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 22 – August 26.

Clearance & Settlement

• OCC: Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporation's Escrow Deposit Program (Release No. 34-78675; File No. SR-OCC-2016-009; August 25, 2016); see also Exhibit 5A, Exhibit 5B

Corporate Governance

• FINRA: Order Approving a Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish "Pay-To-Play" and Related Rules (Release No. 34-78683; File No. SR-FINRA-2015-056; August 25, 2016)

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Text of Current Rule 8313; Amending Rules Relating to the Imposition of Temporary and Current Cease and Desist Orders to Correspond to Recent Amendments by FINRA; and Making Certain Technical and Conforming Changes to Rule 9310 (Release No. 34-78664; File No. SR-NYSE-2016-40; August 24, 2016); see also Exhibit 5

• NYSE: Notice of Filing of Proposed Rule Change Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. (Release No. 34-78661; File No. SR-NYSE-2016-57; August 24, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.3(i)(3) to Amend the Requirements for the Dissemination of News in Compliance with the Exchange's Immediate Release Policy (Release No. 34-78674; File No. SR-NYSEArca-2016-116; August 25, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing of Proposed Rule Change Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. (Release No. 34-78662; File No. SR-NYSEArca-2016-119; August 24, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing of Proposed Rule Change Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. (Release No. 34-78663; File No. SR-NYSEMKT-2016-80; August 24, 2016); see also Exhibit 5

Fees, Fines, Rebates & Claims

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-78698; File No. SR-CBOE-2016-061; August 26, 2016); see also Exhibit 5

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-78681; File No. SR-MIAX-2016-28; August 25, 2016); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Options Pricing (Release No. 34-78634; File No. SR-NASDAQ-2016-113; August 22, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Schedule of Fees and Charges to Eliminate the Listing Fee in Connection with Exchange Listing of Certain Exchange Traded Products (Release No. 34-78633; File No. SR-NYSEArca-2016-114; August 22, 2016); see also Exhibit 5

• NYSE Arca: 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. 34-78628; File No. SR-NYSEArca-2016-89; August 22, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing of Proposed Change Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees (Release No. 34-78629; File No. SR-NYSEMKT-2016-63; August 22, 2016); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Connectivity Fees at Chapter VIII of the NASDAQ PHLX LLC Pricing Schedule (Release No. 34-78665; File No. SR-Phlx-2016-85; August 24, 2016); see also Exhibit 5

Licensing & Registration

• NSX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Regarding Qualification, Registration and Continuing Education for Persons Associated with Equity Trading Permit Holders, to Add Definitions, Amend Definitions, and to Make Technical, Non-Substantive and Conforming Amendments to Rules (Release No. 34-78676; File No. SR-NSX-2016-07; August 25, 2016); see also Exhibit 5

Market Data

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22, Data Products, to Adopt a New Market Data Product known as BYX Summary Depth (Release No. 34-78631; File No. SR-BatsBYX-2016-21; August 22, 2016)

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22, Data Products, to Adopt a New Market Data Product known as BZX Summary Depth (Release No. 34-78632; File No. SR-BatsBZX-2016-50; August 22, 2016)

• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 13.8, EDGA Book Feeds, to Adopt a New Market Data Product known as EDGA Summary Depth (Release No. 34-78636; File No. SR-BatsEDGA-2016-19; August 22, 2016)

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 13.8, EDGX Book Feeds, to Adopt a New Market Data Product known as EDGX Summary Depth (Release No. 34-78635; File No. SR-BatsEDGX-2016-45; August 22, 2016)

Products

• Bats BZX: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to BZX Rule 14.11(d) to Add the EURO STOXX 50^® Volatility Futures to the Definition of Futures Reference Asset (Release No. 34-78640; File No. SR-BatsBZX-2016-26; August 23, 2016)

• Bats BZX: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust (Release No. 34-78653; File No. SR-BatsBZX-2016-30; August 23, 2016)

• Bats BZX: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to BZX Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the ProShares Crude Oil Strategy ETF (Release No. 34-78643; File No. SR-BatsBZX-2016-34; August 23, 2016)

• Bats BZX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 19.6, Series of Options Contracts Open for Trading, to Allow Wednesday Expirations for SPY Options (Release No. 34-78697; File No. SR-BatsBZX-2016-53; August 26, 2016); see also Exhibit 5

