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 December 7 to December 11.

Clearance Settlement:

• ICE EU: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Gross Margining for Certain Categories of Customer Accounts (Release No. 34-76565; File No. SR-ICEEU-2015-019; December 7, 2015)

Co-Location:

• NYSE: Notice of Filing of Proposed Rule Change to Its Rules to Provide that the Co-location Services Offered By the Exchange Include Three Time Feeds and Four Bundles of Co-location Services (Release No. 34-76612; File No. SR-NYSE-2015-53; December 10, 2015); see also Exhibit 5
• NYSE Arca: Notice of Filing of Proposed Rule Change to Its Rules to Provide that The Co-location Services Offered By the Exchange Include Three Time Feeds and Four Bundles of Co-location Services (Release No. 34-76616; File No. SR-NYSEArca-2015-102); see also Exhibit 5
• NYSE MKT: Notice of Filing of Proposed Rule Change to Its Rules to Provide that The Co-location Services Offered By the Exchange Include Three Time Feeds and Four Bundles of Co-location Services (Release No. 34-76613; File No. SR-NYSEMKT-2015-89; December 10, 2015); see also Exhibit 5

Corporate Governance:

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Certificate of Incorporation of its Parent Company (Release No. 34-76589; File No. SR-CBOE-2015-110; December 8, 2015); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Listed Company Manual to Provide that Any Senior Official of a Listed Company with the Rank of Corporate Secretary or Higher Can Sign the Written Request of a Listed Company Seeking to Change Its Designated Market Maker Unit Required by Section 806.01 of the Manual (Release No. 34-76591; File No. SR-NYSE-2015-63; December 8, 2015); see also Exhibit 5

Fees, Fines, Rebates Claims:

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-76567; File No. SR-CBOE-2015-109; December 7, 2015); see also Exhibit 5
• CBOE: Notice of Withdrawal of Proposed Rule Change to Amend the Fees Schedule (Release No. 34-76575; File No. SR-CBOE-2015-101; December 7, 2015)
• EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc. (Release No. 34-76602; File No. SR-EDGA-2015-44; December 9, 2015); see also Exhibit 5
• EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc. (Release No. 34-76603; File No. SR-EDGX-2015-58; December 9, 2015); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7018 (Release No. 34-76586; File No. SR-NASDAQ-2015-147; December 8, 2015); see also Exhibit 5

Licensing Registration:

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules to Prescribe the Securities Traders Examination as the Qualifying Examination for Persons Associated with A Member Organization Engaged Solely in Proprietary Trading, and Amend Continuing Education Requirement Applicable to Such Members (Release No. 34-76587; File No. SR-NYSE-2015-64; December 8, 2015); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules to Prescribe the Securities Traders Examination as the Qualifying Examination for Employees of ETP Holders Engaged Solely in Proprietary Trading, and Amend Continuing Education Requirement Applicable to Such Members (Release No. 34-76578; File No. SR-NYSEArca-2015-117; December 8, 2015); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 2.23 to Establish the Securities Trader and Securities Trader Principal Registration Categories (Release No. 34-76577; File No. SR-NYSEArca-2015-116; December 8, 2015); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules to Establish the Securities Trader and Securities Trader Principal Registration Categories (Release No. 34-76579; File No. SR-NYSEMKT-2015-100; December 8, 2015); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules to Prescribe the Securities Traders Examination as the Qualifying Examination for Persons Associated with A Member Organization Engaged Solely in Proprietary Trading, and Amend Continuing Education Requirement Applicable to Such Members (Release No. 34-76580; File No. SR-NYSEMKT-2015-99; December 8, 2015); see also Exhibit 5

Market Data:

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Trades Market Data Product Offering (Release No. 34-76599; File No. SR-NYSE-2015-65; December 9, 2015)
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE MKT Trades Market Data Product Offering (Release No. 34-76600; File No. SR-NYSEMKT-2015-101; December 9, 2015)

Products:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 19.6, Series of Options Contracts Open for Trading (Release No. 34-76596; File No. SR-BATS-2015-111; December 9, 2015); see also Exhibit 5
• EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 19.6, Series of Options Contracts Open for Trading (Release No. 34-76597; File No. SR-EDGX-2015-60; December 9, 2015); see also Exhibit 5
• NYSE Arca: Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-76590; File No. SR-NYSEArca-2015-93; December 8, 2015)

Trading Trade Reporting:

• C2: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Price Protection Mechanisms (Release No. 34-76584; File No. SR-C2-2015-033; December 8, 2015); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6.54 (Release No. 34-76566; File No. SR-CBOE-2015-108; December 7, 2015); see also Exhibit 5
• CBOE: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Price Protection Mechanisms (Release No. 34-76585; File No. SR-CBOE-2015-107; December 8, 2015); see also Exhibit 5
• EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Rule 22.10, Limitation on Dealings, Related to the EDGX Options Market (Release No. 34-76576; File No. SR-EDGX-2015-59; December 8, 2015); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C to Define the Term Official Closing Price (Release No. 34-76598; File No. SR-NYSE-2015-62; December 9, 2015); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C Equities to Define the Term Official Closing Price (Release No. 34-76601; File No. SR-NYSEMKT-2015-98; December 9, 2015); see also Exhibit 5
• PHLX: Notice of Filing of Proposed Rule Change to Make Permanent the Pilot Program Eliminating Minimum Value Sizes For Opening Transactions in New Series of FLEX Options (Release No. 34-76593; File No. SR-Phlx-2015-94; December 8, 2015); see also Exhibit 3 , Exhibit 5