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 August 8 – August 12.

Clearance & Settlement:

• DTC: Notice of Filing of Proposed Rule Change Regarding the Implementation of Functionality to Submit a Cover of Protect on Behalf of Another Participant and the Removal of the Option to Cover of Protect Directly with Agent (Release No. 34-78520; File No. SR-DTC-2016-005; August 9, 2016); see also Exhibit 5

• ICC: Order Approving Proposed Rule Change to Revise the ICC End-of-Day Price Discovery Policies and Procedures (Release No. 34-78501; File No. SR-ICC-2016-007; August 8, 2016)

Corporate Governance:

• 17d-2: Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., BOX Options Exchange LLC, Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, Investors Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ BX, Inc., NASDAQ PHLX, Inc., National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. (Release No. 34-78552; File No. 4-618; August 11, 2016)

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 24.6 (Release No. 34-78513; File No. SR-CBOE-2016-058; August 9, 2016)

• FINRA: Notice of Filing of a Proposed Rule Change Amending Rule 12504 of the Code of Arbitration Procedure for Customer Disputes and Rule 13504 of the Code of Arbitration Procedure for Industry Disputes Relating to Motions to Dismiss in Arbitration (Release No. 34-78553; File No. SR-FINRA-2016-030; August 11, 2016)

• FINRA: Notice of Filing of a Proposed Rule Change Amending the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Require All Parties Other Than Pro Se Customers to File and Serve Pleadings and Documents Through the FINRA Office of Dispute Resolution's Party Portal and to Permit Mediation Parties to Use the Portal (Release No. 34-78549; File No. SR-FINRA-2016-029; August 11, 2016)

• FINRA: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitration Procedure for Industry Disputes to Permit Award Offsets in Arbitration, as Modified by Amendment No. 1 (Release No. 34-78557; File No. SR-FINRA-2016-015; August 11, 2016)

• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 9.218 to Specify the List of Violations Eligible for Disposition Under IEXs Minor Rule Violation Plan. (Release No. 34-78502; File No. SR-IEX-2016-10; August 8, 2016)

Fees, Fines, Rebates & Claims:

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees (Release No. 34-78542; File No. SR-BatsBYX-2016-20; August 11, 2016)

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchanges Options Platform (Release No. 34-78517; File No. SR-BatsBZX-2016-44; August 9, 2016); see also Exhibit 5

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees (Release No. 34-78543; File No. SR-BatsBZX-2016-45; August 11, 2016)

• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees (Release No. 34-78536; File No. SR-BatsEDGA-2016-18; August 10, 2016); see also Exhibit 5

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees (Release No. 34-78535; File No. SR-BatsEDGX-2016-42; August 10, 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. 34-78514; File No. SR-BOX-2016-38; August 9, 2016); see also Exhibit 5

• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule (Release No. 34-78508; File No. SR-C2-2016-016; August 9, 2016); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-78534; File No. SR-CBOE-2016-060; August 10, 2016); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to COPS (Release No. 34-78554; File No. SR-CBOE-2016-059; August 11, 2016)

• CHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update or Adopt Various Fees for Services provided by the Financial Industry Regulatory Authority (Release No. 34-78503; File No. SR-CHX-2016-13; August 8, 2016); see also Exhibit 5

• CHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Continuing Education Fees (Release No. 34-78504; File No. SR-CHX-2016-14; August 8, 2016); see also Exhibit 5

• DTC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add a Participants Fund Maintenance Fee (Release No. 34-78530; File No. SR-DTC-2016-006; August 10, 2016); see also Exhibit 5

• FICC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add a Clearing Fund Maintenance Fee (Release No. 34-78529; File No. SR-FICC-2016-004; August 10, 2016); see also Exhibit 5

• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction and Regulatory Fees (Release No. 34-78550; File No. SR-IEX-2016-09; August 11, 2016)

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-78505; File No. SR-MIAX-2016-23; August 8, 2016); see also Exhibit 5

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-78519; File No. SR-MIAX-2016-21; August 9, 2016); see also Exhibit 5

• NSCC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add a Clearing Fund Maintenance Fee (Release No. 34-78525; File No. SR-NSCC-2016-002; August 9, 2016); see also Exhibit 5

