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 May 15 to May 19, 2017.

Clearance & Settlement

• FICC: Notice of Filing of Proposed Rule Change to the Mortgage-Backed Securities Division Clearing Rules Regarding Fixed Income Clearing Corporation's (1) Time of Novation, (2) Treatment of Itself as the Settlement Counterparty for Certain Transaction Types, and (3) Proposal to Implement New Processes to Promote Operational Efficiencies for Its Clearing Members (Release No. 34-80716; File No. SR-FICC-2017-012; May 18, 2017); see also Exhibit 5

• ICE EU: Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to Clearing House Contributions to CDS Default Resources (Release No. 34-80706; File No. SR-ICEEU-2017-005; May 17, 2017); see also Exhibit 5

Corporate Governance

• NYSE: Notice of Filing of Proposed Rule Change Amending its Listing Standard for Special Purpose Acquisition Companies to Change Shareholder Vote Requirement for the Approval of a Business Combination (Release No. 34-80677; File No. SR-NYSE-2017-20; May 15, 2017); see also Exhibit 5

Fees, Fines, Rebates & Claims

• Bats BZX: Notice of Withdrawal of a Proposed Rule Change to Bats BZX Rule 14.13, Company Listing Fees, and to the Bats BZX Fee Schedule (Release No. 34-80714; File No. SR-BatsBZX-2016-60; May 18, 2017)

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the BOX Fee Schedule to Adopt a Fee Schedule to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-80721; File No. SR-BOX-2017-16; May 18, 2017); see also Exhibit 5, Exhibit 3

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-80671; File No. SR-CBOE-2017-039; May 15, 2017); see also Exhibit 5

• CHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Assessments to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-80691; File No. SR-CHX-2017-08; May 16, 2017); see also Exhibit 5; see also Exhibit 3

• FICC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for Government Securities Division CCIT Members, and Netting Members That Engage in CCIT Transactions (Release No. 34-80717; File No. SR-FICC-2017-013; May 18, 2017); see also Exhibit 5

• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Section VI of the GEMX Fee Schedule (Release No. 34-80713; File No. SR-GEMX-2017-17; May 18, 2017); see also Exhibit 5, Exhibit 3

• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees to Offer the Historical GEMX Open/Close Trade Profile (Release No. 34-80722; File No. SR-GEMX-2017-13; May 18, 2017); see also Exhibit 5

• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail. (Release No. 34-80692; File No. SR-IEX-2017-16; May 16, 2017); see also Appendix and Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Section X of the ISE Fee Schedule (Release No. 34-80715; File No. SR-ISE-2017-45; May 18, 2017); see also Exhibit 5, Exhibit 3

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees to Modify Fees and Rebates for PIM Orders (Release No. 34-80684; File No. SR-ISE-2017-39; May 16, 2017); see also Exhibit 5

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-80675; File No. SR-MIAX-2017-18; May 15, 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 7004 and Chapter XV, Section 14 (Release No. 34-80696; File No. SR-NASDAQ-2017-046; May 16, 2017); see also Exhibit 5; see also Exhibit 3

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees at Rule 7004 and Chapter XV, Section 11 (Release No. 34-80697; File No. SR-BX-2017-023; May 16, 2017); see also Exhibit 3 and Exhibit 5

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Price List (Release No. 34-80693; File No. SR-NYSE-2017-22; May 16, 2017); see also Exhibit 5; see also Exhibit 3

• 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, and the NYSE Arca Schedule of Options Fees and Charges to Adopt the Fees for Industry Members related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-80698; File No. SR-NYSEArca-2017-52; May 16, 2017); see also Exhibit 5A, Appendix

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule (Release No. 34-80694; File No. SR-NYSEMKT-2017-26; May 16, 2017); see also Appendix and Exhibit 5A

• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-80676; File No. SR-PEARL-2017-20; May 15, 2017); see also Exhibit 3, Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Section XIV (Release No. 34-80725; File No. SR-Phlx-2017-37; May 18, 2017); see also Exhibit 5, Exhibit 3

Licensing & Registration

• MSRB: Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements (Release No. 34-80699; File No. SR-MSRB-2017-02; May 16, 2017)

Market Data

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.27 of Bats BYX Exchange, Inc. to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-80688; File No. SR-BatsBYX-2017-10; May 16, 2017); see also Exhibit 5

