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 November 13 to November 17, 2017.

Market Data

• MSRB: Notice of Filing of Amendment No. 1 to Proposed Rule Change to Amend MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements (Release No. 34-82053; File No. SR-MSRB-2017-06); see also Exhibit 4, Exhibit 5
• Phlx: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Introduce the Intellicator Analytic Tool (Release No. 34-82085; File No. SR-Phlx-2017-74; November 15, 2017)

Clearance & Settlement

• FICC: Order Approving a Proposed Rule Change to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook (Release No. 34-82090; File No. SR-FICC-2017-002; November 15, 2017)
• LCH SA: Order Approving Proposed Rule Changes to Add Rules Related to the Clearing of Options on Index Credit Default Swaps (Release No. 34-82109; File Nos. SR-LCH SA-2017-006, SR-LCH SA-2017-007)

Products & Listings

• Bats BZX: Notice of Withdrawal of 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. 34-82078; File No. SR-BatsBZX-2017-56)
• NYSE Arca: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to List and Trade Shares of the JPMorgan Managed Futures ETF under NYSE Arca Rule 8.600-E (Release No. 34-82080; File No. SR-NYSEArca-2017-86; November 15, 2017)
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.06 of the NYSE Listed Company Manual (Release No. 34-82086; File No. SR-NYSE-2017-58; November 15, 2017); see also Exhibit 5
• NYSE Arca: 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 No. 2, to List and Trade Shares of ProShares QuadPro Funds under NYSE Arca Rule 8.200-E (Release No. 34-82105; File No. SR-NYSEArca-2017-69; November 16, 2017)
• Bats BZX: Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Innovator S&P 500 15% Shield Strategy ETF Series, Innovator S&P 500 -5% to -35% Shield Strategy ETF Series, Innovator S&P 500 Enhance and 10% Shield Strategy ETF Series, and Innovator S&P 500 Ultra Strategy ETF Series Under Rule 14.11(i) (Release No. 34-82097; File No. SR-BatsBZX-2017-72; November 16, 2017)

Trading and Trade Reporting

• NMS: Notice of Filing and Immediate Effectiveness of the Fortieth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis (Release No. 34-82072; File No. S7-24-89)
• CBOE: Notice of Filing of a Proposed Rule Change Relating to Rule 6.56 (Release No. 34-82102; File No. SR-CBOE-2017-070); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.4-O (Series of Options Open for Trading) (Release No. 34-82094; File No. SR-NYSEArca-2017-128; November 16, 2017); see also Exhibit 5
• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.8, Order Types, to Clarify When a MidPoint Discretionary Order May Execute at Sub-Penny Prices (Release No. 34-82087; File No. SR-BatsEDGA-2017-29; November 15, 2017); see also Exhibit 5
• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 903 (Series of Options Open for Trading) (Release No. 34-82095; File No. SR-NYSEAMER-2017-31; November 16, 2017); see also Exhibit 5
• CHX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS (Release No. 34-82098; File No. SR-CHX-2017-14; November 16, 2017); see also Exhibit 5
• Bats BZX: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities under New Exchange Rule 11.28 (Release No. 34-82108; File No. SR-BatsBZX-2017-34)

Corporate Governance

• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Governing Documents of Its Intermediate Parent Companies Intercontinental Exchange Holdings, Inc., NYSE Holdings LLC and NYSE Group, Inc. to Make Them More Consistent with the Governing Documents of Their Ultimate Parent Intercontinental Exchange, Inc. (Release No. 34-82082; File No. SR-NYSEAMER-2017-29; November 15, 2017); see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F
• NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Governing Documents of Its Intermediate Parent Companies Intercontinental Exchange Holdings, Inc., NYSE Holdings LLC and NYSE Group, Inc. to Make Them More Consistent with the Governing Documents of Their Ultimate Parent Intercontinental Exchange, Inc. (Release No. 34-82084; File No. SR-NYSENAT-2017-05; November 15, 2017); see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Governing Documents of Its Intermediate Parent Companies Intercontinental Exchange Holdings, Inc., NYSE Holdings LLC and NYSE Group, Inc. to Make Them More Consistent with the Governing Documents of Their Ultimate Parent Intercontinental Exchange, Inc. (Release No. 34-82083; File No. SR-NYSEArca-2017-125; November 15, 2017); see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Governing Documents of Its Intermediate Parent Companies Intercontinental Exchange Holdings, Inc., NYSE Holdings LLC and NYSE Group, Inc. to Make Them More Consistent with the Governing Documents of Their Ultimate Parent Intercontinental Exchange, Inc. (Release No. 34-82081; File No. SR-NYSE-2017-57; November 15, 2017); see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F
• MRX: Order Granting Approval of a Proposed Rule Change to Adopt New Corporate Governance and Related Processes Similar to Those of the Nasdaq Exchanges (Release No. 34-82101; File No. SR-MRX-2017-18)

Fees, Fines, Rebates, and Claims​

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Options Pricing at Chapter XV, Section 2 (Release No. 34-82059; File No. SR-BX-2017-051); see also Exhibit 5
• Bats BZX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fees for Physical Ports as they Apply to the Exchange's Equity Options Platform (Release No. 34-82052; File No. SR-BatsBZX-2017-76; November 9, 2017); see also Exhibit 5
• Bats EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify its Fees for Physical Ports (Release No. 34-82061; File No. SR-BatsEDGA-2017-30); see also Exhibit 5
• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify its Fees for Physical Ports (Release No. 34-82060; File No. SR-BatsEDGX-2017-47); see also Exhibit 5
• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Fees for Its Recently Adopted Functionality for the Handling of Complex Orders on Its Equity Options Platform (Release No. 34-82057; File No. SR-BatsEDGX-2017-48); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section VIII of the Nasdaq PHLX LLC Pricing Schedule (Release No. 34-82074; File No. SR-Phlx-2017-90); see also Exhibit 5
• NMS: Notice of Filing and Immediate Effectiveness of the Twenty-Second Charges Amendment to the Second Restatement of the CTA Plan and the Thirteenth Charges Amendment to the Restated CQ Plan (Release No. 34-82071; File No. SR-CTA/CQ-2017-04)
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018 to Change the Amounts of Certain Credits for Entering Orders that Access Liquidity in the Exchange's Equities System (Release No. 34-82075; File No. SR-BX-2017-050); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018 (Release No. 34-82068; File No. SR-NASDAQ-2017-120); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to the NYSE Arca Equities Proprietary Market Data Fees (Release No. 34-82100; File No. SR-NYSEArca-2017-130); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Describe Functionality of and Adopt Fees for a New Front-End Order Entry and Management Platform (Release No. 34-82088; File No. SR-CBOE-2017-068; November 15, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fees for NYSE Arca BBO and NYSE Arca Trades to Lower the Enterprise Fee for those Products (Release No. 34-82099; File No. SR-NYSEArca-2017-129; November 16, 2017); see also Exhibit 5
• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe EDGX Exchange, Inc. (Release No. 34-82107; File No. SR-BatsEDGX-2017-50); see also Exhibit 5

Miscellaneous

• LCH SA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Margin Framework and Default Fund Methodology for Options on Index Credit Default Swaps (Release No. 34-82076; File No. SR-LCH SA-2017-008); Exhibit 5
• CHX: Notice of Filing of Amendment No. 2 to Proposed Rule Change in Connection with the Proposed Transaction involving CHX Holdings, Inc. and North America Casin Holdings, Inc. (Release No. 34-82077; File No. SR-CHX-2016-20)