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 September 11 to September 15, 2017.

Corporate Governance

• BatsBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13, Order Execution and Routing, to Account for IEX as a Primary Listing Market and to Amend Certain Rules to Reflect the Name Change of NYSE MKT to NYSE American (Release No. 34-81594; File No. SR-BatsBZX-2017-57; September 13, 2017); see also Exhibit 5
• BatsEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.11, Routing to Away Trade Centers, to Account for IEX as a Primary Listing Market and to Amend Certain Rules to Reflect the Name Change of NYSE MKT to NYSE American (Release No. 34-81596; File No. SR-BatsEDGX-2017-37; September 13, 2017); see also Exhibit 5

Fees, Fines, Rebates & Claims

• BatsEDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees (Release No. 34-81600; File No. SR-BatsEDGA-2017-23; September 13, 2017); see also Exhibit 5
• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility (Release No. 34-81615; File No. SR-BOX-2017-30; September 14, 2017); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-81614; File No. SR-CBOE-2017-060; September 14, 2017); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Correct an Inadvertent Marking Error in the Fees Schedule (Release No. 34-81613; File No. SR-CBOE-2017-061; September 14, 2017); see also Exhibit 5
• CHX: Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process (Release No. 34-81616; File Nos. SR-CHX-2017-11, SR-FINRA-2017-020; September 14, 2017)
• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees Pursuant to Rule 15.110 (Release No. 34-81602; File No. SR-IEX-2017-29; September 14, 2017); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Third Party Developer Fees from the Schedule of Fees (Release No. 34-81610; File No. SR-ISE-2017-82; September 14, 2017); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Non-Substantive, Clarifying Changes to ISE's Rulebook and Schedule of Fees (Release No. 34-81598; File No. SR-ISE-2017-83; September 13, 2017); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List (Release No. 34-81612; File No. SR-NYSE-2017-47; September 14, 2017); see also Exhibit 5
• NYSEAMER: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE American Options Fee Schedule (Release No. 34-81569; File No. SR-NYSEAMER-2017-13; September 11, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges (Release No. 34-81573; File No. SR-NYSEArca-2017-97; September 11, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges (Release No. 34-81601; File No. SR-NYSEArca-2017-104; September 13, 2017); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Missing Letter to Section IV, Part D of the Pricing Schedule (Release No. 34-81583; File No. SR-Phlx-2017-72; September 12, 2017)

Market Data

• MSRB: Notice of Filing of a Proposed Rule Change to Amend MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements (Release No. 34-81595; File No. SR-MSRB-2017-06; September 13, 2017); see also Exhibit 2a, Exhibit 5

​Miscellaneous

• FINRA: Order Approving a Proposed Rule Change Relating to the Definition of Non-public Arbitrator (Release No. 34-81572; File No. SR-FINRA-2017-025; September 11, 2017)
• MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Language from Chapter 19 of the Rulebook (Release No. 34-81597; File No. SR-MRX-2017-17; September 13, 2017); see also Exhibit 5

Products and Listings

• BatsBZX: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Permit the Listing and Trading of Managed Portfolio Shares; and to List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF; ClearBridge Large Cap ETF; ClearBridge MidCap Growth ETF; ClearBridge Select ETF; and ClearBridge All Cap Value ETF (Release No. 34-81599; File No. SR-BatsBZX-2017-30; September 13, 2017)
• NASDAQ: Notice of Filing of Proposed Rule Change to List and Trade Shares of Calvert Ultra-Short Income NextShares (Release No. 34-81591; File No. SR-NASDAQ-2017-091; September 13, 2017)
• NASDAQ: Notice of Filing of Proposed Rule Change to List and Trade Shares of the Eaton Vance Oaktree Diversified Credit NextShares (Release No. 34-81574; File No. SR-NASDAQ-2017-090; September 11, 2017)
• NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade Shares of The Gold Trust under NYSE Arca Rule 8.201-E (Release No. 34-81568; File No. SR-NYSEArca-2017-98; September 11, 2017)

Trading & Trade Reporting

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the On-Floor Lead Market-Maker Program (Release No. 34-81586; File No. SR-CBOE-2017-059; September 12, 2017)
• NASDAQ: Notice of Filing of Proposed Rule Change to Amend Rule 4703(a) to Allow Members to Designate when an Order with a RTFY or SCAN Routing Order Attribute Will Be Activated (Release No. 34-81579; File No. SR-NASDAQ-2017-088; September 12, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.87-O and Rule 6.65-O (Release No. 34-81580; File No. SR-NYSEArca-2017-101; September 12, 2017); see also Exhibit 5
• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 975NY and Rule 953NY (Release No. 34-81582; File No. SR-NYSEAMER-2017-12; September 12, 2017)
• Phlx: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Add an Exception to Phlx Rule 1000(f)(iii) for Certain Floor Broker Transactions and Adopt Rule 1063(e)(v) to Add the Snapshot Functionality to the Options Floor Broker Management System (Release No. 34-81567; File No. SR-Phlx-2017-34; September 11, 2017)