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 December 11 to December 15, 2017.

Clearance and Settlement

• OCC: Order Approving Proposed Rule Change Relating to The Options Clearing Corporation's Counterparty Credit Risk Management Policy (Release No. 34-82312; File No. SR-OCC-2017-009)
• OCC: Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Collateral Risk Management Policy (Release No. 34-82311; File No. SR-OCC-2017-008)
• OCC: Order Approving Proposed Rule Change Relating to The Options Clearing Corporation's Default Management Policy (Release No. 34-82310; File No. SR-OCC-2017-010)
• OCC: Order Approving Proposed Rule Change Concerning Liquidity for Same Day Settlement (Release No. 34-82309; File No. SR-OCC-2017-017)
• OCC: Notice of No Objection to Advance Notice Concerning Liquidity for Same-Day Settlement (Release No. 34-82296; File No. SR-OCC-2017-806)
• LCH SA: Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to LCH SA's Wind Down Plan (Release No. 34-82317; File No. SR-LCH SA-2017-013; December 13, 2017)
• LCH SA: Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to LCH SA's Recovery Plan (Release No. 34-82316; File No. SR-LCH SA-2017-012; December 13, 2017)
• ICEEU: Order Approving Proposed Rule Change Relating to the ICE Clear Europe Procyclicality Framework (Release No. 34-82313; File No. SR-ICEEU-2017-013)

Fees, Fines, Rebates and Claims

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange Fees at Rules 7023, 7044, 7045 and 7048 to Withdraw Four Rarely-Purchased Products From Sale (Release No. 34-82302; File No. SR-NASDAQ-2017-126; December 12, 2017); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List Relating to Co-location Services to Implement a Fee Change for Fiber Cross Connects (Release No. 34-82299; File No. SR-NYSE-2017-63; December 12, 2017); see also Exhibit 5
• 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 Implement a Fee Change for Fiber Cross Connects (Release No. 34-82297; File No. SR-NYSEAMER-2017-36; December 12, 2017); 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 Implement a Fee Change for Fiber Cross Connects (Release No. 34-82298; File No. SR-NYSEArca-2017-135; December 12, 2017); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VIII of the Phlx Pricing Schedule to Waive Port Fees for New PSX Participants for a Limited Time (Release No. 34-82314; File No. SR-Phlx-2017-100); see also Exhibit 5
• BOX: Notice of Filing of Amendment No. 2 to a Proposed Rule Change Amending Consolidated Audit Trail Funding Fees (Release No. 34-82267; File No. SR-BOX-2017-16); see also Exhibit 4, Exhibit 5
• BOX: Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-82266; File No. SR-BOX-2017-16); see also Exhibit 3, Exhibit 4, Exhibit 5
• C2: Notice of Filing of Amendment No. 2 to the Proposed Rule Change to Amend the Schedule of Fees and Assessments to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-82271; File No. SR-C2-2017-017); see also Exhibit 4, Exhibit 5
• C2: Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-82270; File No. SR-C2-2017-017); see also Exhibit 3 , Exhibit 4, Exhibit 5
• CBOE: Notice of Filing of Amendment No. 2 to the Proposed Rule Change to Amend the Schedule of Fees and Assessments to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-82273; File No. SR-CBOE-2017-040); see also Exhibit 4, Exhibit 5
• CBOE: Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-82272; File No. SR-CBOE-2017-040); see also Appendix, Exhibit 5
• ISE: Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Adopt Rule 7004 and Chapter XV, Section 11 (Release No. 34-82283; File No. SR-ISE-2017-045); see also Exhibit 4, Exhibit 5
• MIAX: Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-82257; File No. SR-MIAX-2017-18); see also Exhibit 4, Exhibit 5
• MIAX: Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-82256; File No. SR-MIAX-2017-18); see also Exhibit 3, Exhibit 4, Exhibit 5
• NASDAQ: Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Adopt Rule 7004 and Chapter XV, Section 11 (Release No. 34-82285; File No. SR-NASDAQ-2017-046); see also Exhibit 3, Exhibit 4, Exhibit 5
• NASDAQ OMX BX: Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Adopt Rule 7004 and Chapter XV, Section 11 (Release No. 34-82284; File No. SR-BX-2017-023); see also Exhibit 4, Exhibit 5
• NYSE: Notice of Filing of Amendment No. 2 to Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees (Release No. 34-82261; File No. SR-NYSE-2017-22); see also Exhibit 4, Exhibit 5
• NYSE: Notice of Filing of Amendment No. 1 to a Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees (Release No. 34-82260; File No. SR-NYSE-2017-22); see also Exhibit 3, Exhibit 4, Exhibit 5
• NYSE Arca: Notice of Filing of Amendment No. 2 to Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees (Release No. 34-82265; File No. SR-NYSEArca-2017-52); see also Exhibit 4, Exhibit 5
• NYSE Arca: Notice of Filing of Amendment No. 1 to a Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees (Release No. 34-82264; File No. SR-NYSEArca-2017-52); see also Exhibit 3, Exhibit 4, Exhibit 5
• NYSEMKT: Notice of Filing of Amendment No. 2 to Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees (Release No. 34-82263; File No. SR-NYSEMKT-2017-26); see also Exhibit 4, Exhibit 5
• NYSEMKT: Notice of Filing of Amendment No. 1 to a Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees (Release No. 34-82262; File No. SR-NYSEMKT-2017-26); see also Exhibit 3, Exhibit 4, Exhibit 5
• PEARL: Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-82255; File No. SR-PEARL-2017-20); see also Exhibit 4, Exhibit 5
• PEARL: Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-82254; File No. SR-PEARL-2017-20); see also Exhibit 3, Exhibit 4, Exhibit 5
• IEX: Notice of Filing of Amendment No. 2 to the Proposed Rule Change to Amend the Schedule of Fees and Assessments to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-82259; File No. SR-IEX-2017-16); see also Exhibit 4, Exhibit 5
• IEX: Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-82258; File No. SR-IEX-2017-16); see also Appendix, Exhibit 4, Exhibit 5
• GEMX: Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Adopt Rule 7004 and Chapter XV, Section 11 (Release No. 34-82286; File No. SR-GEMX-2017-17) see also Exhibit 3, Exhibit 4, Exhibit 5
• Bats EDGX: Notice of Filing of Amendment No. 2 to the Proposed Rule Change to Amend the Schedule of Fees and Assessments to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-82277; File No. SR-BatsEDGX-2017-22); see also Exhibit 4A, Exhibit 5A
• Bats EDGX: Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-82276; File No. SR-BatsEDGX-2017-22); see also Appendix, Exhibit 4A, Exhibit 5A
• Bats BZX: Notice of Filing of Amendment No. 2 to the Proposed Rule Change to Amend the Schedule of Fees and Assessments to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-82279; File No. SR-BatsBZX-2017-38); see also Exhibit 4A, Exhibit 5A
• Bats BZX: Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-82278; File No. SR-BatsBZX-2017-38); see also Appendix, Exhibit 4A, Exhibit 5A
• Cboe EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Cboe EDGX Exchange, Inc. Equity Option Platform (Release No. 34-82300; File No. SR-CboeEDGX-2017-004); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Schedule (Release No. 34-82308; File No. SR-CBOE-2017-077); see also Exhibit 5A
• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Access and Routing Subsidy Program (Release No. 34-82319; File No. SR-GEMX-2017-55); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Calculation of the Member Order Routing Program (Release No. 34-82320; File No. SR-ISE-2017-103); see also Exhibit 5

