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 8 to February 12.

17d-2 Plans:

• 17d-2: Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the National Stock Exchange, Inc. (Release No. 34-77089; File No. 4-694; February 9, 2016)

• 17d-2: Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and ISE Mercury, LLC (Release No. 34-77122, File No. 4-697; February 11, 2016)

Clearance & Settlement:

• ICC: Notice of Filing, as modified by Amendment No. 1 Thereto, of Proposed Rule Change to Provide for the Clearance of Certain Asia-Pacific Credit Default Swap Contracts (Release No. 34-77079; File No. SR-ICC-2016-002; February 8, 2016)

Fees, Fines, Rebates & Claims:

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule (Release No. 34-77093; File No. SR-CBOE-2016-008; February 9, 2016); see also Exhibit 5

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule to Implement a Professional Rebate Program (Release No. 34-77097; File No. SR-MIAX-2016-05; February 9, 2016); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Retroactively Apply Recently-Reduced Port Fees (Release No. 34-77077; File No. SR-NASDAQ-2016-014; February 8, 2016)

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM Rules at Chapter XV, Section 2 (Release No. 34-77116; File No. SR-NASDAQ-2016-012; February 11, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule (Release No. 34-77106; File No. SR-NYSEMKT-2016-18; February 10, 2016); see also Exhibit 5

Market Data:

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-location Services Offered by the Exchange to Include a Means for Co-located Users to Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the Exchange Price List (Release No. 34-77119; File No. SR-NYSE-2016-01; February 11, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-location Services Offered by the Exchange to Include a Means for Co-located Users to Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and the Options Fee Schedule (Release No. 34-77118; File No. SR-NYSEArca-2016-04; February 11, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Arca Options Deep Market Data Product (Release No. 34-77111; File No. SR-NYSEArca-2016-29; February 11, 2016)

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-location Services Offered by the Exchange to Include a Means for Co-located Users to Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule (Release No. 34-77120; File No. SR-NYSEMKT-2016-02; February 11, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Amex Options Deep Market Data Product (Release No. 34-77110; File No. SR-NYSEMKT-2016-23; February 11, 2016)

Miscellaneous:

• FINRA: Order Approving a Proposed Rule Change to Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) (Release No. 34-77098; File No. SR-FINRA-2015-059; February 9, 2016)

• FINRA: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), as Modified by Partial Amendment No. 1, in the Consolidated FINRA Rulebook (Release No. 34-77103; File No. SR-FINRA-2015-029; February 10, 2016)

Products:

• BATS: Notice of Filing of a Proposed Rule Change to Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the SPDR DoubleLine Short Term Total Return Tactical ETF of the SSgA Active Trust (Release No. 34-77078; File No. SR-BATS-2016-04; February 8, 2016)

• BATS: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade the Shares of the Elkhorn Dow Jones RAFI Commodity ETF of Elkhorn ETF Trust (Release No. 34-77086; File No. SR-BATS-2016-03; February 9, 2016)

• NYSE Arca: Notice of Filing of Proposed Rule Change to Adopt NYSE Arca Equities Rule 8.900 to Permit Listing and Trading of Managed Portfolio Shares and To Permit Listing and Trading of Shares of Fifteen Issues of the Precidian ETFs Trust (Release No. 34-77117; File No. SR-NYSEArca-2016-08; February 11, 2016); see also Exhibit 5

Trading & Trade Reporting:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 21.16, Risk Monitor Mechanism, Relating to the BATS Equity Options Trading Platform (Release No. 34-77090; File No. SR-BATS-2016-06; February 9, 2016); see also Exhibit 5

• BATS: Notice of Filing of Partial Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Partial Amendment No. 2, to Adopt Rule 11.27 regarding the Data Collection Requirements of the Tick Size Pilot (Release No. 34-77105; File No. SR-BATS-2015-102; February 10, 2016)

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Rule 7310 (Drill-through Protection) to Implement a New Price Protection Feature (Release No. 34-77092; File No. SR-BOX-2016-03; February 9, 2016); see also Exhibit 5

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7290 (Price Protection for Limit Orders) to Enhance the Protections Provided to Participants Executing Orders and Quotes on the Exchange (Release No. 34-77096; File No. SR-BOX-2016-05; February 9, 2016); see also Exhibit 5

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7070 (Opening the Market) to Implement a New Price Protection Feature for the Opening (Release No. 34-77095; File No. SR-BOX-2016-04; February 9, 2016); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopting a Principles-Based Approach to Prohibit the Misuse of Material Nonpublic Information by Designated Primary Market-Makers ("DPMs") and Lead Market-Makers ("LMMs") (Release No. 34-77081; File No. SR-CBOE-2016-007; February 8, 2016); see also Exhibit 5

• EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 21.16, Risk Monitor Mechanism, Relating to the EDGX Equity Options Trading Platform (Release No. 34-77091; File No. SR-EDGX-2016-02; February 9, 2016); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include NextShares in the Lead Market Maker Program (Release No. 34-77080; File No. SR-NASDAQ-2016-019; February 8, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 990NY(8) to Correct a Typographical Error (Release No. 34-77085; File No. SR-NYSEMKT-2016-19; February 9, 2016); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Obsolete Rules 1000C – 1009C (Release No. 34-77076; File No. SR-Phlx-2016-16; February 8, 2016); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rule 505 and Rule 506 (Release No. 34-77121; File No. SR-Phlx-2016-22; February 11, 2016); see also Exhibit 5