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 November 21 – November 25.

Clearing and Settlement

• ICE EU: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Finance Procedures (Release No. 34-79375; File No. SR-ICEEU-2016-013; November 22, 2016); see also Exhibit 5
• NSCC-OCC: Notice of Filing of Advance Notice to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of Off-the-Market Transactions, and Make Other Changes (Release No. 34-79391; File No. SR-NSCC-2016-803; November 23, 2016); see also Exhibit 5

Fees, Fines, Rebates & Claims

• NYSE: Order Scheduling Filing of Statements on Review: 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. 34-79370; File No. SR-NYSE-2016-55; November 21, 2016)

Trading & Trade Reporting

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide a Process for an Expedited Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity (Release No. 34-79361; File No. SR-FINRA-2016-043; November 21, 2016); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 Relating to Pre-Opening Indications (Release No. 34-79390; File No. SR-NYSE-2016-78; November 23, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rules 7.1 and 7.2, and NYSE Arca Equities Rules 7.1 and 7.2 (Release No. 34-79363; File No. SR-NYSEArca-2016-148; November 21, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.31 (Release No. 34-79392; File No. SR-NYSEArca-2016-151; November 23, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.16 (Release No. 34-79387; File No. SR-NYSEArca-2016-150; November 23, 2016); see also Exhibit 5
• NYSE Arca: Order Granting Approval of Proposed Rule Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Regarding Use of Rule 144A Securities By the Fidelity Corporate Bond ETF, Fidelity Investment Grade Bond ETF, Fidelity Limited Term Bond ETF, and Fidelity Total Bond ETF (Release No. 34-79384; File No. SR-NYSEArca-2016-70; November 23, 2016)
• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSE Arca Equities Rule 7.35P to Provide for Widened Price Collar Thresholds for the Core Open Auction on Volatile Trading Days (Release No. 34-79388; File No. SR-NYSEArca-2016-136; November 23, 2016)
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 901NY (Release No. 34-79374; File No. SR-NYSEMKT-2016-106; November 22, 2016); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 Equities Relating to Pre-Opening Indications (Release No. 34-79389; File No. SR-NYSEMKT-2016-107; November 23, 2016); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Allocation of Directed Complex Orders (Release No. 34-79373; File No. SR-Phlx-2016-116; November 22, 2016); see also Exhibit 5

Market Data

• NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Change, as Modified by Amendment No. 1, Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees (Release No. 34-79379; File No. SR-NYSEArca-2016-89; November 22, 2016)
• NYSE MKT: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Change, as Modified by Amendment No. 1, Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees (Release No. 34-79378; File No. SR-NYSEMKT-2016-63; November 22, 2016)

Products

• Bats BZX: Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2 Thereto, to List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust Pursuant to BZX Rule 14.11(c)(4) (Release No. 34-79381; File No. SR-BatsBZX-2016-48; November 22, 2016)
• NASDAQ: Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Certain Exchange-Traded Managed Funds (Release No. 34-79377; File No. SR-NASDAQ-2016-134; November 22, 2016)
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.1(c) Regarding the Requirements for the Listing of Securities that are Issued by the Exchange or Any of Its Affiliates (Release No. 34-79376; File No. SR-NYSEArca-2016-147; November 22, 2016); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual (Release No. 34-79383; File No. SR-NYSE-2016-77; November 23, 2016); see also Exhibit 5

Proxies

• NASDAQ: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1, Amending Bylaws of Nasdaq, Inc. to Implement Proxy Access (Release No. 34-79357; File Nos. SR-NASDAQ-2016-127, SR-BX-2016-051, SR-ISE-2016-22, SR-ISEGemini-2016-10, SR-ISEMercury-2016-16, SR-Phlx-2016-93, SR-BSECC-2016-001, SR-SCCP-2016-01; November 18, 2016)

Miscellaneous

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Ministerial and Corrective Changes to Rules 1.9, 11.13, 11.16, 11.22, and 11.27 (Release No. 34-79386; File No. SR-BatsBYX-2016-35; November 23, 2016); see also Exhibit 5
• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Ministerial and Corrective Changes to Exchange Rules 11.13, 11.16, 11.22, and 11.27 (Release No. 34-79385; File No. SR-BatsBZX-2016-77; November 23, 2016); see also Exhibit 5
• NASDAQ: Order Granting Approval of Proposed Rule Change to Modify Rule IM-5900-7 to Adjust the Entitlement to Services of Acquisition Companies (Release No. 34-79366; File No. SR-NASDAQ-2016-106; November 21, 2016)