 5

• CBOE: Notice of Filing of a Proposed Rule Change Relating to the Creation of an Electronic-Only Order Type (Release No. 34-81862; File No. SR-CBOE-2017-064); see also Exhibit 5