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 SEC Notices of exchange rule changes and proposals for the week of September 19 - September 23.

Business Continuity:

• NYSE: Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 and Partial Amendment No. 2, Amending Exchange Rule 49 Regarding the Exchanges: (1) Emergency Powers; (2) Disaster Recovery Plans; and (3) Backup Systems and Mandatory Testing (Release No. 34-78916; File No. SR-NYSE-2016-48; September 23, 2016)
• NYSE MKT: Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 and Partial Amendment No. 2, Amending Exchange Rule 49 Regarding the Exchanges: (1) Emergency Powers; (2) Disaster Recovery Plans; and (3) Backup Systems and Mandatory Testing (Release No. 34-78917; File No. SR-NYSEMKT-2016-68; September 23, 2016)

Clearance & Settlement:

• ICE EU: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the F&O Intraday Risk Management Policy (Release No. 34-78874; File No. SR-ICEEU-2016-011; September 19, 2016)
• OCC: Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporations Proposal to Enter Into a New Credit Facility Agreement (Release No. 34-78893; File No. SR-OCC-2016-803; September 21, 2016)

Corporate Governance:

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add to the Rules of the Exchange the Tenth Amended and Restated Operating Agreement of the New York Stock Exchange LLC (Release No. 34-78914; File No. SR-NYSEMKT-2016-89; September 23, 2016); see also Exhibit 5A; Exhibit 5B

Fees, Fines, Rebates & Claims:

• NYSE: Notice of Filing of Amendment No. 1 to Proposed Rule Change Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees (Release No. 34-78887; File No. SR-NYSE-2016-45; September 20, 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. 34-78892; File No. SR-NYSEArca-2016-128; September 21, 2016); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-78907; File No. SR-CBOE-2016-068; September 22, 2016); see also Exhibit 3, Exhibit 5
• MIAX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee Schedule to Modify the Exchanges Connectivity Fees (Release No. 34-78919; File No. SR-MIAX-2016-32; September 23, 2016)
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaqs Fees at Rule 7014(f) (Release No. 34-78912; File No. SR-NASDAQ-2016-130; September 23, 2016); see also Exhibit 5

Market Data:

• NASDAQ: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Add Nasdaq Rule 7046 (Nasdaq Trading Insights) (Release No. 34-78886; File No. SR-NASDAQ-2016-101; September 20, 2016)

Products:

• NASDAQ: Order Granting Approval of a Proposed Rule Change to Amend Nasdaq Rule 5735 to Adopt Generic Listing Standards for Managed Fund Shares (Release No. 34-78918; File No. SR-NASDAQ-2016-104; September 23, 2016)
• NASDAQ: Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III (Release No. 34-78913; File No. SR-NASDAQ-2016-002; September 23, 2016)

Trading & Trade Reporting:

• NASDAQ: Notice of Filing of Proposed Rule Change to Amend Nasdaq Rules 4702 and 4703 (Release No. 34-78908; File No. SR-NASDAQ-2016-111; September 22, 2016); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing of Proposed Rule Change to Amend BX Rules 4702 and 4703 (Release No. 34-78909; File No. SR-BX-2016-046; September 22, 2016); see also Exhibit 5
• NYSE Arca: Order Approving Proposed Rule Changes to Provide for the Rejection of Certain Electronic Complex Orders (Release No. 34-78888; File Nos. SR-NYSEArca-2016-109, SR-NYSEMKT-2016-73; September 20, 2016)
• CBOE: Notice of Filing of a Proposed Rule Change Relating to SPX Combo Orders (Release No. 34-78885; File No. SR-CBOE-2016-064; September 20, 2016); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Correct Rule 3.6A (Release No. 34-78915; File No. SR-CBOE-2016-067; September 23, 2016)
• FINRA: Order Granting Approval of Proposed Rule Change Relating to TRACE Reporting and Dissemination of CMO Transactions (Release No. 34-78925; File No. SR-FINRA-2016-023; September 23, 2016)
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity and Allow the Exchange to Take Prompt Action (Release No. 34-78920; File No. SR-ISE-2016-21; September 23, 2016); see also Exhibit 5