Weekly Roundup of Exchange Rules

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 September 28 to October 4.

Clearance Settlement:

• ICE EU: Order Approving Proposed Rule Change Relating to CDS End-of-Day Price Discovery Policy (Release No. 34-75983; File No. SR-ICEEU-2015-013; September 25, 2015)
• ICE EU: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearance of New Natural Gas Futures Contracts (Release No. 34-76069; File No. SR-ICEEU-2015-016; October 2, 2015)
• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Submission of Clearing-Only, Non-Regulatory Reports to the FINRA Equity Trade Reporting Facilities (Release No. 34-76061; File No. SR-FINRA-2015-035; September 30, 2015); see also Exhibit 5

Corporate Governance:

• BATS: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Rule 2.13, Fidelity Bonds (Release No. 34-76054; File No. SR-BATS-2015-78); see also Exhibit 5
• BYX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Rule 2.13, Fidelity Bonds (Release No. 34-76053; File No. SR-BYX-2015-42)
• NYSE: Order Approving Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange to Establish a Regulatory Oversight Committee as a Committee of the Board of Directors of the Exchange and Amending Other Rules of the Exchange (Release No. 34-75991; File No. SR-NYSE-2015-27; September 28, 2015)
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding to The Rules of the Exchange the Third Amended and Restated Certificate of Incorporation of NYSE Market, Inc., and the Eighth Amended and Restated Operating Agreement of New York Stock Exchange LLC (Release No. 34-75984; File No. SR-NYSEMKT-2015-71; September 25, 2015); see also Exhibit 5A,Exhibit 5B

Fees, Fines, Rebates Claims:

• FINRA: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 0150 to Apply FINRA Rule 2121 and its Supplementary Material .01 and .02 to Transactions in Exempted Securities That Are Government Securities (Release No. 34-76059; File No. SR-FINRA-2015-033; September 30, 2015); see alsoExhibit 2
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Options Fee Schedule (Release No. 34-75986; File No. SR-MIAX-2015-55; September 25, 2015); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Definitions Applicable to Certain Co-location Services to the Exchanges Price List and Modifying the Fee for Users that Host Their Customers at the Exchanges Data Center (Release No. 34-76008; File No. SR-NYSE-2015-40; September 29, 2015); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Definitions Applicable to Co-location Services to the NYSE Arca Options Fee Schedule and, the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and Modifying the Fee for Users that Host Their Customers at the Exchanges Data Center (Release No. 34-76010; File No. SR-NYSEArca-2015-82; September 29, 2015); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Definitions Applicable to Certain Co-location Services and Modifying the Fee for Users that Host Their Customers at the Exchanges Data Center (Release No. 34-76009; File No. SR-NYSEMKT-2015-67; September 29, 2015); see also Exhibit 5

Miscellaneous:

• 17d-2: Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between BATS Exchange, Inc., BATS Y-Exchange, Inc., BOX Options Exchange LLC, Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. (Release No. 34-76056; File No. 4-618; September 30, 2015)
• FINRA: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Reduce the Waiting Period for the Release of Information Reported on Form U5 (Release No. 34-75988; File No. SR-FINRA-2015-032; September 25, 2015); see also Exhibit 5

Products:

• BATS: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as modified by Amendments Nos. 1 and 2, to List and Trade Shares of the ProShares Managed Futures Strategy ETF of the ProShares Trust under BATS Rule 14.11 on BATS Exchange, Inc. (Release No. 34-76019; File No. SR-BATS-2015-56; September 29, 2015)
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying Certain Proprietary Options Data Products (Release No. 34-76023; File No. SR-NYSEArca-2015-83; September 29, 2015); see also Exhibit 5
• NYSE Arca: SEC Submission of NYSE Arca First Trust Heitman Real Estate Amendment No 1 (September 25, 2015)
• NYSE Arca: SEC Submission of NYSE Arca First Trust Heitman Real Estate Amendment No 1 Filing (September 25, 2015)
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying Certain Proprietary Options Data Products (Release No. 34-76022; File No. SR-NYSEMKT-2015-68; September 29, 2015); see also Exhibit 5

Trading Trade Reporting:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Restructure and Amend Rule 11.17, Clearly Erroneous Executions (Release No. 34-76015; File No. SR-BATS-2015-76; September 29, 2015)
• BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Restructure and Amend Rule 11.17, Clearly Erroneous Executions (Release No. 34-76016; File No. SR-BYX-2015-40; September 29, 2015)
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Bandwidth (Release No. 34-76024; File No. SR-CBOE-2015-080; September 29, 2015); see also Exhibit 5
• CBOE: Notice of Filing of a Proposed Rule Change Relating to Margin Requirements (Release No. 34-76068; File No. SR-CBOE-2015-077; October 2, 2015)
• EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.15, Clearly Erroneous Executions (Release No. 34-76017; File No. SR-EDGA-2015-37; September 29, 2015); see also Exhibit 5
• EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.15, Clearly Erroneous Executions (Release No. 34-76018; File No. SR-EDGX-2015-42; September 29, 2015)
• NASDAQ: Notice of Filing of Proposed Rule Change to Amend Rule 4758 (Release No. 34-75987; File No. SR-NASDAQ-2015-112; September 25, 2015); see alsoExhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchanges Retail Liquidity Program until March 31, 2016 (Release No. 34-75993; File No. SR-NYSE-2015-41; September 28, 2015); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchanges Retail Liquidity Program until March 31, 2016 (Release No. 34-75994; File No. SR-NYSEArca-2015-84; September 28, 2015); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchanges Retail Liquidity Program until March 31, 2016 (Release No. 34-75995; File No. SR-NYSEMKT-2015-69; September 28, 2015); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Several Rules to Address Certain Order Handling Obligations on the Part of Its Floor Brokers (Release No. 34-76064; File No. SR-NYSEMKT-2015-66; October 1, 2015); see also Exhibit 5