Weekly Roundup of Exchange Rule Changes 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 August 31 to September 4.

Clearance Settlement:

• CME: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the Minimum IRS Guaranty Fund Contribution of IRS Clearing Members (Release No. 34-75781; File No. SR-CME-2015-016; August 28, 2015)
• ICC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Provide for the Clearance of Additional Western European Sovereign Single Names (Release No. 34-75836; File No. SR-ICC-2015-013; September 3, 2015)
• NSCC: Notice of Filing of Proposed Rule Change to Enhance NSCC's Margining Methodology as Applied to Family-Issued Securities of Certain NSCC Members (Release No. 34-75768; File No. SR-NSCC-2015-003; August 27, 2015); see also Exhibit 5
• OCC: Notice of Filing of a Proposed Rule Change to Amend The Options Clearing Corporations Schedule of Fees to Allow a Clearing Fee Waiver for Exchange New Products (Release No. 34-75825; File No. SR-OCC-2015-014; September 3, 2015)

Corporate Governance:

• BOX: Order Granting Approval of a Proposed Rule Change to Implement the Governance Provisions of an Equity Rights Program (Release No. 34-75766; File No. SR-BOX-2015-22; August 27, 2015)

Fees, Fines, Rebates Claims:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for a Market Data Product Known as BZX Book Viewer (Release No. 34-75785; File No. SR-BATS-2015-64; August 28, 2015); see also Exhibit 5
• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC Options Facility (Release No. 34-75828; File No. SR-BOX-2015-30; September 3, 2015); see also Exhibit 5
• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC Options Facility (Release No. 34-75826; File No. SR-BOX-2015-29; September 3, 2015); see also Exhibit 5
• BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees a Market Data Product Known as BYX Book Viewer (Release No. 34-75786; File No. SR-BYX-2015-36; August 28, 2015); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-75767; File No. SR-CBOE-2015-074; August 27, 2015); see also Exhibit 5
• EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for a Market Data Product Known as EDGA Book Viewer (Release No. 34-75787; File No. SR-EDGA-2015-34; August 28, 2015); see also Exhibit 5
• EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for a Market Data Product Known as EDGX Book Viewer (Release No. 34-75788; File No. SR-EDGX-2015-38; August 28, 2015); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus (Release No. 34-75830; File No. SR-BX-2015-054; September 3, 2015); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List to Raise the NYSE Crossing Session II Fee Cap (Release No. 34-75793; File No. SR-NYSE-2015-37; August 31, 2015)

Market Data:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.26 Relating to the Reactivation of NSX (Release No. 34-75769; File No. SR-BATS-2015-65; August 27, 2015); see also Exhibit 5
• BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.26 Relating to the Reactivation of NSX (Release No. 34-75770; File No. SR-BYX-2015-37; August 27, 2015); see also Exhibit 5
• EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 13.4 Relating to the Reactivation of NSX (Release No. 34-75771; File No. SR-EDGA-2015-35; August 27, 2015); see also Exhibit 5
• EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 13.4 Relating to the Reactivation of NSX (Release No. 34-75772; File No. SR-EDGX-2015-39; August 27, 2015); see also Exhibit 5

Miscellaneous:

• FINRA: Order Approving a Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories (Release No. 34-75783; File No. SR-FINRA-2015-017; August 28, 2015)
• NMS: Order Approving the Twenty Third Substantive Amendment to the Second Restatement of the CTA Plan (Release No. 34-75660; File No. SR-CTA-2015-02; August 11, 2015)
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 202.06 of the NYSE Listed Company Manual (Release No. 34-75809; File No. SR-NYSE-2015-38; September 2, 2015); see also Exhibit 5

Products:

