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's notices of exchange rule changes and proposals from November 9 to November 13.

Fees, Fines, Rebates Claims:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees (Release No. 34-76419; File No. SR-BATS-2015-99; November 10, 2015); see also Exhibit 5

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for BZX Options (Release No. 34-76411; File No. SR-BATS-2015-98; November 10, 2015); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Chapter XV, Entitled Options Pricing, at Section 2 Governing Pricing for NASDAQ Members (Release No. 34-76386; File No. SR-NASDAQ-2015-128; November 6, 2015); see also Exhibit 5

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Modify Certain Fees for Transactions that Remove Liquidity from the Exchange (Release No. 34-76400; File No. SR-NYSE-2015-56; November 9, 2015); see also Exhibit 5

Licensing Registration:

• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Qualification and Registration of Permit Holders (Release No. 34-76408; File No. SR-C2-2015-027; November 10, 2015); see also Exhibit 5

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish An Examination Fee for the Securities Trader Qualification Examination (Series 57) (Release No. 34-76391; File No. SR-FINRA-2015-044; November 9, 2015)

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories and to Retire Other Registration Categories (Release No. 34-76410; File No. SR-NASDAQ-2015-138; November 10, 2015); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories (Release No. 34-76409; File No. SR-BX-2015-066; November 10, 2015); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories and to Retire Other Registration Categories (Release No. 34-76414; File No. SR-Phlx-2015-92; November 10, 2015); see also Exhibit 5

Market Data:

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7640A (Data Products Offered By Nasdaq) (Release No. 34-76385; File No. SR-FINRA-2015-045; November 6, 2015)

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Discontinue the NYSE Realtime Reference Price Market Data Product Offering (Release No. 34-76406; File No. SR-NYSE-2015-55; November 10, 2015); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Certain Representations Relating to the NYSE Best Quote Trades Data Feed (Release No. 34-76402; File No. SR-NYSEArca-2015-103; November 10, 2015)

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus (Release No. 34-76403; File No. SR-Phlx-2015-87; November 10, 2015); see also Exhibit 5

Products:

• BATS: Notice of Filing of Amendments Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change to List and Trade Shares of the ProShares Managed Futures Strategy ETF of the ProShares Trust Under BATS Rule 14.11 on BATS Exchange, Inc. (Release No. 34-76394; File No. SR-BATS-2015-56; November 9, 2015)

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of Shares of the RiverFront Strategic Income Fund under NYSE Arca Equities Rule 8.600 (Release No. 34-76412; File No. SR-NYSEArca-2015-111; November 10, 2015)

Trading Trade Reporting:

• BATS: Notice of Withdrawal of a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Adopt New Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing on BATS Exchange, Inc. (Release No. 34-76393; File No. SR-BATS-2015-57; November 9, 2015)

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX Rule 521 (Release No. 34-76392; File No. SR-MIAX-2015-62; November 9, 2015); see also Exhibit 5

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Exchange Rule 610, Limitations on Dealings (Release No. 34-76405; File No. SR-MIAX-2015-63; November 10, 2015); see also Exhibit 5

• NSX: Notice of Filing of Proposed Rule Change Amending Rule 11.1, Hours of Trading, To Rescind Interpretations and Policies .01, Cessation of Trading Operations on NSX; Adopting Rule 11.25 Relating to Use of Market Data Feeds; Amending NSX Rule 11.13 Relating to the Order Delivery Mode of Order Interaction; Amending NSX Rule 11.11 to Remove Certain Order Types and Correct Technical Deficiencies in the Numbering of Certain Sections of the Rule; and Amending Rule 11.12, Cross Message and Making Conforming Amendments to NSX Rules 11.11(c) and 16.2 (Release No. 34-76390; File No. SR-NSX-2015-05; November 9, 2015); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Principles-Based Approach to Prohibit the Misuse of Material Nonpublic Information by Lead Market Makers ( LMMs ) by Deleting Rule 6.83 (Release No. 34-76395; File No. SR-NYSEArca-2015-106; November 9, 2015); see also Exhibit 5