• Bats BZX: Notice of Filing of a Proposed Rule Change to Rule 14.11(c)(4) to List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust (Release No. 34-78666; File No. SR-BatsBZX-2016-48; August 24, 2016)

• Bats EDGX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 19.6, Series of Options Contracts Open for Trading, to Allow Wednesday Expirations for SPY Options (Release No. 34-78696; File No. SR-BatsEDGX-2016-50; August 26, 2016); see also Exhibit 5

• BOX: Order Approving a Proposed Rule Change to Expand the Short Term Option Series Program to Allow Wednesday Expirations for SPY Options (Release No. 34-78668; File No. SR-BOX-2016-28; August 24, 2016)

• CBOE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program to Allow Wednesday Expirations for SPY Options (Release No. 34-78686; File No. SR-CBOE-2016-062; August 25, 2016); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elkhorn Commodity Rotation Strategy ETF of the Elkhorn ETF Trust (Release No. 34-78654; File No. SR-NASDAQ-2016-117; August 23, 2016)

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program (Release No. 34-78695; File No. SR-NASDAQ-2016-122; August 26, 2016); see also Exhibit 5

• NASDAQ: Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF (Release No. 34-78642; File No. SR-NASDAQ-2016-071; August 23, 2016)

• NASDAQ: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the Amplify Dow Theory Forecasts Buy List ETF of Amplify ETF Trust (Release No. 34-78626; File No. SR-NASDAQ-2016-072; August 22, 2016)

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program (Release No. 34-78694; File No. SR-BX-2016-047; August 26, 2016); see also Exhibit 5

• NYSE: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Allowing the Exchange to Trade Pursuant to Unlisted Trading Privileges for Any NMS Stock Listed on Another National Securities Exchange; Establishing Listing and Trading Requirements for Exchange Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform (Release No. 34-78641; File No. SR-NYSE-2016-44; August 23, 2016)

• NYSE Arca: Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the First Trust Horizon Managed Volatility Domestic ETF and the First Trust Horizon Managed Volatility Developed International ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-78644; File No. SR-NYSEArca-2016-87; August 23, 2016)

• NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of the Natixis Seeyond International Minimum Volatility ETF Under NYSE Arca Equities Rule 8.600 (Release No. 34-78627; File No. SR-NYSEArca-2016-67; August 22, 2016)

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program (Release No. 34-78693; File No. SR-Phlx-2016-89; August 26, 2016); see also Exhibit 5

Trading & Trade Reporting

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.8, Order Display and Book Processing (Release No. 34-78630; File No. SR-BatsEDGX-2016-46; August 22, 2016)

• CHX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Handling of Intermarket Sweep Orders (Release No. 34-78684; File No. SR-CHX-2016-15; August 25, 2016); see also Exhibit 5

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Effective Date of SR-FINRA-2016-028 (Release No. 34-78660; File No. SR-FINRA-2016-034; August 24, 2016)

• MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Due Date for Certain Submissions Under Rule G-45 and Provide Guidance on the Application of Rules G-42 and G-44 to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities (Release No. 34-78622; File No. SR-MSRB-2016-11; August 22, 2016); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt Limit Order Protections (Release No. 34-78667; File Nos. SR-BX-2016-037, SR-NASDAQ-2016-067, SR-Phlx-2016-58; August 24, 2016)

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 to Eliminate Orders with a Sell "Plus" and Buy "Minus" Instruction and Retain Orders with a "Buy Minus Zero Plus" Instruction, and Make Conforming Changes to Rules 104, 107B, 123C and 1004 (Release No. 34-78679; File No. SR-NYSE-2016-59; August 25, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13—Equities to Eliminate Orders with a Sell "Plus" and Buy "Minus" Instruction and Retain Orders with a "Buy Minus Zero Plus" Instruction, and Make Conforming Changes to Rules 104—Equities, 07B—Equities, 123C—Equities and 1004—Equities (Release No. 34-78692; File No. SR-NYSEMKT-2016-81; August 26, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.2NY (18A) (Release No. 34-78685; File No. SR-NYSEMKT-2016-77; August 25, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Relating to Pre-Opening Indications and Opening Procedures (Release No. 34-78673; File No. SR-NYSEMKT-2016-79; August 25, 2016); see also Exhibit 5

• Phlx: Notice of Filing of Proposed Rule Change to Delete or Amend Outdated Rule Language (Release No. 34-78680; File No. SR-Phlx-2016-86; August 25, 2016)