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 15, 2016, to February 19, 2016.

17d-2 Plans:

• 17d-2: Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., and Miami International Securities Exchange, LLC Concerning Options-Related Market Surveillance (Release No. 34-77149; File No. 4-551; February 16, 2016)

• 17d-2: Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., and Miami International Securities Exchange, LLC Concerning Options-Related Sales Practice Matters (Release No. 34-77148; File No. S7-966; February 16, 2016)

Clearance & Settlement:

• OCC: Corporate Disclosure Statement of BATS Global Markets, Inc. (February 12, 2016)

• OCC: Corporate Disclosure Statement of Susquehanna International Group, LLP (February 12, 2016)

• OCC: Petition for Review (February 12, 2016)

Corporate Governance:

• BATS: Notice of Filing of a Proposed Rule Change to Amend the Certificate of Incorporation and Bylaws of the Exchanges Ultimate Parent Company, BATS Global Markets, Inc. (Release No. 34-77155; File No. SR-BATS-2016-10; February 17, 2016); see also Exhibit 5A, Exhibit 5B

• BYX: Notice of Filing of a Proposed Rule Change to Amend the Certificate of Incorporation and Bylaws of the Exchanges Ultimate Parent Company, BATS Global Markets, Inc. (Release No. 34-77156; File No. SR-BYX-2016-02; February 17, 2016); see also Exhibit 5A, Exhibit 5B

• EDGA: Notice of Filing of a Proposed Rule Change to Amend the Certificate of Incorporation and Bylaws of the Exchanges Ultimate Parent Company, BATS Global Markets, Inc. (Release No. 34-77146; File No. SR-EDGA-2016-01; February 16, 2016); see also Exhibit 5A, Exhibit 5B

• EDGX: Notice of Filing of a Proposed Rule Change to Amend the Certificate of Incorporation and Bylaws of the Exchanges Ultimate Parent Company, BATS Global Markets, Inc. (Release No. 34-77147; File No. SR-EDGX-2016-04; February 16, 2016); see also Exhibit 5A, Exhibit 5B

• Phlx: Order Approving Proposed Rule Changes, as Modified by Amendments Thereto, to Amend the By-Laws of NASDAQ, Inc. (Release No. 34-77165; File Nos. SR-Phlx-2015-113, SR-BSECC-2015-002, SR-SCCP-2015-02, SR-BX-2015-085, SR-NASDAQ-2015-160; SR-Phlx-2015-113; February 17, 2016)

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 ("BOX") Options Facility (Release No. 34-77144; File No. SR-BOX-2016-07; February 16, 2016); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Policy for Amending Billing Information and a Research Fee (Release No. 34-77143; File No. SR-Phlx-2016-09; February 16, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE Amex Options Fee Schedule (Release No. 34-77168; File No. SR-NYSEMKT-2016-21; February 18, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Schedule of Options Fees and Charges (Release No. 34-77169; File No. SR-NYSEArca-2016-26; February 18, 2016); see also Exhibit 5

Miscellaneous:

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation Date of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) (Release No. 34-77158; File No. SR-FINRA-2016-008; February 17, 2016)

• FINRA: Notice of Filing of a Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies (Release No. 34-77175; File No. SR-FINRA-2016-007; February 18, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 341A(a)(4) to Provide for Web-Based Delivery of the Exchanges Continuing Education Program (Release No. 34-77174; File No. SR-NYSEMKT-2016-22; February 18, 2016); see also Exhibit 5

Products:

• BATS: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Rule 14.11(i), Managed Fund Shares, to List and Trade the Shares of the Elkhorn S&P GSCI Dynamic Roll Commodity ETF of Elkhorn ETF Trust (Release No. 34-77159; File No. SR-BATS-2015-105; February 17, 2016)

• NYSE Arca: Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of WBI Tactical Rotation Shares under NYSE Arca Equities Rule 8.600 (Release No. 34-77160; File No. SR-NYSEArca-2016-14; February 17, 2016)

Trading & Trade Reporting:

• BATS: Order Granting Approval of a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Adopt Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Disruptive Quoting and Trading Activity (Release No. 34-77171; File No. SR-BATS-2015-101; February 18, 2016)

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reduce the Order Handling Period for Directed Orders from Three Seconds to One Second (Release No. 34-77154; File No. SR-BOX-2016-08; February 17, 2016); see also Exhibit 5

• EDGA: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt an Early Trading Session and Three New Time-in-Force Instructions (Release No. 34-77141; File No. SR-EDGA-2016-02; February 16, 2016); see also Exhibit 5

• EDGX: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt an Early Trading Session and Three New Time-in-Force Instructions (Release No. 34-77142; File No. SR-EDGX-2016-06; February 16, 2016); see also Exhibit 5

• FINRA: Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Partial Amendment No. 1, 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. 34-77164; File No. SR-FINRA-2015-048; February 17, 2016)

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7014 and Nasdaq Rule 7018 (Release No. 34-77152; File No. SR-NASDAQ-2016-020; February 17, 2016)

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.35P to Provide for Price Collar Thresholds for Trading Halt Auctions (Release No. 34-77140; File No. SR-NYSEArca-2016-27; February 16, 2016); see also Exhibit 5

• NYSE Arca: Notice of Withdrawal of a Proposed Rule Change to Adopt a New Policy Relating to Trade Reports for Exchange Traded Products (Release No. 34-77170; File No. SR-NYSEArca-2015-104; February 18, 2016)

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the FLEX No Minimum Value Pilot (Release No. 34-77153; File No. SR-Phlx-2016-19; February 17, 2016)