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 Notices of exchange rule changes and proposals for the week of July 18 - July 22.

Clearance & Settlement:

• DTC: Order Approving Proposed Rule Change to Establish a Link With Euroclear (Release No. 34-78358; File No. SR-DTC-2016-004; July 19, 2016)
• DTC: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Pursuant to Which DTC Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers (Release No. 34-78379; File No. SR-DTC-2016-003; July 21, 2016)

Corporate Governance:

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a New Rule 346 Prohibiting Association by Member Organizations, Principal Executives, Approved Persons, and Persons Associated with a Member Organization or Control Persons of Member Organizations with Persons Subject to a Statutory Disqualification (Release No. 34-78371; File No. SR-NYSE-2016-43; July 20, 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 as they Apply to the Recently Adopted Step Up Mechanism on its Equity Options Platform (Release No. 34-78369; File No. SR-BatsEDGX-2016-32; July 20, 2016); see also Exhibit 5
• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility (Release No. 34-78390; File No. SR-BOX-2016-33; July 21, 2016); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Affiliated Entities (Release No. 34-78380; File No. SR-NASDAQ-2016-090; July 21, 2016); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Adjustments to Nasdaq’s Options Regulatory Fee (Release No. 34-78360; File No. SR-NASDAQ-2016-096; July 19, 2016); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Affiliated Entities (Release No. 34-78375; File No. SR-BX-2016-034; July 20, 2016); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Adjustments to its Options Regulatory Fee (Release No. 34-78361; File No. SR-BX-2016-043; July 19, 2016); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Regarding Payment of Compensation and Rebates, and Research Analyst Attestation Requirements, Harmonizing with Certain Financial Industry Regulatory Authority, Inc. Rules and Making other Conforming Changes (Release No. 34-78372; File No. SR-NYSE-2016-50; July 20, 2016); see also Exhibit 5
• NYSE: Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE Price List to Reflect the Changes (Release No. 34-78387; File No. SR-NYSE-2016-11; July 21, 2016)
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List (Release No. 34-78378; File No. SR-NYSE-2016-49; July 21, 2016); see also Exhibit 5
• NYSE MKT: Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Change, as Modified by Amendment Nos. 1 and 2, 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. 34-78389; File No. SR-NYSEMKT-2016-15; July 21, 2016)
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule (Release No. 34-78376; File No. SR-NYSEMKT-2016-70; July 21, 2016); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Affiliated Entities (Release No. 34-78382; File No. SR-Phlx-2016-62; July 21, 2016); see also Exhibit 5

Licensing & Registration:

• NYSE Arca: Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rules 2.16(c) and 2.21(i) to Harmonize the Requirement of When An ETP Holder Must File A Uniform Termination Notice for Securities Industry Registration with the Rules of Other Exchanges and FINRA (Release No. 34-78383; File No. SR-NYSEArca-2016-104; July 21, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing of Proposed Rule Change Amending Rules 2.17(c) and 2.23(i) to Harmonize the Requirement of When OTP Holders and OTP Firms Must File A Uniform Termination Notice for Securities Industry Registration with the Rules of Other Exchanges and FINRA (Release No. 34-78381; File No. SR-NYSEArca-2016-103; July 21, 2016); see also Exhibit 5

Products:

• NASDAQ: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Exchange-Traded Managed Funds (Release No. 34-78385; File No. SR-NASDAQ-2016-103; July 21, 2016)
• NASDAQ: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 thereto, to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III (Release No. 34-78384; File No. SR-NASDAQ-2016-002; July 21, 2016)
• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of the Virtus Japan Alpha ETF Under NYSE Arca Equities Rule 8.600 (Release No. 34-78386; File No. SR-NYSEArca-2016-79; July 21, 2016)
• NYSE Arca: Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of PowerShares Government Collateral Pledge Portfolio under NYSE Arca Equities Rule 8.600 (Release No. 34-78373; File No. SR-NYSEArca-2016-97; July 20, 2016)

Trading & Trade Reporting:

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to extend the pilot programs that permit the Exchange to have no minimum size requirement for orders entered into the PIP and COPIP (Release No. 34-78353; File No. SR-BOX-2016-32; July 18, 2016); see also Exhibit 5
• FINRA: Notice of Filing of a Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine (Release No. 34-78359; File No. SR-FINRA-2016-027; July 19, 2016); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7018 (Release No. 34-78354; File No. SR-NASDAQ-2016-102; July 19, 2016); see also Exhibit 5
• NYSE: Notice of Withdrawal of Proposed Rule Change Amending the Definition of "Block" for Purposes of Rule 72(d) and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 (Release No. 34-78368; File No. SR-NYSE-2016-30; July 20, 2016)
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 1.1 to Establish an Official Closing Price for Exchange-Listed Securities if the Exchange is Unable to Conduct a Closing Auction (Release No. 34-78357; File No. SR-NYSEArca-2016-94; July 19, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rules 1.1(s) and 7.35P(a)(10)(A) to Extend the Period for the Current Trading Halt Auction Collar Price Collar Thresholds (Release No. 34-78374; File No. SR-NYSEArca-2016-98; July 20, 2016); see also Exhibit 5
• NYSE MKT: Notice of Withdrawal of Proposed Rule Change Amending the Definition of "Block" for Purposes of Rule 72(d) - Equities and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 - Equities (Release No. 34-78367; File No. SR-NYSEMKT-2016-49; July 20, 2016)
• NSX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.26 to Implement the Quoting and Trading Provisions of the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-78391; File No. SR-NSX-2016-05; July 21, 2016); see also Exhibit 5