Products and Listings

• NASDAQ: Notice of Filing of Proposed Rule Change to List and Trade the Shares of the Causeway International Value NextShares and the Causeway Global Value NextShares (Release No. 34-82290; File No. SR-NASDAQ-2017-123)
• NYSE Arca: Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of Twelve Series of Investment Company Units Pursuant to NYSE Arca Rule 5.2-E(j) (3) (Release No. 34-82295; File No. SR-NYSEArca-2017-56; December 12, 2017)
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4120 (Limit Up-Limit Down Plan and Trading Halts) to Reduce the Length of the "Display-Only Period" for the Initial Pricing on Nasdaq of a Security that is the Subject of an Initial Public Offering (Release No. 34-82327; File No. SR-NASDAQ-2017-129); 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 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. 34-82301; File No. SR-BatsBZX-2017-30; December 12, 2017)
• Cboe BZX: Notice of Filing of a Proposed Rule Change to List and Trade the Common Shares of Beneficial Interest of the PowerShares Income Builder Portfolio, a Series of PowerShares Exchange-Traded Fund Trust II (Release No. 34-82328; File No. SR-CboeBZX-2017-011)

Trading and Trade Reporting

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program until June 30, 2018 (Release No. 34-82289; File No. SR-NYSEArca-2017-137); see also Exhibit 5
• Cboe EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.8, Order Types (Release No. 34-82306; File No. SR- CboeEDGX-2017-002); see also Exhibit 5
• BOX: Notice of Filing of Proposed Rule Change to Adopt Rule 7600(i) to Allow Split-price Transactions on the Trading Floor (Release No. 34-82315; File No. SR-BOX-2017-36; December 13, 2017); see also Exhibit 5
• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Primary Market Maker Obligations (Release No. 34-82326; File No. SR-GEMX-2017-56); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Primary Market Maker Obligations (Release No. 34-82318; File No. SR-ISE-2017-104); see also Exhibit 5
• MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Primary Market Maker Obligations (Release No. 34-82324; File No. SR-MRX-2017-27); see also Exhibit 5
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 300 (Release No. 34-82325; File No. SR-NYSE-2017-67); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist Obligations (Release No. 34-82322; File No. SR-Phlx-2017-101); see also Exhibit 5
• Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.9, Primary Pegged Order (Release No. 34-82304; File No. SR-CboeBZX-2017-008; December 12, 2017); see also Exhibit 5
• Cboe BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.9, Primary Pegged Order (Release No. 34-82303; File No. SR-CboeBYX-2017-002; December 12, 2017); see also Exhibit 5

• Cboe EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.8, Order Types (Release No. 34-82305; File No. SR-CboeEDGA-2017-002; December 12, 2017); see also Exhibit 5