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 July 10 to July 14, 2017.

Clearance & Settlement

• ICC: Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC Liquidity Risk Management Framework and ICC Stress Testing Framework (Release No. 34-81132; File No. SR-ICC-2017-011; July 12, 2017)
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC to Amend MIAX Options Rule 524, Reporting of Matched Trades to Clearing Corporation (Release No. 34-81122; File No. SR-MIAX-2017-32; July 11, 2017); see also Exhibit 5

Fees, Fines, Rebates & Claims

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Updating the CBOE Fees Schedule Concerning LVCX Fees (Release No. 34-81118; File No. SR-CBOE-2017-052; July 11, 2017); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Priority Customer Taker Fees for Regular Orders in Select Symbols (Release No. 34-81108; File No. SR-ISE-2017-65; July 10, 2017); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees in Connection with ISE System Migration (Release No. 34-81144; File No. SR-ISE-2017-69; July 14, 2017); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Fees and Rebates for Trades Executed on June 30, 2017 in INET Launch Symbols (Release No. 34-81128; File No. SR-ISE-2017-66; July 12, 2017); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Fees and Rebates for Trades in KANG Executed on June 27 – 30, 2017 (Release No. 34-81106; File No. SR-ISE-2017-63; July 10, 2017); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Trading Rights Fee (Release No. 34-81133; File No. SR-NASDAQ-2017-065; July 12, 2017); see also Exhibit 5
• NYSE: Notice of Designation of a Longer Period for Commission Action on 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. 34-81110; File No. SR-NYSE-2017-24; July 10, 2017)
• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change for a New NYSE Arca Rule 11.6900 and New NYSE Arca Equities Rule 6.6900 to Establish Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members (Release No. 34-81113; File No. SR-NYSEArca-2017-60; July 10, 2017)
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Adopt New Pricing Tier, Tape A and Tape C Tier (Release No. 34-81134; File No. SR-NYSEArca-2017-72; July 12, 2017); see also Exhibit 5
• NYSE MKT: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt Rule 6900 to Establish Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members (Release No. 34-81112; File No. SR-NYSEMKT-2017-31; July 10, 2017)
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Phlx Pricing Schedule, Section IX (Release No. 34-81117; File No. SR-Phlx-2017-53; July 11, 2017); see also Exhibit 5

Miscellaneous

• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules to Eliminate ALO and Day ISO Orders and Related Functionality, Provide That All Pegged Orders Would Be Non-Displayed Orders, Change References from "NYSE MKT" to "NYSE American," and Add Definition of "NYSE American Marketplace" (Release No. 34-81115; File No. SR-NYSEMKT-2017-38; July 11, 2017); see also Exhibit 5

Products and Listings

• NASDAQ: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to the First Trust Municipal High Income ETF (Release No. 34-81123; File No. SR-NASDAQ-2017-038; July 11, 2017)
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5705(b) to Provide for Inclusion of Cash in Index or Portfolio Underlying Series of Index Fund Shares (Release No. 34-81120; File No. SR-NASDAQ-2017-062; July 11, 2017); see also Exhibit 5

Trading & Trade Reporting

• FINRA: Order Granting Approval of Proposed Rule Change to Make Available New End-of-Day TRACE Transaction File (Release No. 34-81114; File No. SR-FINRA-2017-015; July 11, 2017)
• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify Exception to Manner in Which Market Maker Immediate-or-Cancel Orders Will Be Handled (Release No. 34-81109; File No. SR-GEMX-2017-28; July 10, 2017); see also Exhibit 5
• MIAX: Order Granting Approval of 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. 34-81131; File No. SR-MIAX-2017-19; July 12, 2017)
• MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify Exception to Manner in Which Market Maker Immediate-or-Cancel Orders Will Be Handled (Release No. 34-81107; File No. SR-MRX-2017-11; July 11, 2017); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Customer and Professional Penny Pilot Options Tier 8 Rebate to Add Liquidity (Release No. 34-81121; File No. SR-NASDAQ-2017-067; July 11, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .06 to Rule 6.8 to Extend Pilot Program that Eliminated Position Limits for Options on SPDR S&P 500 ETF (Release No. 34-81129; File No. SR-NYSEArca-2017-76; July 12, 2017); see also Exhibit 3 , Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .07 to Rule 904 to Extend Pilot Program that Eliminated Position Limits for Options on SPDR S&P 500 ETF (Release No. 34-81130; File No. SR-NYSEMKT-2017-42; July 12, 2017); see also Exhibit 3, Exhibit 5
• PEARL: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend MIAX PEARL Rule 524, Reporting of Matched Trades to Clearing Corporation (Release No. 34-81119; File No. SR-PEARL-2017-31; July 11, 2017); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quote Mitigation (Release No. 34-81116; File No. SR-Phlx-2017-48; July 11, 2017); see also Exhibit 5