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 November 2 to November 6.

Business Continuity:

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Business Continuity and Disaster Recovery Plans (BC/DR plans) Testing Requirements for Certain Options Participants in Connection with Regulation Systems Compliance and Integrity ("Regulation SCI") (Release No. 34-76367; File No. SR-BOX-2015-35; November 5, 2015); see also Exhibit 5
• CHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Business and Disaster Recovery Plans Testing Requirements for Certain Participants in Connection with Regulation Systems Compliance and Integrity (Release No. 34-76351; File No. SR-CHX-2015-09; November 4, 2015); see also Exhibit 5
• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing under Regulation SCI (Release No. 34-76360; File No. SR-FINRA-2015-046; November 5, 2015); see also Exhibit 5
• ISE: Notice of Filing of Proposed Rule Change to Comply with the Requirements of Rule 1004 of Regulation SCI (Release No. 34-76334; File No. SR-ISE-2015-35; November 3, 2015); see also Exhibit 5
• ISE Gemini: Notice of Filing of Proposed Rule Change to Comply with the Requirements of Rule 1004 of Regulation SCI (Release No. 34-76332; File No. SR-ISEGemini-2015-23; November 3, 2015); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Business Continuity and Disaster Recovery Plans Testing Requirements (Release No. 34-76368; File No. SR-NASDAQ-2015-134; November 5, 2015); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Business Continuity and Disaster Recovery Plans Testing Requirements (Release No. 34-76371; File No. SR-BX-2015-065; November 5, 2015); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring Certain Member Organizations to Participate in Business Continuity and Disaster Recovery Plans Testing in Connection with Regulation Systems Compliance and Integrity (Release No. 34-76346; File No. SR-NYSE-2015-50; November 4, 2015); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring OTP Holders to Participate in Business Continuity and Disaster Recovery Plans Testing in Connection with Regulation Systems Compliance and Integrity (Release No. 34-76349; File No. SR-NYSEArca-2015-97; November 4, 2015); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring Certain ETP Holders to Participate in Business Continuity and Disaster Recovery Plans Testing in Connection with Regulation Systems Compliance and Integrity (Release No. 34-76342; File No. SR-NYSEArca-2015-96; November 4, 2015); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring Certain Member Organizations to Participate in Business Continuity and Disaster Recovery Plans Testing in Connection with Regulation Systems Compliance and Integrity (Release No. 34-76343; File No. SR-NYSEMKT-2015-82; November 4, 2015); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Business Continuity and Disaster Recovery Plans Testing Requirements(Release No. 34-76370; File No. SR-Phlx-2015-90; November 5, 2015); see also Exhibit 5

Clearance Settlement:

• ICC: Notice of Filing of Proposed Rule Change to Revise the ICC Risk Management Framework and ICC Treasury Operations Policies and Procedures, and Adopt the ICC Risk Management Model Description Document (Release No. 34-76331; File No. SR-ICC-2015-017; November 3, 2015)
• NSCC: Notice of Filing of Proposed Rule Change to Provide Mechanism for Sub-Account Settlement with Respect to the Alternative Investment Product Services(Release No. 34-76348; File No. SR-NSCC-2015-007; November 4, 2015); see also Exhibit 3, Exhibit 5

Co-Location:

• NYSE: Notice of Filing of Proposed Rule Change to the Co-location Services Offered by the Exchange (the Offering of a Wireless Connection to Allow Users to Receive Market Data Feeds from Third Party Markets) and to Reflect Changes to the Exchanges Price List Related to These Services (Release No. 34-76374; File No. SR-NYSE-2015-52; November 5, 2015); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide that the Co-location Services Offered by the Exchange Include 40 Gigabit Internet Protocol Network Connections in the Exchanges Data Center and to Amend the Exchanges Price List to Implement Fees for the New Service (Release No. 34-76369; File No. SR-NYSE-2015-54; November 5, 2015); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide that the Co-location Services Offered by the Exchange Include 40 Gigabit Internet Protocol Network Connections in the Exchanges Data Center and to Amend the Exchanges Price List to Implement Fees for the New Services(Release No. 34-76372; File No. SR-NYSEArca-2015-105; November 5, 2015); see also Exhibit 5
• NYSE Arca: Notice of Filing of Proposed Rule Change to the Co-location Services Offered by the Exchange (the Offering of a Wireless Connection to Allow Users to Receive Market Data Feeds from Third Party Markets) and to Reflect Changes to the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges Related to These Services (Release No. 34-76364; File No. SR-NYSEArca-2015-99; November 5, 2015); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide that the Co-location Services Offered by the Exchange Include 40 Gigabit Internet Protocol Network Connections in the Exchanges Data Center and to Amend the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Implement Fees for the New Service (Release No. 34-76373; File No. SR-NYSEMKT-2015-90; November 5, 2015); see also Exhibit 5
• NYSE MKT: Notice of Filing of Proposed Rule Change to the Co-location Services Offered by the Exchange (the Offering of a Wireless Connection to Allow Users to Receive Market Data Feeds from Third Party Markets) and to Reflect Changes to the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule Related to These Services (Release No. 34-76366; File No. SR-NYSEMKT-2015-85; November 5, 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. 34-76352; File No. SR-CBOE-2015-093; November 4, 2015); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Chapter XV, Entitled Options Pricing, at Section 2 Governing Pricing for NASDAQ Members (Release No. 34-76363; File No. SR-NASDAQ-2015-127; November 5, 2015); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to modify Chapter XV, entitled "Options Pricing," at Section 2 governing pricing for NASDAQ members (Release No. 34-76365; File No. SR-NASDAQ-2015-130; November 5, 2015); see also Exhibit 5

