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 February 1 to February 5.

Clearance & Settlement:

• DTC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Discontinuance of the Facsimile and Hardcopy Delivery Methods of Security Position Reports (Release No. 34-77043; File No. SR-DTC-2016-002; February 3, 2016); see also Exhibit 5
• ICC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the ICC Risk Management Framework (Release No. 34-76997; File No. SR-ICC-2016-001; January 29, 2016)
• OCC: Order Approving the Adoption of a Charter of a New Committee of The Options Clearing Corporations Board of Directors, the Technology Committee (Release No. 34-77042; File No. SR-OCC-2015-018; February 3, 2016)
• OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporations Schedule of Fees (Release No. 34-77041; File No. SR-OCC-2016-001; February 3, 2016); see also Exhibit 5

Continuing Education:

• MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Content Outline for the Series 9/10 Examination Program (Release No. 34-77051; File No. SR-MSRB-2016-02; February 4, 2016); see also Exhibit 3 (Release No. 34-77051; File No. SR-MSRB-2016-02; February 4, 2016)

Corporate Governance:

• MSRB: Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board (Release No. 34-76999; File No. SR-MSRB-2016-01; January 29, 2016); see also Exhibit 2; Exhibit 5
• NYSE MKT: Order Approving Proposed Rule Change Amending the Seventh Amended and Restated Operating Agreement of the Exchange to Establish a Committee for Review as a Sub-Committee of the ROC and Make Conforming Changes to Rules and the NYSE MKT Company Guide (Release No. 34-77008; File No. SR-NYSEMKT-2015-106; February 1, 2016)

Fees, Fines, Rebates & Claims:

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Lower Certain Fees for Non-Auction Transactions on the BOX Market LLC ("BOX") Options Facility (Release No. 34-77055; File No. SR-BOX-2016-02; February 4, 2016); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Options Regulatory Fee (Release No. 34-77053; File No. SR-BX-2016-007; February 4, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services (Release No. 34-77000; File No. SR-NYSEArca-2016-22; January 29, 2016); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Options Regulatory Fee (Release No. 34-77032; File No. SR-Phlx-2016-04; February 2, 2016); see also Exhibit 5

Market Data:

• NYSE: Notice of Withdrawal of Proposed Rule Changes Amending the NYSE Trades Market Data and NYSE MKT Trades Market Data Product Offerings (Release No. 34-77047; File Nos. SR-NYSE-2015-31, SR-NYSEMKT-2015-56; February 3, 2016)

Products:

• NYSE Arca: Order Approving a Proposed Rule Change Relating to the Index Underlying the WisdomTree Put Write Strategy Fund (Release No. 34-77045; File No. SR-NYSEArca-2015-113; February 3, 2016)
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the AdvisorShares Athena High Dividend ETFs Investments in Sponsored and Unsponsored American Depositary Receipts (Release No. 34-77050; File No. SR-NYSEArca-2016-23; February 4, 2016)

Trading & Trade Reporting:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Exchanges Supplemental Competitive Liquidity Provider Program (Release No. 34-77033; File No. SR-BATS-2016-12; February 2, 2016); see also Exhibit 5
• CBOE: Notice of Filing of a Proposed Rule Change Relating to Professionals (Release No. 34-77049; File No. SR-CBOE-2016-005; February 4, 2016)
• EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1, Definitions, Relating to the Operation of the Attribution Feature of EDGX Options (Release No. 34-77036; File No. SR-EDGX-2016-01; February 2, 2016); see also Exhibit 5
• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of the "No-Remuneration" Indicator (Release No. 34-77015; File No. SR-FINRA-2016-003; February 2, 2016)
• NASDAQ OMX BX: Notice of Filing of Proposed Rule Change to Adopt a Limit Order Protection and a Market Order Protection (Release No. 34-77006; File No. SR-BX-2016-008; February 1, 2016); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain of Its Rules Related to Binary Return Derivatives Contracts (Release No. 34-77014; File No. SR-NYSEMKT-2016-16; February 2, 2016); see also Exhibit 5
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 301 (Release No. 34-77035; File No. SR-MIAX-2016-02; February 2, 2016); see also Exhibit 5
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rules 503 and 515 (Release No. 34-77034; File No. SR-MIAX-2016-03; February 2, 2015); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Binary Return Derivatives (Release No. 34-77044; File No. SR-NYSEArca-2016-16; February 3, 2016); see also Exhibit 5
• Phlx: Notice of Filing of Proposed Rule Change to Adopt a Limit Order Protection and a Market Order Protection (Release No. 34-77007; File No. SR-Phlx-2016-12; February 1, 2016); see also Exhibit 5
• Phlx: Notice of Filing of Proposed Rule Change Relating to Professional Customer Definition (Release No. 34-77054; File No. SR-Phlx-2016-10; February 4, 2016); see also Exhibit 5