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.27 of Bats BZX Exchange, Inc. to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-80687; File No. SR-BatsBZX-2017-31; May 16, 2017); see also Exhibit 5

• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule11.21 of Bats EDGA Exchange, Inc. to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-80686; File No. SR-BatsEDGA-2017-10; May 16, 2017); see also Exhibit 5

• BatsEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.22 of Bats EDGX Exchange, Inc. to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-80689; File No. SR-BatsEDGX-2017-19; May 16, 2017); see also Exhibit 5

​Products & Listings

• Bats BZX: Notice of Filing of a Proposed Rule Change to Amend BZX Rule 14.11, Other Securities, to Provide for the Inclusion of Cash in an Index Underlying a Series of Index Fund Shares (Release No. 34-80728; File No. SR-BatsBZX-2017-26; May 19, 2017); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Continued Listing Standards for Exchange-Traded Products (Release No. 34-80708; File No. SR-NASDAQ-2017-040; May 17, 2017); see also Exhibit 5

• NYSE Arca: Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Regarding Investments of the Janus Short Duration Income ETF Listed Under NYSE Arca Equities Rule 8.600 (Release No. 34-80657; File No. SR-NYSEArca-2017-09; May 11, 2017)

• NYSE Arca: Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the GraniteShares Gold Trust under NYSE Arca Equities Rule 8.201 (Release No. 34-80730; File No. SR-NYSEArca-2017-55; May 19, 2017)

• NYSE Arca: Notice of Filing of Proposed Rule Change to Amend NYSE Arca Equities Rule 5.2(j)(6) Relating to Equity Index-Linked Securities (Release No. 34-80707; File No. SR-NYSEArca-2017-54; May 17, 2017); see also Exhibit 5

Trading & Trade Reporting

• Bats BZX: Notice of Filing of a Proposed Rule Change to Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28 (Release No. 34-80683; File No. SR-BatsBZX-2017-34; May 16, 2017); see also Exhibit 5

• Bats BZX: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust Under BZX Rule 14.11(c)(4) (Release No. 34-80664; File No. SR-BatsBZX-2017-07; May 11, 2017)

• BOX: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Adopt Rules for an Open-Outcry Trading Floor (Release No. 34-80719; File No. SR-BOX-2016-48; May 18, 2017)

• BOX: Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Adopt Rules for an Open-Outcry Trading Floor (Release No. 34-80720; File No. SR-BOX-2016-48; May 18, 2017); see also Exhibit 5, Exhibit 4, Exhibit 3

• CHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Anonymous Trade Reporting and Clearing (Release No. 34-80673; File No. SR-CHX-2017-09; May 15, 2017); see also Exhibit 5

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) (Release No. 34-80727; File No. SR-FINRA-2017-014; May 18, 2017); see also Exhibit 5

• FINRA: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 7730 to Reduce the Delay Period for the Historic TRACE Data Sets Relating to Corporate and Agency Debt Securities (Release No. 34-80685; File No. SR-FINRA-2017-012; May 16, 2017); see also Exhibit 2a, Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Suspend the Implementation of QCC with Stock Order Functionality Upon Migration to INET (Release No. 34-80718; File No. SR-ISE-2017-44; May 18, 2017); see also Exhibit 5

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX Options Rules 301, Just and Equitable Principles of Trade; Rule 308, Exemptions from Position Limits; Rule 404, Series of Option Contracts Open for Trading; Rule 514, Priority of Quotes and Orders; Rule 1325, Telemarketing; and Rule 1400, Definitions (Release No. 34-80690; File No. SR-MIAX-2017-21; May 16, 2017); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 103B - Equities (Release No. 34-80723; File No. SR-NYSEMKT-2017-27; May 18, 2017); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 994NY, Broadcast Order Liquidity Delivery Mechanism (Release No. 34-80695; File No. SR-NYSEMKT-2017-28; May 16, 2017); see also Exhibit 5

• NYSE MKT: Order Approving Proposed Rule Change Amending Rules 7.29E and 1.1E to Provide for a Delay Mechanism (Release No. 34-80700; File No. SR-NYSEMKT-2017-05; May 16, 2017)

• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX PEARL Rules 503 and 515 (Release No. 34-80724; File No. SR-PEARL-2017-22; May 18, 2017); see also Exhibit 5

Miscellaneous

• OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Management Structure (Release No. 34-80672; File No. SR-OCC-2017-012; May 15, 2017)