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 November 1 – November 4.

Clearance & Settlement

• ICC: Order Approving Proposed Rule Change to Provide for the Clearance of Additional Credit Default Swap Contracts (Release No. 34-79197; File No. SR-ICC-2016-012; October 31, 2016)

• OCC: Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporations Margin Coverage During Times of Increase Volatility (Release No. 34-79212; File No. SR-OCC-2016-013; November 1, 2016)

Fees, Fines, Rebates & Claims

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-79198; File No. SR-MIAX-2016-37; October 31, 2016); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Institute a New Fee for the Distribution of Data (Release No. 34-79228; File No. SR-NASDAQ-2016-144; November 3, 2016); see also Exhibit 5

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List (Release No. 34-79210; File No. SR-NYSE-2016-68; November 1, 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 Effective November 1, 2016 (Release No. 34-79209; File No. SR-NYSE Arca-2016-138; November 1, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Concerning Payment of Compensation and Rebates, and Research Analyst Attestation Requirements in Order to Harmonize with Certain FINRA Rules and Make Other Conforming Changes (Release No. 34-79231; File No. SR-NYSEMKT-2016-90; November 3, 2016); see also Exhibit 5

Products

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Supplemental Competitive Liquidity Provider Program (Release No. 34-79222; File No. SR-BatsBZX-2016-71; November 2, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the ForceShares Daily 4X US Market Futures Long Fund and ForceShares Daily 4X US Market Futures Short Fund under Commentary .02 to NYSE Arca Equities Rule 8.200 (Release No. 34-79201; File No. SR-NYSEArca-2016-120; October 31, 2016)

• NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Direxion Daily Municipal Bond Taxable Bear 1X Fund under NYSE Arca Equities Rule 5.2(j)(3) (Release No. 34-79211; File No. SR-NYSEArca-2016-100; November 1, 2016)

Trading & Trade Reporting

• CHX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt the CHX Liquidity Taking Access Delay (Release No. 34-79216; File No. SR-CHX-2016-16; November 1, 2016)

• DTC: Notice of Filing of and Extension of Review Period of Advance Notice Relating to Processing of Transactions in Money Market Instruments (Release No. 34-79224; File No. SR-DTC-2016-802; November 3, 2016); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 to Rule 6.91 (Release No. 34-79214; File No. SR-NYSEArca-2016-139; November 1, 2016); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 to Rule 980NY (Release No. 34-79213; File No. SR-NYSEMKT-2016-98; November 1, 2016)

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 1079 Concerning the Process of Initiating a FLEX Transaction and Determining the Best Bid or Offer (Release No. 34-79221; File No. SR-Phlx-2016-107; November 2, 2016); see also Exhibit 5

Corporate Governance

• MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum (Release No. 34-79225; File No. SR-MSRB-2016-13; November 3, 2016); see also Exhibit 5

Licensing & Registration

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BYX Rule, 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification (Release No. 34-79233; File No. SR-BatsBYX-2016-28; November 3, 2016); see also Exhibit 5

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BZX Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification (Release No. 34-79229; File No. SR-BatsBZX-2016-67; November 3, 2016); see also Exhibit 5

• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend EDGA Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification (Release No. 34-79234; File No. SR-BatsEDGA-2016-23; November 3, 2016); see also Exhibit 5

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend EDGX Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification (Release No. 34-79236; File No. SR-BatsEDGX-2016-59; November 3, 2016); see also Exhibit 5

Miscellaneous

• FINRA: Notice of Filing of a Proposed Rule Change to Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults) (Release No. 34-79215; File No. SR-FINRA-2016-039; November 1, 2016)

• ICC: Order Approving Proposed Rule Change to Revise the ICC Risk Management Model Description Document and the ICC Risk Management Framework (Release No. 34-79220; File No. SR-ICC-2016-010; November 2, 2016)

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add to the Rules of the Exchange the Eleventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC (Release No. 34-79232; File No. SR-NYSEMKT-2016-96; November 3, 2016); see also Exhibit 5A, Exhibit 5B