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 24 to April 28, 2017.

Clearance & Settlement

• FICC: Notice of Extension of Review Period of Advance Notice to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook (Release No. 34-80520; File No. SR-FICC-2017-802; April 25, 2017)
• FICC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook (Release No. 34-80524; File No. SR-FICC-2017-002; April 25, 2017)
• FICC: Notice of Filing of Proposed Rule Change to Amend the Mortgage-Backed Securities Division Rules Concerning Use of Clearing Fund for Losses, Liabilities or Temporary Needs For Funds Incident to the Clearance and Settlement Business and Make Other Related Changes (Release No. 34-80517; File No. SR-FICC-2017-010; April 24, 2017); see also Exhibit 5
• FICC Advanced Notice: Notice of No Objection to Advance Notice Filing to Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes (Release No. 34-80546; File No. SR-FICC-2017-803; April 27, 2017)
• ICC: Notice and Immediate Effectiveness of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to Clearance of Additional Credit Default Swap Contracts (Release No. 34-80503; File No. SR-ICC-2017-004; April 21, 2017)
• OCC Advanced Notice: Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Enhancements to OCC's Stock Loan Programs (Release No. 34-80537; File No. SR-OCC-2017-802; April 27, 2017)

Fees, Fines, Rebates & Claims

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Annual Fee Cap for Acquisition Companies (Release No. 34-80542; File No. SR-NYSE-2017-18; April 27, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services (Release No. 34-80516; File No. SR-NYSEArca-2017-43; April 24, 2017); see also Exhibit 5

Products & Listings

• IEX: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend IEX Rule 16.135 to Adopt Generic Listing Standards for Managed Fund Shares (Release No. 34-80545; File No. SR-IEX-2017-03; April 27, 2017); see also Exhibit 5
• NASDAQ: Notice of Filing of Proposed Rule Change to List and Trade the Guggenheim Limited Duration ETF (Release No. 34-80540; File No. SR-NASDAQ-2017-039; April 27, 2017)
• NYSE Arca: Notice of Filing of Proposed Rule Change to Adopt a New NYSE Arca Equities Rule 8.900 and to List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF under Proposed NYSE Arca Equities Rule 8.900 (Release No. 34-80553; File No. SR-NYSEArca-2017-36; April 28, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Franklin Liberty Intermediate Municipal Opportunities ETF and Franklin Liberty Municipal Bond ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-80541; File No. SR-NYSEArca-2017-48; April 27, 2017)
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect Changes in the Name of, the Investment Objective for, and the Means of Achieving the Investment Objective Applicable to the PIMCO Total Return Active Exchange-Traded Fund (Release No. 34-80534; File No. SR-NYSEArca-2017-41; April 26, 2017)

Market Data and Reporting

• FINRA: Order Granting Approval of a Proposed Rule Change to Amend Rule 6191 to Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection with Website Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-80551; File No. SR-FINRA-2017-006; April 28, 2017)

Trading & Trade Reporting

• ICC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC’s End-of-Day Price Discovery Policies and Procedures (Release No. 34-80506; File No. SR-ICC-2017-003; April 21, 2017)
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of Simultaneous Complex Order Auctions (Release No. 34-80525; File No. SR-ISE-2017-33; April 25, 2017); see also Exhibit 5
• NMS: Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Fourteenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. (Release No. 34-80549; File No. 4-631; April 28, 2017)
• NYSE MKT: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending Rule 104 – Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Security the DMM has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading (Release No. 34-80550; File No. SR-NYSEMKT-2016-99; April 28, 2017)

Corporate Governance

• C2: Order Approving a Proposed Rule Change to Amend the Bylaws and Certificate of Incorporation (Release No. 34-80522; File No. SR-C2-2017-009; April 25, 2017)
• CBOE: Order Approving a Proposed Rule Change to Amend the Bylaws and Certificate of Incorporation (Release No. 34-80523; File No. SR-CBOE-2017-017; April 25, 2017)
• ISE: Notice of Filing of Proposed Rule Change to Harmonize the Corporate Governance Framework with that of The NASDAQ Stock Market LLC, NASDAQ PHLX LLC, and NASDAQ BX, Inc. (Release No. 34-80530; File No. SR-ISE-2017-32; April 26, 2017); see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E
• OCC: Order Approving Proposed Rule Change Concerning Changes to The Options Clearing Corporation's Management Structure (Release No. 34-80531; File No. SR-OCC-2017-002; April 26, 2017)

Miscellaneous

• Bats BZX: Order Granting Petition for Review and Scheduling Filing of Statements (Release No. 34-80511; File No. SR-BatsBZX-2016-30; April 24, 2017)
• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Rule 6.13 (Release No. 34-80554; File No. SR-C2-2017-016; April 28, 2017)