• NASDAQ: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Listing and Trading of Shares of the First Trust SSI Strategic Convertible Securities ETF of First Trust Exchange-Traded Fund IV (Release No. 34-75817; File No. SR-NASDAQ-2015-075; September 2, 2015)
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5745 (Release No. 34-75815; File No. SR-NASDAQ-2015-103; September 2, 2015); see also Exhibit 5
• NYSE Arca: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend NYSE Arca Equities Rule 8.600 to Adopt Generic Listing Standards for Managed Fund Shares (Release No. 34-75813; File No. SR-NYSEArca-2015-02; September 2, 2015)
• NYSE Arca: Notice of Filing of Amendment No. 1 to Proposed Rule Change to Amend NYSE Arca Equities Rule 5.2(j)(3), Commentary .02 Relating to Listing of Investment Company Units Based on Municipal Bond Indexes (Release No. 34-75811; File No. SR-NYSEArca-2015-01; September 2, 2015); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding FLEX No Minimum Value Pilot (Release No. 34-75794; File No. SR-Phlx-2015-74; August 31, 2015)

Trading Trade Reporting:

• BATS: Notice of Filing of Proposed Rule Change to Amend Rules 1.5(r), 11.1(a), 11.23, 14.6, 14.11, and 14.12 and Adopt Rule 11.1(a)(1) (Release No. 34-75832; File No. SR-BATS-2015-69; September 3, 2015); see also Exhibit 5
• BYX: Notice of Filing of Proposed Rule Change to Amend Rules 1.5(r) and 11.1 and Adopt New Rule 11.1(a)(1) (Release No. 34-75831; File No. SR-BYX-2015-38; September 3, 2015); see also Exhibit 5
• CHX: Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Implement CHX SNAP^SM, an Intra-day and On-demand Auction Service (Release No. 34-75816; File No. SR-CHX-2015-03; September 2, 2015); see also Exhibit 5
• EDGA: Notice of Filing of a Proposed Rule Change to Amend Rules 1.5(s), 11.1(a)(1), 11.6 and 11.8 (Release No. 34-75835; File No. SR-EDGA-2015-36; September 3, 2015); see also Exhibit 5
• EDGX: Notice of Filing of a Proposed Rule Change to Amend Rules 1.5(s), 11.1(a)(1), 11.6 and 11.8 (Release No. 34-75834; File No. SR-EDGX-2015-41; September 3, 2015); see also Exhibit 5
• EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.21(d), Relating to the Routing of Retail Orders (Release No. 34-75824; File No. SR-EDGX-2015-40; September 3, 2015); see also Exhibit 5
• FINRA: Order Approving Proposed Rule Change to Require Members to Report Transactions in TRACE-Eligible Securities as Soon as Practicable (Release No. 34-75782; File No. SR-FINRA-2015-025; August 28, 2015)
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting a Principles-Based Approach to Prohibit the Misuse of Material, Non-public Information by Market Makers by Deleting Rule 810 (Release No. 34-75792; File No. SR-ISE-2015-26; August 31, 2015); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish a New Auction, BX PRISM (Release No. 34-75827; File No. SR-BX-2015-032; September 3, 2015); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 3 of NYSE Arca Equities Rule 8 to extend the effectiveness of the ETP Incentive Program for additional one-year pilot period, ending September 4, 2016 (Release No. 34-75846; File No. SR-NYSEArca-2015-78; September 4, 2015)
• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Adopting New Equity Trading Rules Relating to Orders and Modifiers and the Retail Liquidity Program to Reflect the Implementation of Pillar, the Exchanges New Trading Technology Platform (Release No. 34-75801; File No. SR-NYSEArca-2015-56; September 1, 2015)
• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Adopting New Equity Trading Rules Relating to Trading Halts, Short Sales, Limit Up-Limit Down, and Odd Lots and Mixed Lots to Reflect the Implementation of Pillar, the Exchanges New Trading Technology Platform (Release No. 34-75800; File No. SR-NYSEArca-2015-58; September 1, 2015)
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Manipulative Operations (Release No. 34-75773; File No. SR-Phlx-2015-73; August 27, 2015); see also Exhibit 5