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 March 12 to March 16, 2018.

Clearance and Settlement

• FICC: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to the Required Fund Deposit Calculation in the Government Securities Division Rulebook (Release No. 34-82876; File No. SR-FICC-2018-001)

• LCH SA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to End of Day Price Contribution (Release No. 34-82863; File No. SR-LCH SA-2018-002); see also Exhibit 5

• LCH SA: Order Granting Approval on an Accelerated Basis of Proposed Rule Change Relating to Self-Referencing Transactions (Release No. 34-82883; File No. SR-LCH SA-2018-001)

• ICC: Order Approving Proposed Rule Change Relating to the ICC Rules, ICC Risk Management Model Description Document, ICC Risk Management Framework, ICC Stress Testing Framework, and ICC Liquidity Risk Management Framework (Release No. 34-82853; File No. SR-ICC-2018-001)

Fees, Fines, Rebates and Claims

• Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Market Data Section of the Fee Schedule Applicable to its Equity Options Platform (Release No. 34-82874; File No. SR-CboeBZX-2018-017); see also Exhibit 5

• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-82868; File No. SR-MIAX-2018-08); see also Exhibit 5

• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule (Release No. 34-82867; File No. SR-PEARL-2018-07); see also Exhibit 5

• Phlx: Notice of Filing of Proposed Rule Change to a Proposal to Amend Rule 1079, FLEX Index, Equity and Currency Options and Rule 1059, Accommodation Transactions (Release No. 34-82866; File No. SR-Phlx-2018-20); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-82855; File No. SR-CBOE-2018-019); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for Options that Overlie the S&P Select Sector Index Options (Release No. 34-82854; File No. SR-CBOE-2018-012); see also Exhibit 5

Products and Listings

• Cboe BZX: Notice of Filing of a Proposed Rule Change to List on the Exchange Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares (Release No. 34-82881; File No. SR-CboeBZX-2018-019)

• NMS: Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add Miami International Securities Exchange, LLC as a Party Thereto (Release No. 34-82885; File No. 4-533)

• Cboe BZX: Order Granting Approval 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. 34-82872; File No. SR-CboeBZX-2017-011); see also Cboe BZX Exchange, Inc.

• NYSE AMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE American Company Guide to Require that Listed Companies Provide Notice to the Exchange of Announcements of Dividends or Stock Distributions at Least Ten Minutes in Advance of Public Release (Release No. 34-82864; File No. SR-NYSEAMER-2018-07); see also Exhibit 5

Trading and Trade Reporting

• NASDAQ: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Allow Participants to Designate when an Order with a RTFY or SCAN Routing Order Attribute will be Activated During Pre-Market Hours (Release No. 34-82871; File No. SR-NASDAQ-2017-088)

• NMS: Notice of Filing of the Seventeenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. (Release No. 34-82888; File No. 4-631)

• NMS: Notice of Filing and Immediate Effectiveness of the Sixteenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. (Release No. 34-82887; File No. 4-631)

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.56, Compression Forums (Release No. 34-82875; File No. SR-CBOE-2018-022)

• CHX: Notice of Filing of Proposed Rule Change to Adopt the Route QCT Cross Routing Option (Release No. 34-82870; File No. SR-CHX-2018-001); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Transaction Fees at Section VIII (Release No. 34-82865; File No. SR-Phlx-2018-21); see also Exhibit 5