Weekly Roundup of Exchange Rules by Category

The SEC announced new SRO rules and rule proposals. Click on the links to view the SEC notices of exchange rule changes and proposals for the week of June 13 – June 17.

Clearance & Settlement:

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Clarifying Amendments To and Remove Obsolete Language From Rules 1053 and 1056 (Release No. 34-78091; File No. SR-Phlx-2016-41; June 16, 2016); see also Exhibit 5

Corporate Governance:

• FINRA: Order Approving Proposed Rule Change Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council (Release No. 34-78094; File No. SR-FINRA-2016-014; June 17, 2016)

Fees, Fines, Rebates & Claims:

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Equity Options Platform (Release No. 34-78061; File No. SR-BatsBZX-2016-22; June 14, 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. 34-78062; File No. SR-BatsEDGX-2016-21; June 14, 2016); see also Exhibit 5
• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule (Release No. 34-78090; File No. SR-C2-2016-008; June 16, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services (Release No. 34-78065; File No. SR-NYSEArca-2016-85; June 14, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule (Release No. 34-78076; File No. SR-NYSEARCA-2016-86; June 15, 2016); see also Exhibit 5

Products:

• Bats BZX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Rule 14.11, Managed Fund Shares, to List and Trade Shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust (Release No. 34-78079; File No. SR-BatsBZX-2016-09; June 15, 2016)
• NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the PowerShares Variable Rate Investment Grade Portfolio, a series of the PowerShares Actively Managed Exchange-Traded Fund Trust (Release No. 34-78063; File No. SR-NASDAQ-2016-056; June 14, 2016)
• NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Mortgage REIT ETF of First Trust Exchange-Traded Fund VIII (Release No. 34-78078; File No. SR-NASDAQ-2016-064; June 15, 2016)
• NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade Shares of the Global Currency Gold Fund under NYSE Arca Equities Rule 8.201 (Release No. 34-78075; File No. SR-NYSEArca-2016-84; June 15, 2016)

Trading & Trade Reporting:

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program (Release No. 34-78052; File No. SR-BatsEDGX-2016-22; June 13, 2016); see also Exhibit 5
• FINRA: Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval to a Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market, as Modified by Amendment Nos. 1, 2, and 3 (Release No. 34-78081; File No. SR-FINRA-2015-036; June 15, 2016); see also Exhibit 4 and Exhibit 5
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 510 to Extend the Penny Pilot Program until December 31, 2016 (Release No. 34-78080; File No. SR-MIAX-2016-16; June 15, 2016)
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7018(a) and 7014(h) (Release No. 34-78089; File No. SR-NASDAQ-2016-083; June 16, 2016); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a) (Release No. 34-78064; File No. SR-BX-2016-029; June 14, 2016); see also Exhibit 5
• NYSE: Notice of Filing of Proposed Rule Change Amending NYSE Rule 6A to Exclude the Physical Area Within Fully Enclosed Telephone Booths Located in 18 Broad Street From the Definition of Trading Floor (Release No. 34-78057; File No. SR-NYSE-2016-31; June 13, 2016); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted (Release No. 34-78060; File No. SR-Phlx-2016-47; June 14, 2016)