Weekly Roundup of Exchange Rules by Category

The SEC announced SRO rule changes and proposals for the week of November 6 to November 9, 2017.

Click on the links below to view SEC notices of exchange rule changes and proposals for the week of November 6 to November 9, 2017.

Fees, Fines, Rebates, and Claims

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain of its Listing Fees (Release No. 34-82020; File No. SR-NYSE-2017-56); see also Exhibit 5

• MIAX PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule (Release No. 34-82017; File No. SR-PEARL-2017-36); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Pricing Schedule Section II, Entitled Multiply Listed Options Fees (Release No. 34-82019; File No. SR-Phlx-2017-91); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fees and Charges Schedule and the NYSE Arca Equities Fees and Charges Schedule Relating to Co-location Services to Reflect the Name Change of a Third Party Data Feed (Release No. 34-82016; File No. SR-NYSEArca-2017-124; November 6, 2017)

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Access and Redistribution Fee (Release No. 34-82037; File No. SR-NASDAQ-2017-114); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Access and Redistribution Fee (Release No. 34-82036; File No. SR-BX-2017-048); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Access and Redistribution Fee (Release No. 34-82032; File No. SR-Phlx-2017-84); see also Exhibit 5

• Bats BYX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fees for Physical Ports (Release No. 34-82051; File No. SR-BatsBYX-2017-28); see also Exhibit 5

• Bats BYX, Bats BZX, Bats EDGA, Bats EDGX, BOX, NASDAQ OMX BX, C2, CBOE, CHX, FINRA, GEMX, IEX, ISE, MIAX, MRX, NASDAQ, NYSE, NYSE Arca, NYSEMKT, PEARL, Phlx: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail (Release No. 34-82049; File Nos. SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37)

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BYX Exchange, Inc. (Release No. 34-82048; File No. SR-BatsBYX-2017-29); see also Exhibit 5

• Bats BZX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fees for Physical Ports (Release No. 34-82050; File No. SR-BatsBZX-2017-75); see also Exhibit 5

Products and Listings

• CHX: Order Scheduling Filing of Statements on Review (Release No. 34-82034; File No. SR-CHX-2017-04)

• Bats BZX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the iShares Inflation Hedged Corporate Bond ETF, a Series of the iShares U.S. ETF Trust, Under Rule 14.11(i), Managed Fund Shares (Release No. 34-82025; File No. SR-BatsBZX-2017-54)

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the GraniteShares Platinum Trust under NYSE Arca Rule 8.201-E (Release No. 34-82026; File No. SR-NYSEArca-2017-110)

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the GraniteShares Silver Trust under NYSE Arca Rule 8.201-E (Release No. 34-82040; File No. SR-NYSEArca-2017-111)

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proposed Rule, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the GraniteShares Palladium Trust under NYSE Arca Rule 8.201-E (Release No. 34-82031; File No. SR-NYSEArca-2017-112)

• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Breakwave Dry Bulk Shipping ETF Under NYSE Arca Rule 8.200-E, Commentary .02 (Release No. 34-82044; File No. SR-NYSEArca-2017-107)

Trading and Trade Reporting

• NASDAQ: Notice of Filing of Amendment No. 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt the Midpoint Extended Life Order (Release No. 34-82013; File No. SR-NASDAQ-2017-074; November 3, 2017)

• NYSEAMER: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE American Rule 980NY to Clarify the Priority of Electronic Complex Orders and to Modify Aspects of the Complex Order Auction Process (Release No. 34-82027; File No. SR-NYSEAMER-2017-15)

• ICEEU: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures (Release No. 34-82041; File No. SR-ICEEU-2017-012)

• NYSE: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt New Equity Trading Rules to Trade Securities Pursuant to Unlisted Trading Privileges, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing on Pillar, the Exchange's New Trading Technology Platform (Release No. 34-82028; File No. SR-NYSE-2017-36; November 7, 2017)

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Index Options Rules to Be More Clear and Conformed More Closely to Those of the Options Clearing Corporation ("OCC") and Other Exchanges (Release No. 34-82035; File No. SR-Phlx-2017-89); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1059, Accommodation Transactions (Release No. 34-82045; File No. SR-Phlx-2017-87); see also Exhibit 5

Corporate Governance

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List Relating to Co-location Services to Reflect the Name Change of a Third Party Data Feed (Release No. 34-82018; File No. SR-NYSE-2017-55)

• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule Relating to Co-location Services to Reflect the Name Change of a Third Party Data Feed (Release No. 34-82021; File No. SR-NYSEAMER-2017-28)

Miscellaneous

• LCH SA: Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to Wrong Way Risk Margin (Release No. 34-82043; File No. SR-LCH SA-2017-009)

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1080(p)(2) to Enhance Anti-Internalization Functionality (Release No. 34-82012; File No. SR-Phlx-2017-93; November 3, 2017); see also Exhibit 5