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 14 to December 18.

Clearance Settlement:

• NSCC: Order Approving Proposed Rule Change to Provide Mechanism for Sub-Account Settlement with Respect to the Alternative Investment Product Services(Release No. 34-76652; File No. SR-NSCC-2015-007; December 15, 2015)
• OCC: Notice of Filing of an Advance Notice, as Modified by Amendment Nos. 1, 2 and 3, Concerning The Options Clearing Corporations Non-Bank Liquidity Facility(Release No. 34-76641; File No. SR-OCC-2015-805; December 14, 2015)

Corporate Governance:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 13.3, Forwarding of Proxy and Other Issuer Materials; Proxy Voting (Release No. 34-76664; File No. SR-BATS-2015-110); see also Exhibit 5
• BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 13.3, Forwarding of Proxy and Other Issuer Materials; Proxy Voting (Release No. 34-76665; File No. SR-BYX-2015-48); see also Exhibit 5
• FINRA: Order Approving a Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc. (Release No. 34-76670; File No. SR-FINRA-2015-034; December 16, 2015)
• MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Forms G-37, G-37x and G-38t to Change the MSRBs Address on the Forms(Release No. 34-76653; File No. SR-MSRB-2015-13; December 15, 2015); see also Exhibit 3
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchanges Certificate of Incorporation and By-Laws (Release No. 34-76656; File No. SR-BX-2015-080; December 15, 2015)
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add to the Rules of the Exchange the Ninth Amended and Restated Operating Agreement of New York Stock Exchange LLC (Release No. 34-76637; File No. SR-NYSEMKT-2015-102); see also Exhibit 5
• NYSEMKT: Notice of Filing of Proposed Rule Change Amending the Seventh Amended and Restated Operating Agreement of the Exchange to Establish a Committee for Review as a Sub-Committee of the ROC and Make Conforming Changes to Rules and the NYSE MKT Company Guide (Release No. 34-76638; File No. SR-NYSEMKT-2015-106); see also Exhibit 5
• OCC: Notice of Filing of a Proposed Rule Change Concerning the Adoption of a Charter of a New Committee of The Options Clearing Corporations Board of Directors, the Technology Committee (Release No. 34-76686; File No. SR-OCC-2015-018); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchanges Certificate of Formation, By-Laws and First Amended Limited Liability Company Agreement (Release No. 34-76654; File No. SR-Phlx-2015-105; December 15, 2015)

Fees, Fines, Rebates Claims:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to ALLB Routing and Other Fees for Use of BATS Exchange, Inc. (Release No. 34-76688; File No. SR-BATS-2015-114); see also Exhibit 5
• BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to ALLB Routing and Other Fees for Use of BATS Y-Exchange, Inc. (Release No. 34-76689; File No. SR-BYX-2015-50); see also Exhibit 5
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-76674; File No. SR-MIAX-2015-70; December 17, 2015); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Options Market Fees and Rebates (Release No. 34-76647; File No. SR-NASDAQ-2015-148); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Options Market Fees and Rebates (Release No. 34-76651; File No. SR-NASDAQ-2015-149); see also Exhibit 5
• NASDAQ OMX BX: Notice of Withdrawal of Proposed Rule Change to Amend the Fees Schedule (Release No. 34-76658; File No. SR-BX-2015-071; December 15, 2015)
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Rebates and Tiers Related to BX Options (Release No. 34-76692; File No. SR-BX-2015-081); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule (Release No. 34-76627; File No. SR-NYSEArca-2015-118; December 11, 2015); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services (Release No. 34-76629; File No. SR-NYSEArca-2015-120; December 11, 2015); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchanges Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share(Release No. 34-76631; File No. SR-Phlx-2015-98; December 11, 2015); see also Exhibit 5

Licensing Registration:

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NASD Rules 1022 (Categories of Principal Registration) and 1032(Categories of Representative Registration) (Release No. 34-76650; File No. SR-FINRA-2015-052; December 15, 2015); see also Exhibit 5
• FINRA: Notice of Filing of a Proposed Rule Change to Adopt the Capital Acquisition Broker Rules (Release No. 34-76675; File No. SR-FINRA-2015-054; December 17, 2015); see also Exhibit 2a; Exhibit 2b; Exhibit 2c; and Exhibit 5
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories and to Establish the Series 57 Examination as the Appropriate Qualification Examination for Securities Traders (Release No. 34-76691; File No. SR-MIAX-2015-71); see also Exhibit 5
• NFA: Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for SFPs (Release No. 34-76644; File No. SR-NFA-2015-01; December 15, 2015)
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Sections (e) through (h) of Exchange Rule 020, Registration and Functions of Options Specialists (Release No. 34-76687; File No. SR-Phlx-2015-85); see also Exhibit 5

Products:

