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 25 to September 29, 2017.

Clearance and Settlement

• DTC, NSCC, FICC: Order Approving Proposed Rule Changes to Adopt the Clearing Agency Operational Risk Management Framework (Release No. 34-81745; File Nos. SR-DTC-2017-014, SR-NSCC-2017-013, SR-FICC-2017-017)

Corporate Governance

• BatsBYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.23, Opening Process, and Rule 11.26, Usage of Data Feeds, to Reflect the Name Change of NYSE MKT to NYSE American (Release No. 34-81749; File No. SR-BatsBYX-2017-23); see also Exhibit 5

• BatsEDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.7, Opening Process, and Rule 13.4, Usage of Data Feeds, to Reflect the Name Change of NYSE MKT to NYSE American (Release No. 34-81748; File No. SR-BatsEDGA-2017-25); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 14.2 to Make Technical and Conforming Updates in Connection With the Recent Merger of NYSE Arca Equities, Inc. With and Into the Exchange (Release No. 34-81713; File No. SR-NYSEArca-2017-109); see also Exhibit 5

Fees, Fines, Rebates, and Claims

• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees to Make It Clear That the Nasdaq GEMX Trades Feed Is a Free Offering of the Exchange (Release No. 34-81756; File No. SR-GEMX-2017-40); see also Exhibit 5

Market Data

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX Options Rule 529, Order Routing to Other Exchanges (Release No. 34-81753; File No. SR-MIAX-2017-41); see also Exhibit 5

• Phlx: Notice of Filing of Proposed Rule Change to Introduce the Intellicator Analytic Tool (Release No. 34-81754; File No. SR-Phlx-2017-74); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Permit the Exchange to Publish End-of-Day Indicative Values in SPX After the Close of Regular Trading Hours in SPX (Release No. 34-81714; File No. SR-CBOE-2017-062); see also Exhibit 5

Products and Listings

• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE American Rule 5.2E (j)(6) (Release No. 34-81755; File No. SR-NYSEAMER-2017-19); see also Exhibit 5

• NYSE Arca: Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 2, Relating to the Listing and Trading of Shares of the Bitcoin Investment Trust under NYSE Arca Equities Rule 8.201 (Release No. 34-81747; File No. SR-NYSEArca-2017-06)

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of ProShares QuadPro Funds under Commentary .02 to NYSE Arca Equities Rule 8.200 (Release No. 34-81746; File No. SR-NYSEArca-2017-69)

• BatsBZX: Notice of Withdrawal of a Proposed Rule Change to Extend the Implementation Date For Certain Changes to Exchange Rules 14.11 and 14.12 (Release No. 34-81734; File No. SR-BatsBZX-2017-50)

• NASDAQ: Notice of Withdrawal of a Proposed Rule Change to Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 5810 (Release No. 34-81733; File No. SR-NASDAQ-2017-081)

• NYSE Arca: Notice of Withdrawal of a Proposed Rule Change to Extend the Implementation Date For Certain Changes to the NYSE Arca Rule 5 and Rule 8 Series (Release No. 34-81738; File No. SR-NYSEArca-2017-84)

• NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade Shares of the GraniteShares Palladium Trust under NYSE Arca Rule 8.201-E. (Release No. 34-81737; File No. SR-NYSEArca-2017-112)

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Arca Equities Rule 8.700 to Reference EURO STOXX 50 Volatility Index Futures and to List and Trade Shares of the ProShares European Volatility Futures ETF (Release No. 34-81721; File No. SR-NYSEArca-2017-85)

• BatsBZX: Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Under BZX Rule 14.11(c)(4) the Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust (Release No. 34-81715; File No. SR-BatsBZX-2017-07)

• NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade Shares of the GraniteShares Silver Trust under NYSE Arca Equities Rule 8.201 (Release No. 34-81699; File No. SR-NYSEArca-2017-111)

Trading and Trade Reporting

• MIAX: Order Granting Approval of a Proposed Rule Change to Adopt Rules Relating to Trading in Index Options (Release No. 34-81739; File No. SR-MIAX-2017-39)

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 (Release No. 34-81722; File No. SR-FINRA-2017-029)

• NMS: Notice of Filing and Immediate Effectiveness of the Fifteenth 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 American LLC, and NYSE Arca, Inc. (Release No. 34-81720; File No. 4-631)

• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 928NY to Allow Certain Order Types to Be Excluded from the Risk Limitation Mechanism (Release No. 34-81716; File No. SR-NYSEAMER-2017-10); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.40-O to Allow Certain Order Types to Be Excluded from the Risk Limitation Mechanism (Release No. 34-81717; File No. SR-NYSEArca-2017-96); see also Exhibit 5