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 March 7, 2016, to March 11, 2016.

The International Securities Exchange, LLC and ISE Gemini, LLC are the latest self-regulatory organizations to propose rules mandating that certain members participate in the testing of their business continuity and disaster recovery programs, in accordance with Regulation Systems Compliance and Integrity. For more information, see:

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Limit Mandatory Participation in Scheduled Functional and Performance Testing Under Regulation SCI to Only Those Primary Market Makers That Meet Specified Criteria (Release No. 34-77335; File No. SR-ISE-2016-06; March 9, 2016); see also Exhibit 5

• ISE Gemini: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Limit Mandatory Participation in Scheduled Functional and Performance Testing Under Regulation SCI to Only Those Primary Market Makers That Meet Specified Criteria (Release No. 34-77334; File No. SR-ISEGemini-2016-02; March 9, 2016); see also Exhibit 5

Corporate Governance:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules as well as Certain Corporate Documents of the Exchange to Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries (Release No. 34-77307; File No. SR-BATS-2016-25; March 7, 2016); see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E

• BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules as well as Certain Corporate Documents of the Exchange to Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries (Release No. 34-77308; File No. SR-BYX-2016-07; March 7, 2016), see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D

• ICE EU: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Delegation of Authority to Approve Certain Rule and Procedure Amendments (Release No. 34-77311; File No. SR-ICEEU-2016-002; March 7, 2016)

Fees, Fines, Rebates & Claims:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. (Release No. 34-77330; File No. SR-BATS-2016-26; March 9, 2016); see also Exhibit 5

• EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Equity Options Platform. (Release No. 34-77329; File No. SR-EDGX-2016-16; March 9, 2016); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Rebates to Adopt the Select Symbols Options Tier Schedule (Release No. 34-77339; File No. SR-BX-2016-016; March 10, 2016); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 7018 (Release No. 34-77350; File No. SR-BX-2016-014; March 11, 2016); see also Exhibit 5

• NYSE: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Requirements and Fee (Release No. 34-77302; File No. SR-NYSE-2016-13; March 7, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Requirements and Fee (Release No. 34-77303; File No. SR-NYSEArca-2016-21; March 7, 2016); see also Exhibit 5

• NYSE Arca: Notice of Withdrawal of a 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. 34-77352; File No. SR-NYSEArca-2015-68; March 11, 2016)

• NYSE MKT: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Requirements and Fee (Release No. 34-77304; File No. SR-NYSEMKT-2016-17; March 7, 2016); see also Exhibit 5

• OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Simplify The Options Clearing Corporations Schedule of Fees (Release No. 34-77336; File No. SR-OCC-2016-005; March 10, 2016); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rebates and Fees for Adding and Removing Liquidity in SPY (Release No. 34-77351; File No. SR-Phlx-2016-33; March 11, 2016); see also Exhibit 5

Miscellaneous:

• 17d-2: Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and ISE Mercury, LLC (Release No. 34-77321; File No. 4-697; March 8, 2016)

NMS Plans:

• NMS: Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add ISE Mercury LLC, as a Participant (Release No. 34-77324; File No. 4-546; March 8, 2016)

• 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 ISE Mercury, LLC as a Plan Sponsor (Release No. 34-77323; File No. 4-443; March 9, 2016)

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 Shares of the iShares iBonds Dec 2023 AMT-Free Muni Bond ETF, iShares iBonds Dec 2024 AMT-Free Muni Bond ETF, iShares iBonds Dec 2025 AMT-Free Muni Bond ETF, and iShares iBonds Dec 2026 AMT-Free Muni Bond ETF of the iShares U.S. ETF Trust (Release No. 34-77333; File No. SR-BATS-2016-02; March 9, 2016)

• CBOE: Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Related to Options that Overlie the MSCI EAFE Index and the MSCI Emerging Markets Index (Release No. 34-77319; File No. SR-CBOE-2016-016; March 8, 2016); see also Exhibit 5

• MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of an Amendment to Rule G-33, on Calculations, and an Interpretive Notice (Release No. 34-77316; File No. SR-MSRB-2016-03; March 8, 2016); see also Exhibit 5

• NASDAQ: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Shares of the First Trust Municipal High Income ETF (Release No. 34-77320; File No. SR-NASDAQ-2016-002; March 8, 2016)

• NASDAQ: Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the iSectors Post-MPT Growth ETF of ETFis Series Trust I (Release No. 34-77301; File No. SR-NASDAQ-2016-028; March 7, 2016)

• NASDAQ: Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Elkhorn Dorsey Wright Commodity Rotation Portfolio of Elkhorn ETF Trust (Release No. 34-77338; File No. SR-NASDAQ-2016-030; March 10, 2016)

• NASDAQ: Notice of Filing of Proposed Rule Change Regarding Monthly Distributions, Excess Returns, and Share Index Factors of Certain AccuShares® Trust I Funds (Release No. 34-77353; File No. SR-NASDAQ-2016-034; March 11, 2016)

• NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Shares of the Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-77340; File No. SR-NYSEArca-2015-93; March 10, 2016)

• NYSE Arca: Notice of Withdrawal of a Proposed Rule Change to List and Trade Shares of the Global Currency Gold Fund under NYSE Arca Equities Rule 8.201 (Release No. 34-77337; File No. SR-NYSEArca-2015-76; March 10, 2016)

Trading & Trade Reporting:

• BATS: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.27(b), Compliance with Data Collection Requirements, Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-77310; File No. SR-BATS-2016-27; March 7, 2016); see also Exhibit 5

• CHX: Notice of Filing of Proposed Rule SMChange to Adopt and Amend Rules to Permit the Exchange to Initiate CHX SNAP Cycles (Release No. 34-77331; File No. SR-CHX-2016-01; March 9, 2016); see also Exhibit 5

• NASDAQ: Notice of Filing of Proposed Rule Change to Establish a Secondary Contingency Procedure to Enable the Exchange to Report an Official Closing Price on Behalf of an Impaired Primary Listing Exchange (Release No. 34-77309; File No. SR-NASDAQ-2016-035; March 7, 2016); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Quality Incentive Programs under Rule 7014 (Release No. 34-77354; File No. SR-NASDAQ-2016-032; March 11, 2016); see also Exhibit 5

• NYSE: Notice of Filing of Proposed Rule Change Amending Rule 123C to Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable to Conduct a Closing Transaction (Release No. 34-77305; File No. SR-NYSE-2016-18; March 7, 2016); see also Exhibit 5

• NYSE: Notice of Filing of Proposed Rule Change Amending Rule 98 to Provide that When Designated Market Makers Enter Interest for the Purpose of Facilitating the Execution of Customer Orders, Such Orders Would Not be Required to be Designated as DMM Interest (Release No. 34-77332; File No. SR-NYSE-2016-16; March 9, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 7.31P(j) and 7.34P(c) to Allow Q Orders to Participate in the Early Trading Session and Late Trading Session (Release No. 34-77349; File No. SR-NYSEArca-2016-43; March 11, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing of Proposed Rule Change Amending Rule 123C-Equities to Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable to Conduct a Closing Transaction (Release No. 34-77306; File No. SR-NYSEMKT-2016-31; March 7, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 401 and 402 of the NYSE MKT Company Guide to Harmonize the Exchanges Immediate Release and Trading Halt Policies (Release No. 34-77348; File No. SR-NYSEMKT-2016-29; March 11, 2016); see also Exhibit 5

• Phlx: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent the Pilot Program Eliminating Minimum Value Sizes for Opening Transactions in New Series of FLEX Option (Release No. 34-77341; File No. SR-Phlx-2015-94; March 10, 2016)