Licensing Registration:

• FINRA: Order Approving 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. 34-76359; File No. SR-FINRA-2015-032; November 5, 2013)

Listing Companies:

• EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 3.22, Proxy Voting, and 13.3, Forwarding of Proxy and other Issuer Materials (Release No. 34-76330; File No. SR-EDGA-2015-41; November 3, 2015); see also Exhibit 5
• EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 3.22, Proxy Voting, and 13.3, Forwarding of Proxy and other Issuer Materials (Release No. 34-76329; File No. SR-EDGX-2015-51; November 3, 2015); see also Exhibit 5
• NYSE: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Change, as Modified by Amendment No. 1, Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party has A Substantial Interest (Release No. 34-76323; File No. SR-NYSE-2015-02; October 30, 2015)

Market Data:

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 19 to Specify in Exchange Rules the Exchanges Use of Data Feeds from National Stock Exchange, Inc. for Order Handling and Execution, Order Routing, and Regulatory Compliance (Release No. 34-76339; File No. SR-NYSE-2015-51; November 4, 2015); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Specifying in Exchange Rules the Exchanges Use of Data Feeds from National Stock Exchange, Inc. for Order Handling and Execution, Order Routing, and Regulatory Compliance (Release No. 34-76347; File No. SR-NYSEArca-2015-98; November 4, 2015); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 19 Equities to Specify in Exchange Rules the Exchanges Use of Data Feeds from National Stock Exchange, Inc. for Order Handling and Execution, Order Routing, and Regulatory Compliance (Release No. 34-76345; File No. SR-NYSEMKT-2015-84; November 4, 2015); see also Exhibit 5

Products:

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Mini Options (Release No. 34-76341; File No. SR-CBOE-2015-098; November 4, 2015); see also Exhibit 5
• CBOE: Notice of Filing of a Proposed Rule Change to List and Trade Options that Overlie a Reduced Value of the FTSE China 50 Index (Release No. 34-76354; File No. SR-CBOE-2015-099; November 4, 2015); see also Exhibit 3, Exhibit 5
• CBOE: Notice of Filing of a Proposed Rule Change to List and Trade Options that Overlie a Reduced Value of the FTSE 00 Index (Release No. 34-76353; File No. SR-CBOE-2015-100; November 4, 2015); see also Exhibit 3, Exhibit 5
• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendments No. 1 and 3, Relating to Listing and Trading of Shares of the Guggenheim Total Return Bond ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-76362; File No. SR-NYSEArca-2015-73; November 5, 2013)

Trading Trade Reporting:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Rule 22.10, Limitations on Dealings (Release No. 34-76327; File No. SR-BATS-2015-93; November 2, 2015); see also Exhibit 5
• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 21.2, 21.6, and 21.7, as they Relate to Order Acceptance Time (Release No. 34-76320; File No. SR-BATS-2015-92; October 30, 2015); see also Exhibit 5
• CHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Smart versus Direct Routing Protocol (Release No. 34-76326; File No. SR-CHX-2015-08; November 2, 2015)
• NASDAQ: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Establish a Retail Order Process Known as RTFY (Release No. 34-76335; File No. SR-NASDAQ-2015-112; November 3, 2015)
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the LIST Routing Option (Release No. 34-76340; File No. SR-NASDAQ-2015-135; November 4, 2015); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Price Improving and Post-Only Orders (Release No. 34-76375; File No. SR-BX-2015-64; November 5, 2015); see also Exhibit 5