Weekly Roundup of Exchange Rules by Category

The SEC announced new SRO rules, rule proposals and NMS plans. Click on the links below to view the SEC's notices of exchange rule changes and proposal from April 4, 2016, to April 8, 2016.

Business Continuity:

• ISE Mercury: Notice of Filing 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. 34-77556; File No. SR-ISEMercury-2016-08; April 7, 2016); see also Exhibit 5

Corporate Governance:

• MIAX: Notice of Filing of a Proposed Rule Change to Amend the Exchanges Amended and Restated By-Laws (Release No. 34-77507; File No. SR-MIAX-2016-08; April 4, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Section 4.01(a) of the NYSE Arca Bylaws and NYSE Arca Rule 3.3 to Establish a Committee for Review as a Sub-Committee of the ROC and Making Conforming Changes to NYSE Arca Rules (Release No. 34-77535; File No. SR-NYSEArca-2016-11; April 6, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing of Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange (Release No. 34-77536; File No. SR-NYSEMKT-2016-26; April 6, 2016); see also Exhibit 5

Fees, Fines, Rebates & Claims:

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for its Equity Options Platform (Release No. 34-77526; File No. SR-BatsEDGX-2016-05; April 5, 2016); see also Exhibit 5

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for its Equity Options Platform (Release No. 34-77524; File No. SR-BatsBZX-2016-04; April 5, 2016); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for Options that Overlie a Reduced Value of the FTSE 100 Index and the FTSE China 50 Index (Release No. 34-77547; File No. SR-CBOE-2016-021; April 6, 2016); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule (Release No. 34-77554; File No. SR-CBOE-2016-023; April 7, 2016); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7015(g)(1) and 7034 (Release No. 34-77552; File No. SR-NASDAQ-2016-053; April 7, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Add Fees for Reserve Market Maker Options Trading Permits (Release No. 34-77521; File No. SR-NYSEArca-2016-53; April 5, 2016); see also Exhibit 5

Miscellaneous:

• FINRA: Order Approving Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, in the Consolidated FINRA Rulebook (Release No. 34-77550; File No. SR-FINRA-2015-029; April 7, 2016);

Products:

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend FINRA Rule 6184 (Transactions in Exchange-Traded Managed Fund Shares (NextShares)) (Release No. 34-77505; File No. SR-FINRA-2016-012; April 4, 2016)

• NASDAQ: Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to the Listing and Trading of the Shares of the First Trust RiverFront Dynamic Europe ETF, First Trust RiverFront Dynamic Asia Pacific ETF, First Trust RiverFront Dynamic Emerging Markets ETF, and First Trust RiverFront Dynamic Developed International ETF of First Trust Exchange-Traded Fund III (Release No. 34-77548; File No. SR-NASDAQ-2015-161; April 6, 2016)

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the JPMorgan Diversified Alternative ETF (Release No. 34-77512; File No. SR-NYSEArca-2016-17; April 4, 2016)

• NYSE Arca: Notice of Filing of Amendment Nos. 1, 2, and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to List and Trade Shares of RiverFront Dynamic Unconstrained Income ETF and RiverFront Dynamic Core Income ETF Under NYSE Arca Equities Rule 8.600 (Release No. 34-77522; File No. SR-NYSEArca-2015-125; April 5, 2016)

• NYSE Arca: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade of Shares of the WBI Tactical Rotation Shares under NYSE Arca Equities Rule 8.600 (Release No. 34-77549; File No. SR-NYSEArca-2016-14; April 7, 2016)

Trading & Trade Reporting:

• Bats BZX: Notice of Filing and Immediate Effectiveness of Proposed Rule Changes in Connection with the Operation of the Exchanges Equity Options Platform (Release No. 34-77509; File No. SR-BatsBZX-2016-02; April 4, 2016); see also Exhibit 5

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes in Connection with the Operation of the Exchanges Equity Options Platform (Release No. 34-77508; File No. SR-BatsEDGX-2016-03; April 4, 2016); see also Exhibit 5

• CBOE: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to AIM Retained Orders (Release No. 34-77511; File No. SR-CBOE-2016-024; April 4, 2016); see also Exhibit 5

• CHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rules of the Exchange Related to Market Makers (Release No. 34-77527; File No. SR-CHX-2016-04; April 5, 2016); see also Exhibit 5

• EDGA: Order Approving 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. 34-77537; File No. SR-EDGA-2016-02; April 6, 2016)

• EDGX: Order Approving 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. 34-77538; File No. SR-EDGX-2016-06; April 6, 2016)

• FINRA: Order Approving a Proposed Rule Change to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information) (Release No. 34-77523; File No. SR-FINRA-2016-006; April 5, 2016)

• FINRA: Order Approving a Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development, Significant Modification of Algorithmic Trading Strategies or Responsible for the Day-to-Day Supervision of Such Activities (Release No. 34-77551; File No. SR-FINRA-2016-007; April 7, 2016)

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7015(g)(1) and 7034 (Release No. 34-77552; File No. SR-NASDAQ-2016-053; April 7, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing of Proposed Rule Change to Rule 6.64 with Respect to Opening Trading in an Options Series (Release No. 34-77539; File No. SR-NYSEArca-2016-49; April 6, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.16 to Specify that Sell Short Post No Preference Orders and Sell Short PNP Blind Orders Priced At or Below the National Best Bid will be Rejected on Arrival During the Short Sale Period (Release No. 34-77520; File No. SR-NYSEArca-2016-51; April 5, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 6.67(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System ("EOC") (Release No. 34-77516; File No. SR-NYSEArca-2016-15; April 5, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System ("EOC") (Release No. 34-77518; File No. SR-NYSEMKT-2016-13; April 5, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing of Proposed Rule Change to Amend Rule 952NY with Respect to Opening Trading in an Options Series (Release No. 34-77540; File No. SR-NYSEMKT-2016-42; April 6, 2016); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1064 (Release No. 34-77545; File No. SR-Phlx-2016-44; April 6, 2016)