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 14 – November 18.

Clearance & Settlement

• DTC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Settlement Service Guide and Distributions Guide Relating to the Anticipated U.S. Market Transition to a Shortened Settlement Cycle (Release No. 34-79304; File No. SR-DTC-2016-013; November 14, 2016); see also Exhibit 5
• DTC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Settlement Service Guide With Respect to Settlement Instructions Provided to DTC by Matching Utilities (Release No. 34-79297; File No. SR-DTC-2016-012; November 14, 2016); see also Exhibit 5
• ICC: Notice of Filing of Proposed Rule Change to Amend the ICE Clear Credit Clearing Rules (Release No. 34-79324; File No. SR-ICC-2016-013; November 16, 2016)

Fees, Fines, Rebates & Claims

• 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. 34-79308; File No. SR-BOX-2016-52; November 14, 2016); see also Exhibit 5
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-79301; File No. SR-MIAX-2016-42; November 14, 2016); see also Exhibit 5
• NYSE: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Change, as Modified by Amendment Nos. 1 and 2, Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees (Release No. 34-79316; File No. SR-NYSE-2016-45; November 15, 2016)
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades to Lower the Enterprise Fee (Release No. 34-79313; File No. SR-NYSE-2016-74; November 15, 2016)
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Change Amending the Fees for NYSE MKT BBO and NYSE MKT Trades to Lower the Enterprise Fee (Release No. 34-79314; File No. SR-NYSEMKT-2016-101; November 15, 2016)
• NASDAQ: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Related to the Payment of a Credit by Execution Access, LLC Based on Volume Thresholds Met on the NASDAQ Options Market (Release No. 34-79317; File No. SR-NASDAQ-2016-121; November 15, 2016)

Products

• NYSE Arca: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Introducing NYSE OptX (Release No. 34-79327; File No. SR-NYSEArca-2016-143; November 16, 2016)
• NYSE MKT: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Introducing NYSE OptX (Release No. 34-79328; File No. SR-NYSEMKT-2016-102; November 16, 2016)

Trading & Trade Reporting

• 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. 34-79312; File No. SR-BatsBZX-2016-75; November 15, 2016); see also Exhibit 5
• Bats EDGX: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to the Exchange's Equity Options Platform to Adopt a Price Improvement Auction, the Bats Auction Mechanism (Release No. 34-79339; File No. SR-BatsEDGX-2016-41; November 17, 2016)
• C2: Notice of Filing of a Proposed Rule Change Relating to Opening of Series for Trading on the Exchange (Release No. 34-79315; File No. SR-C2-2016-021; November 15, 2016); see also Exhibit 5
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 605 Market Maker Orders (Release No. 34-79331; File No. SR-MIAX-2016-43; November 16, 2016); see also Exhibit 5
• MSRB: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price (Release No. 34-79347; File No. SR-MSRB-2016-12; November 17, 2016); see also Exhibit 5 and Exhibit 4
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Limit Order Protection for members accessing the Nasdaq Market Center (Release No. 34-79330; File No. SR-NASDAQ-2016-155; November 16, 2016); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Limit Order Protection (Release No. 34-79329; File No. SR-BX-2016-058; November 16, 2016); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Limit Order Protection (Release No. 34-79326; File No. SR-Phlx-2016-113; November 16, 2016); see also Exhibit 5
• Phlx: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a New Exception in Exchange Rule 1000(f) for Sub-MPV Split-Price Orders (Release No. 34-79345; File No. SR-Phlx-2016-82; November 17, 2016)

Market Data

• NMS: Order Approving the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-79318; File No. 4-698; November 15, 2016); see also Exhibit A, Exhibit B

Miscellaneous

• Bats BYX: Notice of Filing and Immediate Effectiveness of an Amendment to Rule 8.11, Effective Date of Judgement and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information (Release No. 34-79341; File No. SR-BatsBYX-2016-32; November 17, 2016); see also Exhibit 5
• Bats BZX: Notice of Filing and Immediate Effectiveness of an Amendment to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information (Release No. 34-79342; File No. SR-BatsBZX-2016-73; November 17, 2016); see also Exhibit 5
• Bats EDGA: Notice of Filing and Immediate Effectiveness of an Amendment to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information (Release No. 34-79343; File No. SR-BatsEDGA-2016-27; November 17, 2016); see also Exhibit 5
• Bats EDGX: Notice of Filing and Immediate Effectiveness of an Amendment to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information (Release No. 34-79344; File No. SR-BatsEDGX-2016-64; November 17, 2016); see also Exhibit 5
• FINRA: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Certain Fixed Income Securities (Release No. 34-79346; File No. SR-FINRA-2016-032; November 17, 2016)
• FINRA: Order Approving 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. 34-79296; File No. SR-FINRA-2016-029; November 14, 2016)
• ISE Mercury: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Non-Controversial and Technical Changes to Exchange Rules (Release No. 34-79323; File No. SR-ISEMercury-2016-20; November 16, 2016); see also Exhibit 5
• MSRB: Notice of Filing of a Proposed Rule Change to Extend the MSRBs Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules (Release No. 34-79295; File No. SR-MSRB-2016-15; November 14, 2016); see also Exhibit 5
• Phlx: Order Granting Approval of Proposed Rule Change to Delete Outdated or Unnecessary Rule Language in Phlx Rule 1020 (Release No. 34-79322; File No. SR-Phlx-2016-97; November 16, 2016)