Weekly Roundup of Exchange Rules by Category

Click on the links below to view SEC notices of exchange rule changes and proposals for the week of January 2 - January 6.

Clearance & Settlement

• NSCC: Order Granting Approval of Proposed Rule Change to Accommodate Shorter Standard Settlement Cycle and Make Other Changes (Release No. 34-79734; File No. SR-NSCC-2016-007; January 4, 2017)
• NYSE Arca: Order Granting Approval of a Proposed Rule Change to Conform to Proposed Amendment to Rule 15c6-1(a) under the Securities Exchange Act of 1934 to Shorten the Standard Settlement Cycle from Three Business Days after the Trade Date ("T+3") to Two Business Days after the Trade Date ("T+2") (Release No. 34-79732; File No. SR-NYSEArca-2016-145; January 4, 2017)

Fees, Fines, Rebates & Claims

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-79745; File No. SR-CBOE-2016-094; January 5, 2017); see also Exhibit 5
• NSCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust Fees Related to Insurance and Retirement Processing Services (Release No. 34-79739; File No. SR-NSCC-2016-009; January 4, 2017); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Price List to Modify the Fees Related to Four Bundles of Co-Location Services in Connection with the Exchange's Co-Location Services (Release No. 34-79715; File No. SR-NYSE-2016-91; December 30, 2016); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchanges Price List Related to Co-location Services to Increase LCN and IP Network Fees and Add a Description of Access to Trading and Execution Services and Connectivity to Included Data Products (Release No. 34-79730; File No. SR-NYSE-2016-92; January 4, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Modify the Fees Related to Four Bundles of Co-Location Services in Connection with the Exchange's Co-Location Services (Release No. 34-79716; File No. SR-NYSEArca-2016-168; December 30, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges Related to Co-location Services to Increase LCN and IP Network Fees and Add a Description of Access to Trading and Execution Services and Connectivity to Included Data Products (Release No. 34-79729; File No. SR-NYSEArca-2016-172; January 4, 2017); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Modify the Fees Related to Four Bundles of Co-Location Services in Connection with the Exchange's Co-Location Services (Release No. 34-79717; File No. SR-NYSEMKT-2016-123; December 30, 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. 34-79737; File No. SR-NYSEMKT-2016-127; January 4, 2017); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule Related to Co-location Services to Increase LCN and IP Network Fees and Add a Description of Access to Trading and Execution Services and Connectivity to Included Data Products (Release No. 34-79728; File No. SR-NYSEMKT-2016-126; January 4, 2017); see also Exhibit 5

Products

• Bats BZX: 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 Amendment No. 1, to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust (Release No. 34-79725; File No. SR-BatsBZX-2016-30; January 4, 2017)
• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust under NYSE Arca Equities Rule 8.201 (Release No. 34-79726; File No. SR-NYSEArca-2016-101; January 3, 2017)

Trading & Trade Reporting

• Bats EDGX: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Related to the Exchange's Equity Options Platform to Adopt a Price Improvement Auction, the Bats Auction Mechanism (Release No. 34-79718; File No. SR-BatsEDGX-2016-41; January 3, 2017)
• C2: Order Approving a Proposed Rule Change Relating to Opening and Closing Rotations for Series Trading on the Exchange (Release No. 34-79743; File No. SR-C2-2016-021; January 5, 2017)
• ISE: Order Approving a Proposed Rule Change to Modify the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism, and Price Improvement Mechanism (Release No. 34-79733; File No. SR-ISE-2016-26; January 4, 2017)
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules to Extend a Pilot Program (Release No. 34-79721; File No. SR-ISE-2016-32; January 3, 2017); see also Exhibit 5
• ISE Gemini: Order Approving a Proposed Rule Change to Modify the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism, and Price Improvement Mechanism (Release No. 34-79735; File No. SR-ISEGemini-2016-14; January 4, 2017)
• ISE Gemini: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules to Extend a Pilot Program (Release No. 34-79741; File No. SR-ISEGemini-2016-25; January 4, 2017); see also Exhibit 5
• ISE Mercury: ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend a Pilot Program (Release No. 34-79740; File No. SR-ISEMercury-2016-26; January 4, 2017); see also Exhibit 5
• ISE Mercury: Order Approving a Proposed Rule Change to Modify the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism, and Price Improvement Mechanism (Release No. 34-79731; File No. SR-ISEMercury-2016-21; January 4, 2017)
• NYSE: 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, Allowing the Exchange to Trade Pursuant to Unlisted Trading Privileges Any NMS Stock Listed on Another National Securities Exchange; Establishing Listing and Trading Requirements for Exchange Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform (Release No. 34-79736; File No. SR-NYSE-2016-44; January 4, 2017)
• NYSE Arca: Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Arca Equities Rule 7.35 to Provide for Widened Auction Collars for the Core Open Auction on Volatile Trading Days (Release No. 34-79714; File No. SR-NYSEArca-2016-136; December 30, 2016)
• NYSE Arca: Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Introducing NYSE OptX (Release No. 34-79719; File No. SR-NYSEArca-2016-143; January 3, 2017)
• NYSE MKT: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Allowing the Exchange to Trade Pursuant to Unlisted Trading Privileges for Any NMS Stock Listed On Another National Securities Exchange; Establishing Rules for the Trading Pursuant to UTP of Exchange-Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform (Release No. 34-79738; File No. SR-NYSEMKT-2016-103; January 4, 2017)
• NYSE MKT: Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Introducing NYSE OptX (Release No. 34-79720; File No. SR-NYSEMKT-2016-102; January 3, 2017)

Miscellaneous

• DTC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Update of its Corporate Action Service for the Processing of Redemptions Events and the Transition to International Organization for Standardization 20022 Messaging for Corporate Action Announcements (Release No. 34-79746; File No. SR-DTC-2016-014); see also Exhibit 5
• Phlx: Notice of Filing of Proposed Rule Change to Amend Rules 501, 507, 508, 510, and 511 (Release No. 34-79724; File No. SR-Phlx-2016-105; January 3, 2017); see also Exhibit 5