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 February 5 to February 9, 2018.

Corporate Governance

• FICC: Notice of Filing of Proposed Rule Change to Amend the By-Laws and Make Other Changes (Release No. 34-82672; File No. SR-FICC-2018-002; Date: Feb. 8, 2018); Exhibit 5A

• NSCC: Notice of Filing of Proposed Rule Change to Amend the By-Laws and Make Other Changes (Release No. 34-82674; File No. SR-NSCC-2018-001; Date: Feb. 8, 2018); Exhibit 5A
• DTC: Notice of Filing of Proposed Rule Change to Amend the By-Laws (Release No. 34-82671; File No. SR-DTC-2018-001); see also Exhibit 5
• ICC: Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC's End-of-Day Price Discovery Policies and Procedures (Release No. 34-82641; File No. SR-ICC-2018-002)
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Certain of the Governing Documents of its Intermediate Parent Companies (Release No. 34-82640; File No. SR-NYSE-2018-07); see also Exhibit 5A
• NYSE American: Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Certain of the Governing Documents of its Intermediate Parent Companies (Release No. 34-82637; File No. SR-NYSEAMER-2018-03); see also Exhibit 5A
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain of the Governing /Documents of its Intermediate Parent Companies (Release No. 34-82638; File No. SR-NYSEArca-2018-09); see also Exhibit 5A
• NYSE National: Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Certain of the Governing Documents of its Intermediate Parent Companies (Release No. 34-82635; File No. SR-NYSENAT-2018-03); see also Exhibit 5A

Clearance and Settlement

• DTC, FICC, NSCC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Amend the Loss Allocation Rules and Make Other Changes (Release No. 34-82670; File Nos. SR-DTC-2017-022, SR-FICC-2017-022, SR-NSCC-2017-018)
• DTC, FICC, NSCC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Adopt a Recovery & Wind-down Plan and Related Rules (Release No. 34-82669; File Nos. SR-DTC-2017-021, SR-FICC-2017-021, SR-NSCC-2017-017)
• DTC: Order Approving Proposed Rule Change to Amend Procedures in the DTC Settlement Service Guide Relating to the Intra-Month Collection of Required Participants Fund Deposits (Release No. 34-82662; File No. SR-DTC-2017-024)
• ICEEU: Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Collateral and Haircut Policy (Release No. 34-82659; File No. SR-ICEEU-2017-011)
• OCC: Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Policy (Release No. 34-82658; File No. SR-OCC-2017-007; Date: Feb. 7, 2018)

Fees, Fines, Rebates and Claims

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-82673; File No. SR-MIAX-2018-02; Date: Feb. 8, 2018); see also Exhibit 5
• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee (Release No. 34-82665; File No. SR-C2-2018-003); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee (Release No. 34-82664; File No. SR-CBOE-2018-014); see also Exhibit 5
• CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee (Release No. 34-82660; File No. SR-CboeBZX-2018-008); 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. 34-82661; File No. SR-NYSEArca-2018-10); see also Exhibit 5
• OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees (Release No. 34-82657; File No. SR-OCC-2018-005)
• CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform (Release No. 34-82645; File No. SR-CboeEDGX-2018-004); see also Exhibit 5
• CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform (Release No. 34-82652; File No. SR-CboeBZX-2018-009); see also Exhibit 5
• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Amend the BOX Volume Rebate (Release No. 34-82655; File No. SR-BOX-2018-03); see also Exhibit 5
• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Section VI. (Technology Fees) of the BOX Fee Schedule (Release No. 34-82654; File No. SR-BOX-2018-04); see also Exhibit 5
• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees (Release No. 34-82647; File No. SR-C2-2018-002); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees (Release No. 34-82650; File No. SR-CBOE-2018-013); see also Exhibit 5
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule Concerning the Floor Broker SPX Surcharge (Release No. 34-82648; File No. SR-CBOE-2018-015); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule to Exclude NDX and NDXP Options from the Strategy Caps and from Special Pricing for FLEX Transactions (Release No. 34-82653; File No. SR-Phlx-2018-13); see also Exhibit 5
• Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc. (Release No. 34-82642; File No. SR-CboeBZX-2018-007); see also Exhibit 5
• IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an IEX Enhanced Market Maker ("IEMM") Program (Release No. 34-82636; File No. SR-IEX-2018-02); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees to Modify Complex Order Fees and Rebates (Release No. 34-82644; File No. SR-ISE-2018-10); see also Exhibit 5
• NSCC: Notice of Filing of Advance Notice, as Modified by Amendment No. 1, to Enhance the Calculation of the Volatility Component of the Clearing Fund Formula that Utilizes a Parametric Value-at-Risk Model and Eliminate the Market Maker Domination Charge (Release No. 34-82631; File No. SR-NSCC-2017-808); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules 7030, 7034, and 7051 (Release No. 34-82628; File No. SR-BX-2018-006); see also Exhibit 5

Products and Listings

• ISE: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Permit the Listing and Trading of NQX Index Options on a Pilot Basis (Release No. 34-82666; File No. SR-ISE-2017-106)
• Cboe BZX: 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 LHA Market State Tactical U.S. Equity ETF, a Series of the ETF Series Solutions, under Rule 14.11(i), Managed Fund Shares (Release No. 34-82643; File No. SR-CboeBZX-2017-012)

Trading and Trade Reporting

• DTC: Order Approving Proposed Rule Change to Restore the Timeframe for Processing Credit Post-Payable Adjustments (Release No. 34-82663; File No. SR-DTC-2017-023)

• NASDAQ: Notice of Designation of Longer Period for Commission Action on 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. 34-82629; File No. SR-NASDAQ-2017-074)

Miscellaneous

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Obsolete Rules (Release No. 34-82646; File No. SR-CBOE-2018-010); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Cross-Reference to Rule 124(d) from Rule 1092 (Release No. 34-82649; File No. SR-Phlx-2018-15); see also Exhibit 5