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 November 20 to November 22, 2017.

Corporate Governance

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Investigatory and Disciplinary Processes Substantially Similar to Nasdaq BX, Inc. and The Nasdaq Stock Market LLC (Release No. 34-82143; File No. SR-Phlx-2017-92); see also Exhibit 5

• C2: Notice of Filing of a Proposed Rule Change Relating to its Nominating and Governance Committee and Regulatory Oversight and Compliance Committee (Release No. 34-82120; File No. SR-C2-2017-030; November 20, 2017); see also Exhibit 5A, Exhibit 5B

• CBOE: Notice of Filing of a Proposed Rule Change Relating to its Nominating and Governance Committee and Regulatory Oversight and Compliance Committee (Release No. 34-82119; File No. SR-CBOE-2017-072; November 20, 2017); Exhibit 5A, Exhibit 5B, Exhibit 5C

• Cboe BYX: Notice of Filing of a Proposed Rule Change Relating to its Director Nomination and Committee Appointment Process and its Nominating and Governance Committee (Release No. 34-82122; File No. SR-CboeBYX-2017-001; November 20, 2017); see also Exhibit 5A, Exhibit 5B

• Cboe BZX: Notice of Filing of a Proposed Rule Change Relating to its Director Nomination and Committee Appointment Process and its Nominating and Governance Committee (Release No. 34-82123; File No. SR-CboeBZX-2017-001; November 20, 2017); Exhibit 5A, Exhibit 5B

• Cboe EDGA: Notice of Filing of a Proposed Rule Change Relating to its Director Nomination and Committee Appointment Process and its Nominating and Governance Committee (Release No. 34-82125; File No. SR-CboeEDGA-2017-001; November 20, 2017); see also Exhibit 5A, Exhibit 5B

• Cboe EDGX: Notice of Filing of a Proposed Rule Change Relating to its Director Nomination and Committee Appointment Process and its Nominating and Governance Committee (Release No. 34-82126; File No. SR-CboeEDGX-2017-001; November 20, 2017); see also Exhibit 5A, Exhibit 5B

Fees, Fines, Rebates and Claims

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees for Regular Orders in Select Symbols (Release No. 34-82141; File No. SR-ISE-2017-98); see also Exhibit 5

Market Data and Reporting

• Bats BZX, Bats EDGX, BOX, C2, CBOE, FINRA, ISE, IEX, MIAX, PEARL, NASDAQ, BX, Phlx, NYSE, NYSE Arca, NYSEMKT: Notice of Designation of Longer Period for Commission Action on 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. 34-82135; 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; November 21, 2017)

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Order Feed ("MOR") (Release No. 34-82137; File No. SR-MIAX-2017-46; November 21, 2017)

Products and Listings

• NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify the Listing Requirements Related to Special Purpose Acquisition Companies to Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing from 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline to Demonstrate Compliance with Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination (Release No. 34-82142; File No. SR-NASDAQ-2017-087)

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5.1-E(c) Regarding the Requirements for the Listing of Securities that are Issued by the Exchange or Any of Its Affiliates (Release No. 34-82149; File No. SR-NYSEArca-2017-132); see also Exhibit 5

• NYSE Arca: Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to List and Trade Shares of the U.S. Equity Cumulative Dividends Fund – Series 2027 and the U.S. Equity Ex-Dividend Fund – Series 2027 under NYSE Arca Rule 8.200-E, Commentary .02 (Release No. 34-82138; File No. SR-NYSEArca-2017-88; November 21, 2017)

• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 497 – Equities (c) Regarding the Requirements for the Listing of Securities that are Issued by the Exchange or Any of Its Affiliates (Release No. 34-82148; File No. SR-NYSEAMER-2017-32); see also Exhibit 5

• Phlx: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rule 1009 to Modify the Criteria for Listing an Option on an Underlying Covered Security (Release No. 34-82147; File No. SR-Phlx-2017-75)

Trading and Trade Reporting

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.35-E Relating to Auction Collars and to Add Temporary Rules (Release No. 34-82140; File No. SR-NYSEArca-2017-133; November 21, 2017); see also Exhibit 5

• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.35E Relating to Auction Collars and to Add Temporary Rules (Release No. 34-82139; File No. SR-NYSEAMER-2017-33; November 21, 2017); see also Exhibit 5

• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Directed Order Functionality (Release No. 34-82131; File No. SR-GEMX-2017-52; November 20, 2017); see also Exhibit 5

• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to All-Or-None Orders (Release No. 34-82128; File No. SR-GEMX-2017-51; November 20, 2017); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Directed Order Functionality (Release No. 34-82132; File No. SR-ISE-2017-100; November 20, 2017); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to All-Or-None Orders (Release No. 34-82130; File No. SR-ISE-2017-99; November 20, 2017); see also Exhibit 5

• MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Directed Order Functionality (Release No. 34-82134; File No. SR-MRX-2017-25); see also Exhibit 5

• MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to All-Or-None Orders (Release No. 34-82129; File No. SR-MRX-2017-24; November 20, 2017); Exhibit 5