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 October 16 to October 20, 2017.

Clearance and Settlement

• OCC: Notice of Filing of Proposed Rule Change Related to a Comprehensive Risk Management Framework (Release No. 34-81909; File No. SR-OCC-2017-005; October 19, 2017)

• ICC: Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Changes to the ICC Clearing Rules (Release No. 34-81892; File No. SR-ICC-2017-013; October 17, 2017)

Corporate Governance

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Arca Rule 1.1 and Rule 7.35-E to Make Technical and Conforming Updates in Connection with the Recent Merger of NYSE Arca Equities, Inc. (Release No. 34-81894; File No. SR-NYSEArca-2017-119); See also Exhibit 5A, Exhibit 5B

• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect Name Changes of NYSE MKT to NYSE American LLC and the National Stock Exchange to NYSE National, Inc. (Release No. 34-81889; File No. SR-IEX-2017-33); Exhibit 5

Fees, Fines, Rebates, and Claims

• NMS: Notice of Filing and Immediate Effectiveness of Proposed Amendment to Modify the OPRA Fee Schedule to Eliminate the Enterprise Rate Non-Professional Subscriber Fee and Amend the Non-Professional Subscriber Fee (Release No. 34-81900; File No. SR-OPRA-2017-02; October 19, 2017)

• NMS: Notice of Filing and Immediate Effectiveness of Proposed Amendment to Modify the OPRA Fee Schedule to Amend the Professional Subscriber Device-Based Fee (Release No. 34-81899; File No. SR-OPRA-2017-01; October 19, 2017)

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees for the Exchange's Equity Platform (Release No. 34-81906; File No. SR-BatsBZX-2017-67); see also Exhibit 5

• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees (Release No. 34-81902; File No. SR-GEMX-2017-48); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees (Release No. 34-81903; File No. SR-ISE-2017-91); see also Exhibit 5

• MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees (Release No. 34-81907; File No. SR-MRX-2017-21);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. 34-81901; File No. SR-NYSEArca-2017-121); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees to Increase the Crossing Fee Cap (Release No. 34-81878; File No. SR-ISE-2017-88); see also Exhibit 5

Products and Listings

• Bats BZX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of Specified Series of the Innovator Shield Strategy S&P 500 Monthly Index Series and Innovator Ultra Shield Strategy S&P 500 Monthly Index Series Under Rule 14.11(c)(3) (Release No. 34-81895; File No. SR-BatsBZX-2017-56)

• NMS: Notice of Filing of the Fourth Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options (Release No. 34-81893; File No. 4-443)

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to Certain Representations Relating to Five PIMCO Exchange-Traded Funds Currently Listed under NYSE Arca Rule 8.600-E (Release No. 34-81890; File No. SR-NYSEArca-2017-120)

• Bats BZX: Order Granting Approval of a Proposed Rule Change to List and Trade Shares of the WisdomTree CBOE Russell 2000 PutWrite Strategy Fund, a Series of the WisdomTree Trust, Under Rule 14.11(c)(3) (Index Fund Shares) (Release No. 34-81876; File No. SR-BatsBZX-2017-53)

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade S&P Select Sector Index Options (Release No. 34-81879; File No. SR-CBOE-2017-065); see also Exhibit 5

Trading and Trade Reporting

• CHX: Notice of Filing of Amendments No. 1 and No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, to Adopt the CHX Liquidity Enhancing Access Delay on a Pilot Basis (Release No. 34-81913; File No. SR-CHX-2017-04; October 19, 2017)

• Bats EDGX: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt New Rules Governing the Trading of Complex Orders on the Exchange (Release No. 34-81891; File No. SR-BatsEDGX-2017-29; October 17, 2017)

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.76A-O to Adopt Additional Self-Trade Prevention Modifiers (Release No. 34-81888; File No. SR-NYSEArca-2017-118); see also Exhibit 5

• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 964NY to Adopt Additional Self-Trade Prevention Modifiers (Release No. 34-81887; File No. SR-NYSEAMER-2017-21); see also Exhibit 5