• CBOE: Order Granting Approval of a Proposed Rule Change, as modified by Amendment No. 1, to List and Trade Options that Overlie a Reduced Value of the FTSE 100 Index (Release No. 34-76626; File No. SR-CBOE-2015-100; December 11, 2015)
• CBOE: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to List and Trade Options that Overlie a Reduced Value of the FTSE China 50 Index (Release No. 34-76676; File No. SR-CBOE-2015-099; December 17, 2015)
• NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Global Currency Gold Fund under NYSE Arca Equities Rule 8.201 (Release No. 34-76630; File No. SR-NYSEArca-2015-76; December 11, 2015)
• NYSE Arca: Order Approving a Proposed Rule Change Regarding a Change to the Underlying Index of the Market Vectors Short High Yield Municipal Index ETF(Release No. 34-76645; File No. SR-NYSEArca-2015-74)
• NYSE Arca: Notice of Filing of Proposed Rule Change Relating to the Index Underlying the WisdomTree Put Write Strategy Fund (Release No. 34-76646; File No. SR-NYSEArca-2015-113)

Trading Trade Reporting:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.13(b)(4)(A) and 21.9(a)(3)(A), Amending Aggressive Re-Route Instruction (Release No. 34-76623; File No. SR-BATS-2015-112; December 11, 2015); see also Exhibit 5
• BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13(b)(4)(A), Amending Aggressive Re-Route Instruction (Release No. 34-76625; File No. SR-BYX-2015-49; December 11, 2015); see also Exhibit 5
• C2: Order Granting Approval of a Proposed Rule Change Relating to Complex Orders as Modified by Amendment No. (Release No. 34-76621; File No. SR-C2-2015-025; December 11, 2015)
• CBOE: Order Granting Approval of a Proposed Rule Change Relating to Complex Orders as Modified by Amendment No. 1 (Release No. 34-76622; File No. SR-CBOE-2015-089; December 11, 2015)
• CBOE: Order Granting Accelerated Approval of a Proposed Rule Change to Trade Expiring MSCI EAFE Index Options Until 3:00 p.m (Release No. 34-76632; File No. SR-CBOE-2015-104; December 11, 2015)
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Technical Disconnect Mechanism (Release No. 34-76672; File No. SR-CBOE-2015-113; December 17, 2015)
• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide FINRA with Authority to Grant Exemptions from TRACE Reporting Requirements for Certain ATS Transactions (Release No. 34-76677; File No. SR-FINRA-2015-055; December 17, 2015); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Exposure (Release No. 34-76663; File No. SR-BX-2015-078; December 16, 2015); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 13 to Eliminate Good til Cancelled (GTC) Orders and Stop Orders, and Make Conforming Changes to Rules 49, 61, 70, 104, 109, 115A, 116, 118, 123, 123A, 123C, 123D, 1000, 1004 and 6140 (Release No. 34-76649; File No. SR-NYSE-2015-60; December 15, 2015); see also Exhibit 5
• NYSE: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting Rule 410B Governing Reporting Requirements for Off-Exchange Transactions (Release No. 34-76666; File No. SR-NYSE-2015-48)
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program that Allows Transactions to Take Place at a Price that is Below $1 Per Option Contract Until January 5, 2017 (Release No. 34-76667; File No. SR-NYSEArca-2015-122; December 16, 2015); see also Exhibit 5
• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt a New Policy Relating to Trade Reports for Exchange Traded Products (Release No. 34-76673; File No. SR-NYSEArca-2015-104; December 17, 2015)
• NYSE Arca: Notice of Filing of Proposed Rule Change to Amend Rule 1.1(s) to Provide for Price Collar Thresholds for Trading Halt Auctions (Release No. 34-76690; File No. SR-NYSEArca-2015-121); see also Exhibit 5
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Equities to Eliminate Good Til Cancelled Orders and Stop Orders, and Make Conforming Changes to Equities Rules 49, 61, 70, 104, 115A, 116 , 18, 123, 123A, 123C, 123D, 501, 1000, 1004, and 6140 (Release No. 34-76655; File No. SR-NYSEMKT-2015-103; December 15, 2015); see also Exhibit 5
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program that Allows Transactions to Take Place at a Price that is Below $1 Per Option Contract Until January 5, 2017 (Release No. 34-76668; File No. SR-NYSEMKT-2015-104; December 16, 2015); see also Exhibit 5
• NYSEMKT: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting Rule 410B Equities Governing Reporting Requirements for Off-Exchange Transactions (Release No. 34-76669; File No. SR-NYSEMKT-2015-80; December 16, 2015)
• Phlx: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend and Correct Rule 1080.07 (Release No. 34-76648; File No. SR-Phlx-2015-49; December 15, 2015)
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Rule 108 (Release No. 34-76657; File No. SR-Phlx-2015-104; December 15, 2015)
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Cabinet Trading Pilot Program (Release No. 34-76671; File No. SR-Phlx-2015-103; December 16, 2015)