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 14, 2016, to March 18, 2016.

Clearance & Settlement:

• ICC: Order Approving Proposed Rule Change to Provide for the Clearance of Certain Asia-Pacific Credit Default Swap Contracts (Release No. 34-77361; File No. SR-ICC-2016-002; March 14, 2016)

• OCC: Notice of Filing of Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy (Release No. 34-77358; File No. SR-OCC-2016-004; March 14, 2016) see also Exhibit 3A, Exhibit 5A, Exhibit 5B

Corporate Governance:

• MSRB: Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board (Release No. 34-77390; File No. SR-MSRB-2016-01; March 17, 2016)

• NYSE: Notice of Filing of Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchanges Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access (Release No. 34-77384; File No. SR-NYSE-2016-14; March 17, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing of Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchanges Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access (Release No. 34-77385; File No. SR-NYSEArca-2016-25; March 17, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing of Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchanges Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access (Release No. 34-77386; File No. SR-NYSEMKT-2016-20; March 17, 2016); see also Exhibit 5

• NYSE MKT: Order Approving Proposed Rule Change Amending the NYSE MKT Company Guide to Create a New Section 146 Under Which a Certain Category of Newly Listed Issuers Would Be Entitled to Receive Complimentary Products and Services from the Exchange (Release No. 34-77401; File No. SR-NYSEMKT-2016-12; March 17, 2016)

Fees, Fines, Rebates & Claims:

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange (Release No. 34-77394; File No. SR-BatsEDGX-2016-02; 2016-03-17; March 17, 2016); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule (Release No. 34-77365; File No. SR-CBOE-2016-018; March 14, 2016); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Rule 7018(a) (Release No. 34-77378; File No. SR-NASDAQ-2016-037; March 16, 2016)

• NASDAQ: Notice of Filing of Proposed Rule Change to Offer Remote ITCH to Trade Options Wave Ports (Release No. 34-77381; File No. SR-NASDAQ-2016-033; March 16, 2016); see also Exhibit 5

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List Effective March 1, 2016 (Release No. 34-77363; File No. SR-NYSE-2016-20; March 14, 2016); see also Exhibit 5

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting a Decommission Extension Fee for receipt of the NYSE BBO and NYSE Trades Market Data Products (Release No. 34-77388; File No. SR-NYSE-2016-21; March 17, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule (Release No. 34-77359; File No. SR-NYSEArca-2016-39; March 14, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Change to Amend its Price List Effective March 1, 2016 (Release No. 34-77371; File No. SR-NYSEMKT-2016-33; March 15, 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. 34-77370; File No. SR-NYSEMKT-2016-35; March 15, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Change Adopting a Decommission Extension Fee for receipt of the NYSE MKT BBO and NYSE MKT Trades Market Data Products (Release No. 34-77389; File No. SR-NYSEMKT-2016-37; March 17, 2016); see also Exhibit 5

Miscellaneous:

• FINRA: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt FINRA Capital Acquisition Broker Rules (Release No. 34-77391; File No. SR-FINRA-2015-054; March 17, 2016)

NMS Plans:

• NMS: Order Approving Amendment No. 3 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by Financial Industry Regulatory Authority, Inc., BATS Exchange, Inc., BOX Options Exchange, LLC, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., International Securities Exchange, LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE MKT, LLC, and NYSE Arca, Inc. (Release No.: 34-77395; File No. 4-533; March 17, 2016)

Products:

• BATS: Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Pointbreak Diversified Commodity Fund of the Pointbreak ETF Trust under BATS Rule 14.11(i), Managed Fund Shares (Release No. 34-77379; File No. SR-BATS-2016-16; March 16, 2016)

Trading & Trade Reporting:

• MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise an Effective Date of Several Previously-Approved Amendments to Rule G-14, on Transaction Reporting (Release No. 34-77366; File No. SR-MSRB-2016-05; March 14, 2016)

• MSRB: Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle and Technical Conforming Amendments (Release No. 34-77364; File No. SR-MSRB-2016-04; March 14, 2016)

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include U.S. Non-Display Policies in the Nasdaq Rule Book (Release No. 34-77392; File No. SR-NASDAQ-2016-036; March 17, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.33 to Conform the Exchanges Rules to Industry-Wide Standards for Recording the Capacity in which an ETP Holder Executes a Transaction (Release No. 34-77374; File No. SR-NYSEArca-2016-42; March 15, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Deadline for Implementing Rule 6.61(a)(2) and (3) (Release No. 34-77357; File No. SR-NYSEArca-2016-41; March 14, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Deadline for Implementing Rule 967.1NY(a)(2) and (3) (Release No. 34-77356; File No. SR-NYSEMKT-2016-36; March 14, 2016); see also Exhibit 5