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 December 5 – December 9.

Clearance & Settlement

• DTC: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers (Release No. 34-79488; File No. SR-DTC-2016-003; December 6, 2016)
• ICEEU: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Clearing Rules Regarding German CDS Clearing Members (Release No. 34-79516; File No. SR-ICEEU-2016-014; December 9, 2016); see also Exhibit 5

Fees, Fines, Settlements, 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. 34-79486; File No. SR-BOX-2016-54; December 6, 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 Relating to the Listing and Annual Fees Applicable to Certain Structured Products (Release No. 34-79506; File No. SR-NYSEArca-2016-158; December 8, 2016); see also Exhibit 5
• NASDAQ: Notice of Withdrawal of 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. 34-79492; File No. SR-NASDAQ-2016-121; December 7, 2016)
• BatsEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of the Exchange's Equities Platform (Release No. 34-79501; File No. SR-BatsEDGX-2016-68; December 7, 2016); see also Exhibit 5
• BatsEDGX Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange's Equities Options Platform (Release No. 34-79497; File No. SR-BatsEDGX-2016-69; December 7, 2016); see also Exhibit 5
• BatsBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange's Equity Options Platform (Release No. 34-79496; File No. SR-BatsBZX-2016-83; December 7, 2016); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.04 of the NYSE Listed Company Manual (Release No. 34-79515; File No. SR-NYSE-2016-80; December 9, 2016); see also Exhibit 5

Trading & Trade Reporting

• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-79473; File No. SR-IEX-2016-17; December 6, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.40 to Expand the Risk Limitation Mechanism to All Orders, Including Complex Orders (Release No. 34-79469; File No. SR-NYSEArca-2016-155; December 5, 2016); see also Exhibit 5
• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 11.23, Auctions, to Amend How the Official Auction Prices are Calculated and Add Additional Specificity Regarding the Handling of RHO Orders During an Opening Auction for a BZX Listed Security (Release No. 34-79467; File No. SR-BatsBZX-2016-81; December 5, 2016); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 67-Equities to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-79475; File No. SR-NYSEMKT-2016-113; December 6, 2016); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule to Expand the Risk Limitation Mechanism to All Orders, Including Complex Orders (Release No. 34-79468; File No. SR-NYSEMKT-2016-110; December 5, 2016); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 67 to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-79477; File No. SR-NYSE-2016-83; December 6, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.46 to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-79476; File No. SR-NYSEARCA-2016-159; December 6, 2016); see also Exhibit 5
• CBOE: 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 Opening and Closing Rotations Under the HOSS System (Release No. 34-79520; File No. SR-CBOE-2016-071; December 9, 2016)
• MIAX: Notice of Filing of a Proposed Rule Change to Amend Rule 515A, MIAX Price Improvement Mechanism (PRIME) and PRIME Solicitation Mechanism (Release No. 34-79500; File No. SR-MIAX-2016-46; December 7, 2016); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing of Proposed Rule Change to Amend the PRISM Price Improvement Auction in BX Chapter VI, Section 9 and to Make Pilot Program Permanent (Release No. 34-79465; File No. SR-BX-2016-063; December 5, 2016); see also Exhibit 3, Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide that the Exchange Would Not Be Required to Report to The Securities Information Processor an Official Closing Price, as Defined under Rule 123C(1)(e)(i), as an "M" Sale Condition (Release No. 34-79478; File No. SR-NYSE-2016-75; December 6, 2016)
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide that the Exchange Would Not Be Required to Report to The Securities Information Processor an Official Closing Price, as Defined under Rule 123C(1)(e)(i) – Equities, as an "M" Sale Condition (Release No. 34-79479; File No. SR-NYSEMKT-2016-104; December 6, 2016)
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program (Release No. 34-79493; File No. SR-NYSE-2016-82; December 7, 2016); see also Exhibit 5
• CBOE: Notice of Filing of a Proposed Rule Change to Amend Exchange Rules Related to the Automated Improvement Mechanism (Release No. 34-79499; File No. SR-CBOE-2016-084; December 7, 2016); see also Exhibit 3
• FICC: Notice of Filing of Proposed Rule Change to Implement a Change to the Methodology Used in the MBSD VaR Model (Release No. 34-79491; File No. SR-FICC-2016-007; December 7, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program (Release No. 34-79495; File No. SR-NYSEARCA-2016-157; December 7, 2016)
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program (Release No. 34-79509; File No. SR-NYSEMKT-2016-112; December 8, 2016); see also Exhibit 5
• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats BZX Exchange, Inc. to Extend Through June 30, 2017, the Penny Pilot Program in Options Classes in Certain Issues (Release No. 34-79523; File No. SR-BatsBZX-2016-84; December 9, 2016); see also Exhibit 5

Products

• NYSE Arca: Notice of Withdrawal of a Proposed Rule Change Relating to Listing and Trading of Shares of the BlackRock Government Collateral Pledge Unit under NYSE Arca Equities Rule 8.600 (Release No. 34-79498; File No. SR-NYSEArca-2016-63; December 7, 2016)
• NYSE Arca: Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, Relating to the Listing and Trading of Shares of the Long Dollar Gold Trust under NYSE Arca Equities Rule 8.201 (Release No. 34-79518; File No. SR-NYSEArca-2016-84; December 9, 2016)
• NYSEMKT: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund (Release No. 34-79510; File No. SR-NYSEMKT-2016-58; December 8, 2016)

Business Continuity

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing Business Continuity and Disaster Recovery Planning (Release No. 34-79466; File No. SR-NYSEArca-2016-154; December 5, 2016); see also Exhibit 5

Corporate Governance

• CHX: Notice of Filing of Proposed Rule Change in Connection with the Proposed Transaction involving CHX Holdings, Inc. and North America Casin Holdings, Inc. (Release No. 34-79474; File No. SR-CHX-2016-20; December 6, 2016); see also Exhibit 5A; Exhibit 5B; Exhibit 5C; Exhibit 5D; Exhibit 5E; Exhibit 5F; Exhibit 5G; Exhibit 5H; Exhibit 5I; Exhibit 5J; Exhibit 5K

Miscellaneous

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend the Titles of Equities Rule 7015 and Options Chapter XV, Section 3, and to Make Related Changes (Release No. 34-79485; File No. SR-BX-2016-066; December 6, 2016); see also Exhibit 5
• CFE: Notice of Filing of a Proposed Rule Change Regarding Attempted Fraudulent Acts (Release No. 34-79514; File No. SR-CFE-2016-004; December 9, 2016); see also Exhibit 4
• FINRA: Order Approving Proposed Rule Change to Amend Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes Relating to Broadening Chairperson Eligibility in Arbitration (Release No. 34-79455; File No. SR-FINRA-2016-033; December 2, 2016)