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 22 to May 26, 2017.

Clearance & Settlement

• DTC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Settlement Service Guide to Make Technical Revisions to Clarify and Provide Enhanced Transparency with Respect to the Calculation and Adjustment of Required Participants Fund Deposits (Release No. 34-80762; File No. SR-DTC-2017-007; May 24, 2017); see also Exhibit 5

• 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

Fees, Fines, Rebates & Claims

• BatsBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Market Data Section of Its Fee Schedule to Adopt Fees for a New Market Data Product Called the ETF Implied Liquidity Feed (Release No. 34-80772; File No. SR-BatsBZX-2017-36; May 25, 2017); see also Exhibit 5

• BatsEDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change related to Fees for Use on Bats EDGA Exchange, Inc. (Release No. 34-80784; File No. SR-BatsEDGA-2017-13; May 26, 2017); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees to Decrease Member Order Routing Program Rebates (Release No. 34-80744; File No. SR-ISE-2017-47; May 23, 2017); see also Exhibit 5

• NYSE: Notice of Filing of Proposed Rule Change to Adopt Rule 6900 to Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members (Release No. 34-80780; File No. SR-NYSE-2017-24; May 26, 2017); see also Exhibit 5

• NYSE Arca: Notice of Filing of Proposed Rule Change for a New NYSE Arca Rule 11.6900 and a New NYSE Arca Equities Rule 6.6900 to Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members (Release No. 34-80781; File No. SR-NYSEArca-2017-60; May 26, 2017); see also Exhibit 5

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Rules of the Exchange, the NYSE MKT Equities Price List, the NYSE Amex Options Fee Schedule, and the NYSE Amex Options Proprietary Market Data Fees (Release No. 34-80748; File No. SR-NYSEMKT-2017-20; May 23, 2017); see also Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e

• NYSE MKT: Notice of Filing of Proposed Rule Change to Adopt Rule 6900 to Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members (Release No. 34-80782; File No. SR-NYSEMKT-2017-31; May 26, 2017); see also Exhibit 5

Market Data

• CHX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Certain Appendix B Website Publication Requirements Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-80754; File No. SR-CHX-2017-10; May 24, 2017); see also Exhibit 5

• FINRA: Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT (Release No. 34-80783; File No. SR-FINRA-2017-013; May 26, 2017); see also Exhibit 5

Products & Listings

• NASDAQ: Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to List and Trade Shares of the First Trust California Municipal High Income ETF (Release No. 34-80745; File No. SR-NASDAQ-2017-033; May 23, 2017)

• NYSE Arca: Order Scheduling Filing of Statements on Review (Release No. 34-80770; May 25, 2017)

Trading & Trade Reporting

• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market-Maker Reports of Executed Orders (Release No. 34-80759; File No. SR-C2-2017-019; May 24, 2017); see also Exhibit 5

• CBOE: Order Approving a Proposed Rule Change Relating to the Exposure Periods of the Automated Improvement Mechanism and the Solicitation Auction Mechanism (Release No. 34-80738; File No. SR-CBOE-2017-029; May 22, 2017)

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market-Maker Reports of Executed Orders (Release No. 34-80760; File No. SR-CBOE-2017-042; May 24, 2017); see also Exhibit 5

• CHX: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt the CHX Liquidity Enhancing Access Delay (Release No. 34-80740; File No. SR-CHX-2017-04; May 22, 2017)

• DTC: Notice of No Objection to Advance Notices to Enhance the Credit Risk Rating Matrix and Make Other Changes (Release No. 34-80731; File Nos. SR-DTC-2017-801, SR-FICC-2017-804, SR-NSCC-2017-801; May 19, 2017)

• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change regarding the Opening Process (Release No. 34-80747; File No. SR-GEMX-2017-10; May 24, 2017); see also Exhibit 5

• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Cancel and Replace Rule (Release No. 34-80761; File No. SR-GEMX-2017-16; May 24, 2017); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change regarding the Opening Process (Release No. 34-80751; File No. SR-ISE-2017-41; May 23, 2017); see also Exhibit 5

• MIAX: Notice of Filing of a Proposed Rule Change to Amend MIAX Options Rules 515, Execution of Orders and Quotes; 515A, MIAX Price Improvement Mechanism ("PRIME") and PRIME Solicitation Mechanism; and 518, Complex Orders (Release No. 34-80768; File No. SR-MIAX-2017-19; May 25, 2017); see also Exhibit 5

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX Options Rule 515A, MIAX Price Improvement Mechanism ("PRIME") and PRIME Solicitation Mechanism (Release No. 34-80779; File No. SR-MIAX-2017-22; May 26, 2017); see also Exhibit 5

• MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .03 to Rule 713 (Release No. 34-80771; File No. SR-MRX-2017-05; May 25, 2017); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program (Release No. 34-80756; File No. SR-NASDAQ-2017-049; May 24, 2017)

• NYSE: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Its Listing Standards for Special Purpose Acquisition Companies to Modify the Initial and Continued Distribution Requirements (Release No. 34-80735; File No. SR-NYSE-2017-11; May 19, 2017)

• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX PEARL Rule 510 to Extend the Penny Pilot Program (Release No. 34-80758; File No. SR-PEARL-2017-24; May 24, 2017); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program (Release No. 34-80755; File No. SR-Phlx-2017-36; May 24, 2017)

Miscellaneous

• NYSE: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Amending NYSE Rule 36 and NYSE MKT Rule 36 – Equities to Permit Exchange Floor Brokers to Use Non-Exchange Provided Telephones on the Floor (Release No. 34-80753; File Nos. SR-NYSE-2017-07, SR-NYSEMKT-2017-16; May 24, 2017)

• NYSE: Order Approving Proposed Rule Changes to Amend the Certificate and Bylaws of Their Ultimate Parent Company, Intercontinental Exchange, Inc. (Release No. 34-80752; File Nos. SR-NYSE-2017-13, SR-NYSEArca-2017-29, SR-NYSEMKT-2017-17, SR-NYSENAT-2017-01; May 24, 2017)

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1012 (Release No. 34-80769; File No. SR-Phlx-2017-41; May 25, 2017); see also Exhibit 5