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 28 – December 1.

Clearance & Settlement

• ICC: Notice of Filing of Proposed Rule Change to Provide for the Clearance of Additional Credit Default Swap Contracts (Release No. 34-79439; File No. SR-ICC-2016-014; December 1, 2016)

Trading & Trade Reporting

• BOX: Notice of Filing of Proposed Rule Change to Adopt Rules for an Open-Outcry Trading Floor (Release No. 34-79421; File No. SR-BOX-2016-48; November 29, 2016); see also Exhibit 5
• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Rule 7260 by extending the Penny Pilot Program through June 30, 2017 (Release No. 34-79429; File No. SR-BOX-2016-55; November 30, 2016)
• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program (Release No. 34-79441; File No. SR-C2-2016-023; December 1, 2016)
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program (Release No. 34-79442; File No. SR-CBOE-2016-083; December 1, 2016)
• CBOE: Notice of Filing of a Proposed Rule Change to Amend Rule 6.53C (Release No. 34-79406; File No. SR-CBOE-2016-080; November 28, 2016)
• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-79424; File No. SR-FINRA-2016-042; November 29, 2016); see also Exhibit 5
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 510 to Extend the Penny Pilot Program (Release No. 34-79432; File No. SR-MIAX-2016-45); see also Exhibit 5
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 518, Complex Orders (Release No. 34-79405; File No. SR-MIAX-2016-44; November 28, 2016); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .14 to Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) (Release No. 34-79408; File No. SR-NASDAQ-2016-159; November 28, 2016)
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5 to Extend the Penny Pilot Program (Release No. 34-79433; File No. SR-NASDAQ-2016-160; November 30, 2016)
• NASDAQ: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Rules 7034 and 7051 to Establish the Third Party Connectivity Service (Release No. 34-79431; File No. SR-NASDAQ-2016-120; November 30, 2016); see also Exhibit 5
• NASDAQ: Notice of Filing of Proposed Rule Change to Adopt a New Extended Life Priority Order Attribute under Rule 4703, and to Make Related Changes to Rules 4702, 4752, 4753, 4754, and 4757 (Release No. 34-79428; File No. SR-NASDAQ-2016-161; November 30, 2016); see also Exhibit 3, Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5 to Extend the Penny Pilot Program (Release No. 34-79420; File No. SR-BX-2016-062; November 29, 2016)
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .14 to Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) (Release No. 34-79409; File No. SR-BX-2016-061; November 28, 2016)
• NASDAQ OMX BX: Order Granting an Extension to Limited Exemption from Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Price Improvement Program Until December 1, 2017 (Release No. 34-79448; File No. SR-BX-2014-048; December 1, 2016)
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Retail Price Improvement Program Until December 1, 2017 (Release No. 34-79446; File No. SR-BX-2016-065; December 1, 2016); see also Exhibit 5
• NMS: Notice of Filing of the Twelfth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. (Release No. 34-79410; File No. 4-631; November 28, 2016)
• NYSE Arca: Notice of Filing of a Proposed Rule Change Amending Rule 6.91NY (Release No. 34-79404; File No. SR-NYSEArca-2016-149; November 28, 2016); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .14 to Rule 3317 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) (Release No. 34-79407; File No. SR-Phlx-2016-114; November 28, 2016)
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program (Release No. 34-79425; File No. SR-Phlx-2016-115; November 29, 2016)

Products

• Bats BZX: Notice of Filing of Proposed Rule Changes to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure to Meet Listing Standards (Release No. 34-79450; File No. SR-BatsBZX-2016-80; December 1, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposal to Change Representation Regarding Investments by PowerShares DB Trust Issued Receipts Listed under Commentary .02 to NYSE Arca Equities Rule 8.200 (Release No. 34-79445; File No. SR-NYSEArca-2016-152; December 1, 2016)

Business Continuity

• CBOE: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Disaster Recovery (Release No. 34-79423; File No. SR-CBOE-2016-078; November 29, 2016); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing Business Continuity and Disaster Recovery (Release No. 34-79444; File No. SR-NYSE-2016-81; December 1, 2016); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing Business Continuity and Disaster Recovery Planning (Release No. 34-79443; File No. SR-NYSEMKT-2016-109; December 1, 2016); see also Exhibit 5

Licensing & Registration

• NMS: Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add Investors Exchange, LLC as a Party Thereto (Release No. 34-79422; File No. 4-533; November 29, 2016)

Miscellaneous

• OCC: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Related to Compliance with Section 871(m) of the Internal Revenue Code (Release No. 34-79435; File No. SR-OCC-2016-014; November 30, 2016)
• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Substantive Changes to the Fee Schedule (Release No. 34-79430; File No. SR-BatsBYX-2016-36; November 30, 2016); See also Exhibit 5
• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Substantive Changes to the Fee Schedule (Release No. 34-79437; File No. SR-BatsBZX-2016-78; December 1, 2016); see also Exhibit 5
• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make a Ministerial Change to Exchange Rules 1.10, 11.14, and 11.21 (Release No. 34-79412; File No. SR-Bats EDGA-2016-28; November 28, 2016); see also Exhibit 5
• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Substantive Changes to the Fee Schedule (Release No. 34-79436; File No. SR-BatsEDGA-2016-29; December 1, 2016); see also Exhibit 5
• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Substantive Changes to the Fee Schedule (Release No. 34-79411; File No. SR-BatsEDGX-2016-66; November 28, 2016); see also Exhibit 5
• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Substantive Changes to the Equity Options Fee Schedule (Release No. 34-79438; File No. SR-BatsEDGX-2016-67; December 1, 2016); see also Exhibit 5
• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make a Ministerial Change to Exchange Rules 11.8, 11.14, and 11.22 (Release No. 34-79403; File No. SR-BatsEDGX-2016-65; November 28, 2016)
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Titles of Equities Rule 7015 and Options Chapter XV, Section 3, and to Make Related Changes (Release No. 34-79447; File No. SR-NASDAQ-2016-163; December 1, 2016); see also Exhibit 5