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 May 9 – May 13.

Clearance & Settlement:

• ICE EU: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Accounts Categories for Positions of Clearing Member Affiliates (Release No. 34-77809; File No. SR-ICEEU-2016-006; May 11, 2016)

Corporate Governance:

• ISE: Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent (Release No. 34-77794; File No. SR-ISE-2016-11; May 10, 2016); see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G

• ISE Gemini: Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent (Release No. 34-77795; File No. SR-ISEGemini-2016-05; May 10, 2016); see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G

• ISE Mercury: Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent (Release No. 34-77796; File No. SR-ISEMercury-2016-10; May 10, 2016); see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G

• NYSE: Order Approving 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. 34-77782; File Nos. SR-NYSE-2016-14, SR-NYSEArca-2016-25, SR-NYSEMKT-2016-20; May 6, 2016)

Fees, Fines, Rebates & Claims:

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees (Release No. 34-77789; File No. SR-BatsBZX-2016-12; May 10, 2016); see also Exhibit 5

• Bats 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. 34-77813; File No. SR-BatsEDGX-2016-15; May 11, 2016); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule (Release No. 34-77822; File No. SR-CBOE-2016-043; May 12, 2016); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees (Release No. 34-77821; File No. SR-ISE-2016-13; May 12, 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. 34-77814; File No. SR-NYSEMKT-2016-50; May 11, 2016); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Customer Rebates (Release No. 34-77811; File No. SR-Phlx-2016-57; May 11, 2016); see also Exhibit 5

Trading & Trade Reporting:

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 1.27(a) to Implement the Quoting and Trading Provisions of the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-77793; File No. SR-BatsBYX-2016-07; May 10, 2016); see also Exhibit 5

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Rule 11.13, Order Execution and Routing, to Delete the IOCM and ICMT Routing Options (Release No. 34-77790; File No. SR-BatsBYX-2016-06; May 10, 2016); see also Exhibit 5A, Exhibit 5B

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13, Order Execution and Routing, to Delete References to the TRIM3 Routing Option (Release No. 34-77797; File No. SR-BatsBZX-2016-13; May 10, 2016); see also Exhibit 5A, Exhibit 5B

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Subparagraph (5) to Rule 21.1(h) Modifying the Operation of Orders Subject to the Display Price Sliding Process when a Contra-Side Post Only Order is Received by the Bats BZX Exchange Options Platform (Release No. 34-77818; File No. SR-BatsBZX-2016-16; May 12, 2016); see also Exhibit 5

• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 1.21(a) to Implement the Quoting and Trading Provisions of the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-77792; File No. SR-BatsEDGA-2016-08; May 10, 2016); see also Exhibit 5

• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.11, Routing to Away Trading Centers, to Delete the IOCM and ICMT Routing Options (Release No. 34-77810; File No. SR-BatsEDGA-2016-07; May 11, 2016); see also Exhibit 5A, Exhibit 5B

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 1.22(a) to Implement the Quoting and Trading Provisions of the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-77791; File No. SR-BatsEDGX-2016-14; May 10, 2016); see also Exhibit 5

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Description of Price Improving Orders Under Subparagraph (6) to Rule 21.1(d) and Add Subparagraph (4) to Rule 21.1(h) Modifying the Operation of Orders Subject to the Display Price Sliding Process when a Contra-Side Post Only Order is Received by the Bats EDGX Exchange Options Platform (Release No. 34-77819; File No. SR-BatsEDGX-2016-17; May 12, 2016); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Split-Price Priority (Release No. 34-77823; File No. SR-CBOE-2016-034; May 12, 2016)

• FINRA: Order Approving a Proposed Rule Change to Adopt FINRA Rule 4554, Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks (Release No. 34-77798; File No. SR-FINRA-2016-010; May 10, 2016)

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 612, Aggregate Risk Manager ("ARM") (Release No. 34-77817; File No. SR-MIAX-2016-10; May 12, 2016); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Limit Up-Limit Down Pricing Program Under Rule 7014 (Release No. 34-77800; File No. SR-NASDAQ-2016-065; May 10, 2016); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Maximum Number of Times an Order on BX May Be Updated Before the System Cancels the Order (Release No. 34-77799; File No. SR-BX-2016-024; May 10, 2016); see also Exhibit 5

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSE Arca Equities Rule 7.31P(h) to Add a New Discretionary Pegged Order (Release No. 34-77820; File No. SR-NYSEArca-2016-44; May 12, 2016)

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 98 - Equities (Release No. 34-77808; File No. SR-NYSEMKT-2016-51; May 11, 2016); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Maximum Number of Times an Order on PSX May Be Updated Before the System Cancels the Order (Release No. 34-77801; File No. SR-Phlx-2016-55; May 10, 2016); see also Exhibit 5