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 12 – December 16.

Fees, Fines, Settlements, Rebates & Claims

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-79548; File No. SR-CBOE-2016-085; December 14, 2016); see also Exhibit 5
• FICC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the MBSD Schedule of Charges Dealer Account Group (Release No. 34-79535; File No. SR-FICC-2016-008; December 13, 2016); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Direct Debit for Market Data Products (Release No. 34-79563; File No. SR-ISE-2016-28; December 15, 2016); see also Exhibit 5
• ISE Gemini: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Direct Debit for Market Data Products (Release No. 34-79562; File No. SR-ISEGemini-2016-20; December 15, 2016); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Distributor Fees for ITTO and BONO Data Feeds (Release No. 34-79556; File No. SR-NASDAQ-2016-167; December 14, 2016); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Chapter XV, Section 2 (Release No. 34-79532; File No. SR-NASDAQ-2016-166; December 12, 2016); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule (Release No. 34-79559; File No. SR-NYSEMKT-2016-115; December 14, 2016); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule (Release No. 34-79558; File No. SR-NYSEMKT-2016-114; December 14, 2016); see also Exhibit 5

Trading & Trade Reporting

• Bats BZX: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Exchange Rule 11.23, Auctions, to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS (Release No. 34-79552; File No. SR-BatsBZX-2016-61; December 14, 2016)
• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats EDGX Exchange, Inc. to Extend Through June 30, 2017, the Penny Pilot Program in Options Classes in Certain Issues (Release No. 34-79526; File No. SR-BatsEDGX-2016-71; December 12, 2016); see also: Exhibit 5
• BOX: Notice of Filing of Proposed Rule Change to Amend Interpretive Material to Rule 7150 (Price Improvement Period "PIP") and Interpretive Material to Rule 7245 (Complex Order Price Improvement Period "COPIP") to Make Permanent the Pilot Programs that Permit the Exchange to Have No Minimum Size Requirement for Orders Entered into the PIP ("PIP Pilot Program") and COPIP ("COPIP Pilot Program") (Release No. 34-79531; File No. SR-BOX-2016-58; December 12, 2016); see also Exhibit 3, Exhibit 5
• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Detail How Complex Orders Will Execute Through the Solicitation Auction Mechanism (Release No. 34-79557; File No. SR-BOX-2016-57; December 14, 2016); see also Exhibit 5
• CBOE: Notice of Filing of a Proposed Rule Change Related to Rules Regarding the Responsibility for Ensuring Compliance with Open Outcry Priority and Allocation Requirements and Trade-Through Prohibitions (Release No. 34-79540; File No. SR-CBOE-2016-082; December 13, 2016)
• C2: Order Approving a Proposed Rule Change Relating to Price Protection Mechanisms and Risk Controls (Release No. 34-79555; File No. SR-C2-2016-020; December 14, 2016)
• ISE: Notice of Filing of Proposed Rule Change to Amend ISE Rule 723 and to Make Pilot Program Permanent (Release No. 34-79530; File No. SR-ISE-2016-29; December 12, 2016); see also Exhibit 3a, Exhibit 3b, Exhibit 5
• ISE Gemini: Notice of Filing of Proposed Rule Change to Amend ISE Gemini Rule 723 and to Make Pilot Program Permanent (Release No. 34-79541; File No. SR-ISEGemini-2016-23; December 13, 2016); see also Exhibit 3, Exhibit 5
• ISE Mercury: Notice of Filing of Proposed Rule Change to Amend ISE Mercury Rule 723 and to Make Pilot Program Permanent (Release No. 34-79539; File No. SR-ISEMercury-2016-25; December 13, 2016); see also Exhibit 3, Exhibit 5
• NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 4702 to Adopt a New Retail Post-Only Order (Release No. 34-79554; File No. SR-NASDAQ-2016-141; December 14, 2016)
• NASDAQ: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility (Release No. 34-79551; File No. SR-NASDAQ-2016-131; December 14, 2016)
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) (Release No. 34-79546; File No. SR-NASDAQ-2016-165; December 14, 2016); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) (Release No. 34-79549; File No. SR-BX-2016-067; December 14, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program that Allows Transactions to Take Place at a Price that is Below $1 Per Option Contract until July 5, 2017 (Release No. 34-79565; File No. SR-NYSEArca-2016-163; December 15, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 6.72 (Release No. 34-79524; File No. SR-NYSEArca-2016-156; December 12, 2016); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program that Allows Transactions to Take Place at a Price that is Below $1 Per Option Contract until July 5, 2017 (Release No. 34-79564; File No. SR-NYSEMKT-2016-116; December 15, 2016); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues (Release No. 34-79525; File No. SR-NYSEMKT-2016-111; December 12, 2016); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3317 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) (Release No. 34-79545; File No. SR-Phlx-2016-118; December 14, 2016); see also Exhibit 5

Products

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade 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. 34-79550; File No. SR-NYSEArca-2016-120; December 14, 2016)
• NYSE MKT: Notice of Withdrawal of 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. 34-79561; File No. SR-NYSEMKT-2016-58; December 15, 2016)

Market Data

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Exchange Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-79534; File No. SR-BatsBYX-2016-37; December 13, 2016); see also Exhibit 5
• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-79533; File No. SR-BatsBZX-2016-82; December 13, 2016); see also Exhibit 5
• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.21(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-79536; File No. SR-BatsEDGA-2016-30; December 13, 2016); see also Exhibit 5
• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.22(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-79537; File No. SR-BatsEDGX-2016-70; December 13, 2016); see also Exhibit 5
• CHX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Website Data Publication Requirements and Clarify Certain Data Reporting Obligations Related to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-79538; File No. SR-CHX-2016-21; December 13, 2016); see also Exhibit 5

Corporate Governance

• DTC: Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, Relating to Clearing Agency Investment Policy (Release No. 34-79528; File Nos. SR-DTC-2016-007, SR-FICC-2016-005, SR-NSCC-2016-003; December 12, 2016)
• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Any Nominee for Director or Sitting Director in Connection with Their Candidacy for or Service On the Companies Board of Directors(Release No. 34-79527; File No. SR-IEX-2016-19; December 12, 2016); see also: Exhibit 5

Miscellaneous

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Move the Website and Vendor Through Which It Sells and Disseminates Open and Close Volume Data on the CBOE (Release No. 34-79560; File No. SR-CBOE-2016-081; December 14, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 10.17 and NYSE Arca Equities Rule 0.15 (Release No. 34-79547; File No. SR-NYSEARCA-2016-161); see also Exhibit 5