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 November 16 to November 20.

Clearance Settlement:

• ICC: Order Approving Proposed Rule Change Related to the ICC Rule Enforcement Process for Missed Submissions (Release No. 34-76479; File No. SR-ICC-2015-015; November 19, 2015)

• NSCC: Order Approving Proposed Rule Change to Permit Trades in Eligible Fixed Income Securities Scheduled to Settle on Day After Trade Date to Be Processed for Settlement at National Securities Clearing Corporation (Release No. 34-76458; File No. SR-NSCC-2015-005; November 17, 2015)

• NSCC: Order Approving Proposed Rule Change to Require Real-Time Trade Submission and to Prohibit Pre-Netting Practices Through NSCCs Correspondent Clearing Service (Release No. 34-76462; File No. SR-NSCC-2015-004; November 17, 2015)

Continuing Education:

• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Delivery of the Regulatory Element of C2s Continuing Education Program (Release No. 34-76466; File No. SR-C2-2015-031; November 18, 2015)

Corporate Governance:

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Administration of Livevol X License Agreements (Release No. 34-76471; File No. SR-CBOE-2015-102; November 18, 2015)

• FINRA: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc. (Release No. 34-76444; File No. SR-FINRA-2015-034; November 16, 2015)

• ISE: Notice of Withdrawal of a Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent (Release No. 34-76467; File No. SR-ISE-2015-36; November 18, 2015)

• ISE Gemini: Notice of Withdrawal of a Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent (Release No. 34-76468; File No. SR-ISEGemini-2015-24; November 18, 2015)

Fees, Fines, Rebates Claims:

• 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. 34-76447; File No. SR-BOX-2015-36; November 16, 2015); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-76442; File No. SR-CBOE-2015-101; November 16, 2015); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-76498; File No. SR-CBOE-2015-105; November 20, 2015)

• EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees (Release No. 34-76453; File No. SR-EDGX-2015-56; November 17, 2015); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees (Release No. 34-76501; File No. SR-ISE-2015-40; November 20, 2015); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees (Release No. 34-76451; File No. SR-ISE-2015-37; November 17, 2015); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Quality Incentive Program and Certain Other Fees and Credits for Execution and Routing (Release No. 34-76450; File No. SR-NASDAQ-2015-137; November 17, 2015); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create a Market Access and Routing Subsidy or MARS (Release No. 34-76445; File No. SR-NASDAQ-2015-133; November 16, 2015); see also Exhibit 5

• NYSE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Establishing Fees for the NYSE Integrated Feed (Release No. 34-76485; File No. SR-NYSE-2015-57; November 20, 2015); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to a Market Access and Routing Subsidy or MARS (Release No. 34-76446; File No. SR-Phlx-2015-89; November 16, 2015); see also Exhibit 5

Miscellaneous:

• MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Proposed New MSRB Rule A-18, on Mandatory Participation in Business Continuity and Disaster Recovery Testing (Release No. 34-76443; File No. SR-MSRB-2015-12; November 16, 2015); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting a Rule Relating to Fingerprint-Based Background Checks of Directors, Officers, Employees, and Others (Release No. 34-76492; File No. SR-NYSEArca-2015-92; November 20, 2015)

Products:

• BATS: Notice of Filing of Proposed Rule Change to Amend BATS Rule 14.11(i) to Adopt Generic Listing Standards for Managed Fund Shares (Release No. 34-76478; File No. SR-BATS-2015-100; November 19, 2015); see also Exhibit 5

• CBOE: Notice of Proposed Rule Change to Trade Expiring MSCI EAFE Index Options Until 3:00 p.m. (Release No. 34-76482; File No. SR-CBOE-2015-104; November 19, 2015); see also Exhibit 5

• NYSE Arca: Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 8.600 to Adopt Generic Listing Standards for Managed Fund Shares (Release No. 34-76486; File No. SR-NYSEArca-2015-110; November 20, 2015); see also Exhibit 5

• NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Implementation of a Fee on Securities Lending and Repurchase Transactions with Respect to Shares of the CurrencyShares ^{Euro Trust and the CurrencyShares Japanese Yen Trust} (Release No. 34-76472; File No. SR-NYSEArca-2015-68; November 18, 2015)

Trading Trade Reporting:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13, Order Execution and Routing (Release No. 34-76459; File No. SR-BATS-2015-97; November 17, 2015); see also Exhibit 5

• BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13, Order Execution and Routing (Release No. 34-76457; File No. SR-BYX-2015-46; November 17, 2015); see also Exhibit 5

• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Technical Disconnect Mechanism (Release No. 34-76488; File No. SR-C2-2015-032; November 20, 2015)

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Technical Disconnect Mechanism (Release No. 34-76489; File No. SR-CBOE-2015-103; November 20, 2015)

• CBOE: Order Granting Approval of Proposed Rule Change Relating to Margin Requirements (Release No. 34-76469; File No. SR-CBOE-2015-077; November 18, 2015)

• EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.11, Routing to Away Trading Centers (Release No. 34-76455; File No. SR-EDGA-2015-42; November 17, 2015); see also Exhibit 5

• EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.11, Routing to Away Trading Centers (Release No. 34-76456; File No. SR-EDGX-2015-53; November 17, 2015); see also Exhibit 5

• FINRA: Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program (Release No. 34-76483; File No. SR-FINRA-2015-047; November 19, 2015); see also Exhibit 5

• FINRA: Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program (Release No. 34-76484; File No. SR-FINRA-2015-048; November 19, 2015); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Sponsored Access (Release No. 34-76449; File No. SR-NASDAQ-2015-140; November 20, 2015); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to BX PRISM (Release No. 34-76487; File No. SR-BX-2015-068; November 20, 2015); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Sponsored Access (Release No. 34-76454; File No. SR-BX-2015-067; November 17, 2015); see also Exhibit 5

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt New Equity Trading Rules Relating to Auctions for Pillar, the Exchanges New Trading Technology Platform (Release No. 34-76493; File No. SR-NYSEArca-2015-86; November 20, 2015)

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1014, Obligations and Restrictions Applicable to Specialists and Registered Options Traders (Release No. 34-76441; File No. SR-Phlx-2015-91; November 16, 2015); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Sponsored Access (Release No. 34-76452; File No. SR-Phlx-2015-93; November 17, 2015); see also Exhibit 5