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 January 4 to January 8.

Clearance & Settlement:

• DTC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Postponing the Date for Retirement of Computer to Computer Facility Corporate Action Announcement Files, and Implementing a Fee Associated with Its Use(Release No. 34-76811; File No. SR-DTC-2015-013; December 31, 2015); see also Exhibit 5
• OCC: Notice of No Objection to Advance Notice Filing, as Modified by Amendment Nos. 1, 2 and 3, Concerning The Options Clearing Corporations Non-Bank Liquidity Facility (Release No. 34-76821; File No. SR-OCC-2015-805; January 4, 2016)

Corporate Governance:

• BSECC: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the By-Laws of Nasdaq, Inc. (Release No. 34-76806; File No. SR-BSECC-2015-002; December 31, 2015); see also Exhibit 5
• SCCP: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the By-Laws of Nasdaq, Inc. (Release No. 34-76807; File No. SR-SCCP-2015-02; December 31, 2015); see also Exhibit 5
• NASDAQ: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the By-Laws of Nasdaq, Inc. (Release No. 34-76809; File No. SR-NASDAQ-2015-160; December 31, 2015); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the By-Laws of Nasdaq, Inc. (Release No. 34-76808; File No. SR-BX-2015-085; December 31, 2015); see also Exhibit 5
• NYSE: Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, 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 Interes (Release No. 34-76814; File No. SR-NYSE-2015-02; December 31, 2015); see also Exhibit 5
• Phlx: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, to Amend the By-Laws of Nasdaq, Inc. (Release No. 34-76810; File No. SR-Phlx-2015-113; December 31, 2015); see also Exhibit 5

Fees, Fines, Rebates & Claims:

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule (Release No. 34-76842; File No. SR-CBOE-2015-117); see also Exhibit 5
• EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc. (Release No. 34-76816; File No. SR-EDGX-2015-67; January 4, 2016); see also Exhibit 5
• FICC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Government Securities Division Fee Schedule (Release No. 34-76840; File No. SR-FICC-2015-005)

Licensing & Registration:

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories (Release No. 34-76835; File No. SR-ISE-2015-44; January 5, 2016); see also Exhibit 5
• ISE Gemini: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories (Release No. 34-76836; File No. SR-ISEGemini-2015-28; January 5, 2016)

Market Data:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22, Data Products, to Describe IPO Auction Viewer (Release No. 34-76832; File No. SR-BATS-2015-119; January 5, 2016); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for Certain CBOE Real-Time Data Feeds (Release No. 34-76828; File No. SR-CBOE-2015-115; January 5, 2016); see also Exhibit 5

Products:

• BATS: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend BATS Rule 14.11(i) to Adopt Generic Listing Standards for Managed Fund Shares (Release No. 34-76820; File No. SR-BATS-2015-100; January 4, 2016)
• NASDAQ: Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust RiverFront Dynamic Europe ETF, First Trust RiverFront Dynamic Asia Pacific ETF, First Trust RiverFront Dynamic Emerging Markets ETF, and the First Trust RiverFront Dynamic Developed International ETF of First Trust Exchange-Traded Fund III (Release No. 34-76817; File No. SR-NASDAQ-2015-161; January 4, 2016)
• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt Generic Listing Standards for Managed Fund Shares (Release No. 34-76819; File No. SR-NYSEArca-2015-110; January 4, 2016)

Trading & Trade Reporting:

• BATS: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Adopt Rule 8.17 to Provide a Process for an Expedited Client Suspension Proceeding and Rule 12.15 to Prohibit Disruptive Quoting and Trading Activity (Release No. 34-76841; File No. SR-BATS-2015-101; January 6, 2016)
• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes to Rules 11.5, Registration of Market Makers, 11.6, Obligations of Market Maker Authorized Traders, 11.7, Registration of Market Makers in a Security, and 11.8, Obligations of Market Makers (Release No. 34-76849; File No. SR-BATS-2015-121; January 7, 2016); see also Exhibit 5
• BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes to Rules 11.5, Registration of Market Makers, 11.6, Obligations of Market Maker Authorized Traders, 11.7, Registration of Market Makers in a Security, and 11.8, Obligations of Market Makers (Release No. 34-76852; File No. SR-BYX-2015-53; January 7, 2016); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Credit Option Margin Pilot Program through January 17, 2017 (Release No. 34-76824; File No. SR-CBOE-2015-118; January 5, 2016)
• EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.17, Registration of Market Makers, and 1.20, Obligations of Market Makers (Release No. 34-76851; File No. SR-EDGA-2015-49; January 7, 2016); see also Exhibit 5
• EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.17, Registration of Market Makers, and 1.20, Obligations of Market Makers (Release No. 34-76853; File No. SR-EDGX-2015-68; January 7, 2016); see also Exhibit 5
• NASDAQ: Notice of Filing of Proposed Rule Change to Implement Additional Price Protections in the Opening Process (Release No. 34-76833; File No. SR-NASDAQ-2015-159; January 5, 2016); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay of Implementation of Kill Switch (Release No. 34-76830; File No. SR-NASDAQ-2015-163; January 5, 2016)
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7014 (Release No. 34-76826; File No. SR-NASDAQ-2015-164; January 5, 2016); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7015 (Release No. 34-76825; File No. SR-NASDAQ-2015-162; January 5, 2016); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay of Implementation of Kill Switch (Release No. 34-76831; File No. SR-BX-2015-088; January 5, 2016)
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Retail Price Improvement Program (Release No. 34-76829; File No. SR-BX-2015-086; January 5, 2016); see also Exhibit 5
• NMS: Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the EDGX Exchange, Inc. as a Participant (Release No. 34-76823; File No. 4-546; January 5, 2016)
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 132.30(9) to Conform the Exchanges Rules to Industry-Wide Standards for Recording the Capacity in which a Member Organization Executes a Transaction (Release No. 34-76845; File No. SR-NYSE-2016-07; January 7, 2016); see also Exhibit 5

Fitzgerald Comment: On October 27, 2015, EDGX Exchange, Inc. (“EDGX”) filed with the Securities and Exchange Commission (“Commission”) an amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options (“OLPP”). The amendment proposes to add EDGX as a Sponsor of the OLPP. The current Sponsors of the OLPP are Amex, BATS, BOX, BX, CBOE, C2, ISE, MIAX, Nasdaq, NYSE Arca, OCC, Phlx, and Topaz. The Commission has published this notice to solicit comments on the proposed rule change from interested persons:

• NMS: Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add EDGX Exchange, Inc. (EDGX) as a Plan Sponsor (Release No. 34-76822; File No. 4-443; January 5, 2016)