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 April 10 to April 14, 2017.

Clearance & Settlement

• DTC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Rules in Order to Enhance Transparency with Regard to Application Criteria and Participation Requirements for Applicants and Participants (Release No. 34-80454; File No. SR-DTC-2017-006; April 13, 2017); see also Exhibit 5

• ICE EU: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Third Party Collateral Purchase Arrangements under the ICE Clear Europe Finance Procedures and Other Clarifying Changes to the ICE Clear Europe Finance Procedures (Release No. 34-80449; File No. SR-ICEEU-2017-004; April 13, 2017); see also Exhibit 5

• LCH SA: Notice of Filing of Proposed Rule Change Relating to Recovery Risk Margin (Release No. 34-80450; File No. SR-LCH SA-2017-003; April 13, 2017)

• LCH SA: Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to CDS Margin and Extreme Credit Spread Curves (Release No. 34-80451; File No. SR-LCH SA-2017-004; April 13, 2017)

Fees, Fines, Rebates & Claims

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees (Release No. 34-80447; File No. SR-BatsBYX-2017-06; April 13, 2017); see also Exhibit 5

• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGA Exchange, Inc. (Release No. 34-80448; File No. SR-BatsEDGA-2017-06; April 13, 2017); see also Exhibit 5

• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use on the Exchange's Equities Options Platform (Release No. 34-80434; File No. SR-BatsEDGX-2017-15; April 11, 2017); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Obsolete References in the Fees Schedule (Release No. 34-80422; File No. SR-CBOE-2017-023; April 10, 2017); see also Exhibit 5

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-80416; File No. SR-MIAX-2017-15; April 10, 2017); see also Exhibit 3, Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014(f) to Amend the Designated Liquidity Provider Program (Release No. 34-80437; File No. SR-NASDAQ-2017-035; April 12, 2017); see also Exhibit 5

• NYSE: Notice of Filing and Immediate Effectiveness of Proposal to Adopt a Fee Schedule for Acquisition Companies (Release No. 34-80456; File No. SR-NYSE-2017-14; April 13, 2017); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule (Release No. 34-80441; File No. SR-NYSEArca-2017-35; April 12, 2017); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule (Release No. 34-80440; File No. SR-NYSEArca-2017-38; April 12, 2017); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain of the Initial and Annual Listing Fee Provisions Included in the NYSE MKT Company Guide (Release No. 34-80433; File No. SR-NYSEMKT-2017-19; April 11, 2017); see also Exhibit 5

• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule to Establish an Options Regulatory Fee ("ORF") (Release No. 34-80423; File No. SR-PEARL-2017-15; April 10, 2017); see also Exhibit 5

Products & Listings

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FLEX Options Pilot Program (Release No. 34-80443; File No. SR-CBOE-2017-032; April 12, 2017)

• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify the Required Forms of Listing Application, Agreement and Other Documentation (Release No. 34-80453; File No. SR-IEX-2017-09; April 13, 2017); see also Exhibit 3

• NYSE Arca: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the Euro Gold Trust, Pound Gold Trust, and the Yen Gold Trust under NYSE Arca Equities Rule 8.201 (Release No. 34-80457; File No. SR-NYSEArca-2017-33; April 13, 2017)

• NYSE Arca: Notice of Filing of Proposed Rule Change to Amend Commentary .01 and Commentary.02 to NYSE Arca Equities Rule 5.2(j)(3) to Provide for the Inclusion of Cash in an Index Underlying a Series of Investment Company Units (Release No. 34-80415; File No. SR-NYSEArca-2017-30; April 10, 2017)

• NYSE Arca: Order Approving a Proposed Rule Change, as Modified by Amendments No. 2 and No. 3 Thereto, to List and Trade Shares of the United States 3x Oil Fund and United States 3x Short Oil Fund under NYSE Arca Equities Rule 8.200, Commentary .02 (Release No. 34-80427; File No. SR-NYSEArca-2016-173; April 11, 2017)

Trading & Trade Reporting

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Expand the Execution Range for a Customer Cross Order (Release No. 34-80428; File No. SR-BOX-2017-10; April 11, 2017); see also Exhibit 5

• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Complex Order Price Protections (Release No. 34-80430; File No. SR-C2-2017-013; April 11, 2017)

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Complex Order Price Protections (Release No. 34-80439; File No. SR-CBOE-2017-031; April 12, 2017)

• CBOE: Notice of Filing of a Proposed Rule Change Relating to the Automated Improvement Mechanism and the Solicitation Auction Mechanism (Release No. 34-80421; File No. SR-CBOE-2017-029; April 10, 2017)

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 (Order Attributes), Rule 4752 (Opening Process), Rule 4753 (Nasdaq Halt Cross) and Rule 4754 (Nasdaq Closing Cross) (Release No. 34-80425; File No. SR-NASDAQ-2017-031; April 11, 2017); see also Exhibit 5

Miscellaneous

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .03 to Rule 713 to Change the Allocation Entitlement for Preferred PMMs (Release No. 34-80438; File No. SR-ISE-2017-31; April 12, 2017); see also Exhibit 5

• ISE: Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Amend Various Rules in Connection with a System Migration to Nasdaq INET Technology (Release No. 34-80432; File No. SR-ISE-2017-03; April 11, 2107)

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Obvious Errors (Release No. 34-80429; File No. SR-ISE-2017-30; April 11, 2017); see also Exhibit 5

• NYSE: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc. (Release No. 34-80420; File No. SR-NYSE-2017-13; April 10, 2107); see also Exhibit 5A, Exhibit 5B

• NYSE Arca: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc. (Release No. 34-80418; File No. SR-NYSEArca-2017-29; April 10, 2017); see also: Exhibit 5A, Exhibit 5B

• NYSE MKT: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc. (Release No. 34-80419; File No. SR-NYSEMKT-2017-17; April 10, 2017); see also Exhibit 5A, Exhibit 5B

• NYSE NAT: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc. (Release No. 34-80417; File No. SR-NYSENAT-2017-01; April 10, 2017); see also Exhibit 5A, Exhibit 5B

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Obvious Errors (Release No. 34-80431; File No. SR-Phlx-2017-27; April 11, 2017); see also Exhibit 5