Weekly Roundup of Exchange Rules by Category

New SRO rules and rule proposals were announced by the SEC. Click on the links to view the SEC's notices of exchange rule changes and proposals for the week of April 18 – April 22.

Clearance & Settlement:

• FICC: Notice of Filing of Proposed Rule Change Relating to the GCF Repo® Service (Release No. 34-77675; File No. SR-FICC-2016-001; April 21, 2016); see also Exhibit 5

Fees, Fines, Rebates & Claims:

• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule (Release No. 34-77651; File No. SR-C2-2016-004; April 19, 2016); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-77659; File No. SR-CBOE-2016-037; April 20, 2016); see also Exhibit 3, Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Pricing at Chapter XV, Section 2 (Release No. 34-77661; File No. SR-NASDAQ-2016-055; April 20, 2016); see also Exhibit 5

• NYSE: Notice of Filing of Proposed Change Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the Exchanges Price List to Reflect the Changes (Release No. 34-77642; File No. SR-NYSE-2016-11; April 18, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing of Proposed Rule Change Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Reflect the Changes (Release No. 34-77641; File No. SR-NYSEArca-2016-19; April 18, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule (Release No. 34-77658; File No. SR-NYSEMKT-2016-45; April 20, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing of Proposed Rule Change Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Reflect the Changes (Release No. 34-77640; File No. SR-NYSEMKT-2016-15; April 18, 2016); see also Exhibit 5

NMS Plans:

• NMS: Order Approving the Tenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Chicago Stock Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. (Release No. 34-77679; File No. 4-631; April 21, 2016)

Products:

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 14.10 Setting Forth Additional Requirements for the Listing of Securities that are Issued by the Exchange or any of its Affiliates (Release No. 34-77638; File No. SR-BatsBYX-2016-05; April 18, 2016)

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.3 Regarding the Requirements for the Listing of Securities that are Issued by the Exchange or any of its Affiliates (Release No. 34-77639; File No. SR-BatsBZX-2016-08; April 18, 2016)

• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 14.10 Setting Forth Additional Requirements for the Listing of Securities that are Issued by the Exchange or any of its Affiliates (Release No. 34-77637; File No. SR-BatsEDGA-2016-06; April 18, 2016)

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 14.10 Setting Forth Additional Requirements for the Listing of Securities that are Issued by the Exchange or any of its Affiliates (Release No. 34-77636; File No. SR-BatsEDGX-2016-12; April 18, 2016)

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program for the Listing and Trading of Options Settling to the RealVol™ SPY Index ("Index") (Release No. 34-77660; File No. SR-BOX-2016-19; April 20, 2016)

• NYSE: Notice of Filing of Proposed Rule Change Adopting Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopting Listing Fees Specific to Equity Investment Tracking Stocks (Release No. 34-77674; File No. SR-NYSE-2016-22; April 21, 2016); see also Exhibit 5

Trading & Trade Reporting:

• CHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the CHX SNAP Incentive Program (Release No. 34-77652; File No. SR-CHX-2016-05; April 19, 2016); see also Exhibit 5

• NASDAQ: Notice of Designation of Longer Period for Commission Action on 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. 34-77678; File No. SR-NASDAQ-2016-035; April 21, 2016)

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7014 (Release No. 34-77662; File No. SR-NASDAQ-2016-051; April 20, 2016); see also Exhibit 5

• NYSE: Notice of Designation of Longer Period for Commission Action on 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. 34-77677; File No. SR-NYSE-2016-18; April 21, 2016)

• NYSE: Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Procedures for the Allocation of Cages to Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Fee (Release No. 34-77681; File No. SR-NYSE-2016-13; April 21, 2016)

• NYSE Arca: Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Procedures for the Allocation of Cages to Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Fee (Release No. 34-77682; File No. SR-NYSEArca-2016-21; April 21, 2016)

• NYSE MKT: Notice of Designation of Longer Period for Commission Action on 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. 34-77676; File No. SR-NYSEMKT-2016-31; April 21, 2016)

• NYSE MKT: Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Procedures for the Allocation of Cages to Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Fee (Release No. 34-77680; File No. SR-NYSEMKT-2016-17; April 21, 2016)

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rule 606 (Release No. 34-77687; File No. SR-Phlx-2016-48; April 22, 2016); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Obsolete Rules (Release No. 34-77650; File No. SR-Phlx-2016-49; April 19, 2016); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Qualified Contingent Cross Pricing (Release No. 34-77673; File No. SR-Phlx-2016-51; April 21, 2016); see also Exhibit 5