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 January 22 to January 26, 2018.

Clearance and Settlement

• LCH SA: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt LCH SA's Wind Down Plan (Release No. 34-82571; File No. SR-LCH SA-2017-013)
• LCH SA: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt LCH SA's Recovery Plan (Release No. 34-82570; File No. SR-LCH SA-2017-012)
• DTC: Notice of Filing and Extension of the Review Period of an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules (Release No. 34-82579; File No. SR-DTC-2017-803); see also Exhibit 5a, Exhibit 5b
• FICC: Notice of Filing of Proposed Rule Changes to the Required Fund Deposit Calculation in the Government Securities Division Rulebook (Release No. 34-82588; File No. SR-FICC-2018-001); see also Exhibit 5
• OCC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan (Release No. 34-82586; File No. SR-OCC-2017-021)
• OCC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios (Release No. 34-82585; File No. SR-OCC-2017-020)
• NSCC AN: Notice of Filing and Extension of the Review Period of an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes (Release No. 34-82584; File No. SR-NSCC-2017-806; Date: Jan. 24, 2018); see also Exhibit 5
• NSCC AN: Notice of Filing and Extension of the Review Period of an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules (Release No. 34-82581; File No. SR-NSCC-2017-805; Date: Jan. 24, 2018); see also Exhibit 5a, Exhibit 5b
• FICC AN: Notice of Filing and Extension of the Review Period of an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes (Release No. 34-82583; File No. SR-FICC-2017-806; Date: Jan. 24, 2018); see also Exhibit 5
• FICC AN: Notice of Filing and Extension of the Review Period of an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules (Release No. 34-82580; File No. SR-FICC-2017-805; Date: Jan. 24, 2018); see also Exhibit 5a, Exhibit 5b
• DTC AN: Notice of Filing and Extension of the Review Period of an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes (Release No. 34-82582; File No. SR-DTC-2017-804; Date: Jan. 24, 2018); see also Exhibit 5

Corporate Governance

• NYSE: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend the NYSE Listed Company Manual to Modify Its Requirements with Respect to Physical Delivery of Proxy Materials to the Exchange (Release No. 34-82565; File No. SR-NYSE-2017-42)

Fees, Fines, Rebates and Claims

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List (Release No. 34-82563; File No. SR-NYSE-2018-03); see also Exhibit 5
• OCC: Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Fee Policy (Release No. 34-82576; File No. SR-OCC-2018-001)
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Assess Fees for OTTO Port, CTI Port, FIX Port, FIX Drop Port and Disaster Recovery Port Connectivity (Release No. 34-82568; File No. SR-ISE-2018-07); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fees at Rule 7023 (Release No. 34-82567; File No. SR-BX-2018-005); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section VIII of the Exchange's Pricing Schedule (Release No. 34-82569; File No. SR-Phlx-2018-10); see also Exhibit 5

Miscellaneous

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the New Securities Industry Essentials Examination (Release No. 34-82578; File No. SR-FINRA-2018-002)

Products and Listings

• NASDAQ: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Causeway International Value NextShares and the Causeway Global Value NextShares (Release No. 34-82564; File No. SR-NASDAQ-2017-123)
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Listing Standard for Warrants in Section 703.12 of the Exchange's Listed Company Manual (Release No. 34-82566; File No. SR-NYSE-2018-04); see also Exhibit 5
• Cboe BZX: Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the First Trust Bitcoin Strategy ETF and the First Trust Inverse Bitcoin Strategy ETF, Each a Series of the First Trust Exchange-Traded Fund VII, Under Rule 14.11(i), Managed Fund Shares (Release No. 34-82561; File No. SR-CboeBZX-2017-021)
• Cboe BZX: Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the REX Bitcoin Strategy ETF and the REX Short Bitcoin Strategy ETF, Each a Series of the Exchange Listed Funds Trust, Under Rule 14.11(i), Managed Fund Shares (Release No. 34-82560; File No. SR-CboeBZX-2017-013)
• Cboe BZX: Notice of Designation of a Longer Period for Commission Action on 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. 34-82559; File No. SR-CboeBZX-2017-011)
• Cboe BZX: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Shares of a Series of the Cboe Vest S&P 500 Buffer Protect Strategy ETF Under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares (Release No. 34-82558; File No. SR-CboeBZX-2017-005)
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 502 (Release No. 34-82572; File No. SR-ISE-2018-06; Date: Jan. 23, 2018); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Criteria for Listing Underlying Securities (Release No. 34-82573; File No. SR-NASDAQ-2018-005; Date: Jan. 23, 2018); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter IV, Section 3 (Release No. 34-82574; File No. SR-BX-2018-004; Date: Jan. 23, 2018); see also Exhibit 5
• Bats BZX: Notice of Filing of Amendment No. 4 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, to List and Trade Shares of the iShares Inflation Hedged Corporate Bond ETF Under Rule 14.11(i), Managed Fund Shares (Release No. 34-82591; File No. SR-BatsBZX-2017-54)
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Technical Adjustment to its Rules to Allow Sub-Penny Quoting and Order Entry in Managed Fund Shares Priced Less than $1.00 (Release No. 34-82589; File No. SR-NASDAQ-2018-006); see also Exhibit 5
• NYSE Arca: Order Approving a Proposed Rule Change to List and Trade Shares of the Perth Mint Physical Gold ETF Trust Pursuant to NYSE Arca Rule 8.201-E (Release No. 34-82593; File No. SR-NYSEArca-2017-140)
• 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 the Hartford Schroders Tax-Aware Bond ETF under NYSE Arca Rule 8.600-E (Release No. 34-82592; File No. SR-NYSEArca-2017-99)
• NYSE Arca: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Guggenheim Ultra Short Duration ETF and the Guggenheim Total Return Bond ETF (Release No. 34-82587; File No. SR-NYSEArca-2018-05)

Trading and Trade Reporting

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate and Amend Rule 1080(1) (Release No. 34-82577; File No. SR-Phlx-2018-09); see also Exhibit 5
• Bats BZX: Notice of Intention to Petition for Review of Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. I. to Introduce Choe Market Close, a Closing Match Process for Non-BZX Listed Securities under New Exchange Rule 11.28; Exchange Act (Release No. 34-82522, File No. SRBatsBZX-2017-34; Date: Jan. 24, 2018)
• Bats BZX: Notice of Intention to Petition for Review of Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. I. to Introduce Choe Market Close, a Closing Match Process for Non-BZX Listed Securities under New Exchange Rule 11.28; Exchange Act (Release No. 34-82522, File No. SRBatsBZX-2017-34; Date: Jan. 24, 2018)
• Bats BZX: Notice of Intention to Petition for Review of Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. l, to Introduce Cboe Market Close, a Closing Match Process for Non-BZX Listed Securities under New Exchange Rule 11.28 (Release No. 34-82522, File No. SR-BatsBZX-2017-34; Date: Jan. 24, 2018)
• Bats BZX: Notice of Intention to Petition for Review of Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. I. to Introduce Cboe Market Close, a Closing Match Process for Non-BZX Listed Securities under New Exchange Rule 11.28; Exchange Act (Release No. 34-82522, File No. SRBatsBZX-2017-34)
• Bats BZX: Notice of Intention to Petition for Review of Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. l, to Introduce Cboe Market Close, a Closing Match Process for Non-BZX Listed Securities under New Exchange Rule 11.28 (Release No. 34-82522, File No. SR-BatsBZX-2017-34)