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 20 to February 23, 2018.

Corporate Governance

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1082 and Eliminate Obsolete Language Referring to Legacy Phlx XL System (Release No. 34-82765; File No. SR-Phlx-2018-16); see also Exhibit 5

Fees, Fines, Rebates and Claims

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Gateway Fees (Release No. 34-82749; File No. SR-ISE-2018-15); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section VI.A. of the Exchange's Pricing Schedule to Clarify the Exchange's Billing Practices with Respect to Permit Fees (Release No. 34-82753; File No. SR-Phlx-2018-17)

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-82740; File No. SR-MIAX-2018-04); see also Exhibit 5

Miscellaneous

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination (Release No. 34-82754; File No. SR-FINRA-2018-007)

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Operations Professional (Series 99) Examination (Release No. 34-82752; File No. SR-FINRA-2018-006)

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations (Release No. 34-82751; File No. SR-FINRA-2018-005)

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination (Release No. 34-82750; File No. SR-FINRA-2018-004)

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination (Release No. 34-82748; File No. SR-FINRA-2018-009); see also Exhibit 3c, Exhibit 3a

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination (Release No. 34-82747; File No. SR-FINRA-2018-008); see also Exhibit 3c, Exhibit 3a

Products and Listings

• Cboe BZX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust, Under Rule 14.11(f)(4), Trust Issued Receipts (Release No. 34-82759; File No. SR-CboeBZX-2018-001)

• Cboe BZX: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Shares of the iShares Gold Exposure ETF, a Series of the iShares U.S. ETF Trust, Under Exchange Rule 14.11(i), Managed Fund Shares (Release No. 34-82758; File No. SR-CboeBZX-2017-023)

• NASDAQ: Notice of Filing of Proposed Rule Change to List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF (Release No. 34-82761; File No. SR-NASDAQ-2018-012)

• CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Expand the Short Term Options Series Program to Allow Monday Expirations for SPDR S&P 500 ETF Trust Options on the Exchange's Equity Options Platform (Release No. 34-82734; File No. SR-CboeEDGX-2018-007; Date: Feb. 16, 2018)

• NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade the Shares of the Western Asset Total Return ETF (Release No. 34-82757; File No. SR-NASDAQ-2017-128)

• Bats BZX: Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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. 34-82739; File No. SR-BatsBZX-2017-72)

Trading and Trade Reporting

• Phlx: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt New Order Type Protections, Butterfly and Box Spread Protections for Complex Order Strategy Trades (Release No. 34-82766; File No. SR-Phlx-2018-14); see also Exhibit 5

• PEARL: Notice of Filing of a Proposed Rule Change to Adopt Rules Relating to Trading in Index Options (Release No. 34-82756; File No. SR-PEARL-2018-02); see also Exhibit 5

• Cboe EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify EDGX Rule 21.1 and Related Functionality Applicable to the Exchange's Options Platform (Release No. 34-82741; File No. SR-CboeEDGX-2018-005); see also Exhibit 5