• NYSE: Notice of Filing of Proposed Rule Change Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees (Release No. 34-78556; File No. SR-NYSE-2016-45; August 11, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Related to Tier 1 and Cross Asset Tier 2 Fees and Credits for Orders Executed on the Exchange, and Eliminate the Routable Retail Order Tier (Release No. 34-78545; File No. SR-NYSEArca-2016-111; August 11, 2016)

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE Amex Options Fee Schedule (Release No. 34-78548; File No. SR-NYSEMKT-2016-74; August 11, 2016)

• OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporations Schedule of Fees (Release No. 34-78526; File No. SR-OCC-2016-008; August 10, 2016); see also Exhibit 5

Market Data:

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 19 to Specify in Exchange Rules the Exchanges Use of Data Feeds from Investors Exchange, LLC for Order Handling and Execution, Order Routing, and Regulatory Compliance (Release No. 34-78498; File No. SR-NYSE-2016-52; August 8, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify in Exchange's Rules the Exchange's Use of Data Feeds from Investors' Exchange, LLC for Order Handling and Execution, Order Routing, and Regulatory Compliance (Release No. 34-78499; File No. SR-NYSEArca-2016-106; August 8, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE MKT Rule 19 – Equities to Specify in Exchange Rules the Exchanges Use of Data Feeds from Investors Exchange, LLC for Order Handling and Execution, Order Routing, and Regulatory Compliance (Release No. 34-78500; File No. SR-NYSEMKT-2016-72; August 8, 2016); see also Exhibit 5

Products:

• CBOE: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to List Options that Overlie the FTSE Developed Europe Index and the FTSE Emerging Index, to Raise the Comprehensive Surveillance Agreement Percentage Applicable to Certain Index Options, and to Amend the Maintenance Listing Criteria Applicable to Certain Index Options (Release No. 34-78511; File No. SR-CBOE-2016-049; August 9, 2016)

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 3 of NYSE Arca Equities Rule 8 to Extend the Effectiveness of the Exchange Traded Product Incentive Program (Release No. 34-78497; File No. SR-NYSEArca-2016-110; August 8, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect a Change in the Permitted Size of a Basket Applicable to Shares of ETFS Physical Silver Shares Issued by the ETFS Silver Trust. (Release No. 34-78521; File No. SR-NYSEArca-2016-108; August 9, 2016)

• NYSE Arca: Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-78523; File No. SR-NYSEArca-2016-107; August 9, 2016)

• NASDAQ: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade the Shares of the VanEck Vectors Long/Flat Commodity ETF (Release No. 34-78533; File No. SR-NASDAQ-2016-086; August 10, 2016)

Trading & Trade Reporting:

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Closing Contingency Procedure (Release No. 34-78527; File No. SR-BatsBZX-2016-47; August 10, 2016); see also Exhibit 5

• CBOE: Order Approving a Proposed Rule Change to Expand the Nonstandard Expirations Pilot Program to Include Monday Expirations (Release No. 34-78531; File No. SR-CBOE-2016-046; August 10, 2016)

• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.190(g) Related to Discretionary Peg Orders (Release No. 34-78510; File No. SR-IEX-2016-11; August 9, 2016); see also Exhibit 5

• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.190(f) to Make Correcting and Clarifying Changes (Release No. 34-78509; File No. SR-IEX-2016-08; August 9, 2016); see also Exhibit 5

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 517 (Release No. 34-78547; File No. SR-MIAX-2016-24; August 11, 2016)

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123D Relating to When a DMM may Reopen a Security Electronically (Release No. 34-78512; File No. SR-NYSE-2016-53; August 9, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing of Proposed Rule Change Amending Rule 6.91(b) to Provide for the Rejection of Certain Electronic Complex Orders (Release No. 34-78546; File No. SR-NYSEArca-2016-109; August 11, 2016)

• NYSE MKT: Notice of Filing of Proposed Rule Change Amending Rule 980NY(d) to Provide for the Rejection of Certain Electronic Complex Orders (Release No. 34-78544; File No. SR-NYSEMKT-2016-73; August 11, 2016)