Weekly Roundup of Exchange Rules by Category

Click on the links to view SEC notices of exchange rule changes and proposals for the week of May 7 to May 11, 2018.

Corporate Governance

• FICC-AN: Notice of Filing of Amendment No. 1 and Notice of No Objection to Advance Notice Filing, as Modified by Amendment No. 1, to Implement Changes to the Method of Calculating Netting Members' Margin in the Government Securities Division Rulebook (Release No. 34-83223; File No. SR-FICC-2018-801)

Fees, Fines, Rebates & Claims

• Cboe BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BYX Exchange, Inc. (Release No. 34-83211; File No. SR-CboeBYX-2018-004); 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. 34-83210; File No. SR-CboeBZX-2018-030); see also Exhibit 5

• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE American Options Fee Schedule (Release No. 34-83203; File No. SR-NYSEAMER-2018-20; Date: May 9, 2018); see also Exhibit 5

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility to Amend Connectivity Fees and Establish Port Fees (Release No. 34-83197; File No. SR-BOX-2018-15); see also Exhibit 5

• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule, Including Connectivity Fees, in Connection with its Technology Migration (Release No. 34-83201; File No. SR-C2-2018-006); see also Exhibit 5

• Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Certain Routing Fees Related to its Equity Options Platform (Release No. 34-83200; File No. SR-CboeBZX-2018-031); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule (Release No. 34-83202; File No. SR-NYSEArca-2018-29); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reorganize and Amend the Exchange's Pricing Schedule at Section VII, B, Entitled "Port Fees" (Release No. 34-83194; File No. SR-Phlx-2018-34); see also Exhibit 5

• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-83188; File No. SR-PEARL-2018-12); see also Exhibit 5

• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Statutory Disqualification Application Fees (Release No. 34-83181; File No. SR-FINRA-2018-018); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Marketing Fee Program with Respect to the Russell 2000 Index Options (Release No. 34-83220; File No. SR-CBOE-2018-034); see also Exhibit 5

• FICC: Notice of Filing of Proposed Rule Change to Introduce a Floor to the Calculation of the Fails Charges and Make Other Changes (Release No. 34-83222; File No. SR-FICC-2018-004); see also Exhibit 5

Products and Listing

• Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Under BZX Rule 14.11(c)(4) Shares of the iShares Long-Term National Muni Bond ETF of iShares Trust (Release No. 34-83206; File No. SR-CboeBZX-2018-033)

• Cboe BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Continue Listing and Trading Shares of the Cambria Sovereign Bond ETF (Release No. 34-83187; File No. SR-CboeBZX-2018-032)

• IEX: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Establish a New Optional Listing Category on the Exchange, "LTSE Listings on IEX" (Release No. 34-83217; File No. SR-IEX-2018-06)

Market Data

• NASDAQ: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Memorialize Order and Execution Available to Participants into Chapter VI, Section 19, Entitled Data Feeds (Release No. 34-83198; File No. SR-NASDAQ-2018-035); see also Exhibit 5

• NASDAQ: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reorganize and Amend The Nasdaq Options Market LLC Chapter XV, Section 3, entitled "Nasdaq Options Market – Ports and Other Services (Release No. 34-83193; File No. SR-NASDAQ-2018-036); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Memorialize Its Order and Execution Information into Chapter VI, Section 19, Entitled Data Feeds (Release No. 34-83199; File No. SR-BX-2018-016); see also Exhibit 5

• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reorganize and Amend Chapter XV, Section 3, entitled BX Options Market – Ports and Other Services (Release No. 34-83192; File No. SR-BX-2018-017); see also Exhibit 5

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Memorialize Its Order And Execution Information into Phlx Rule 1070 (Release No. 34-83196; File No. SR-Phlx-2018-33); see also Exhibit 5

• NYSE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Users with Connectivity to Three Additional Third Party Data Feeds and Change its Price List Related to these Co-location Services (Release No. 34-83221; File No. SR-NYSE-2018-20); see also Exhibit 5

• NYSEAMER: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Users with Connectivity to Three Additional Third Party Data Feeds and to Change the NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to these Co-location Services (Release No. 34-83219; File No. SR-NYSEAMER-2018-19); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Users with Connectivity to Three Additional Third Party Data Feeds and Change the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to these Co-location Services (Release No. 34-83218; File No. SR-NYSEArca-2018-28); see also Exhibit 5

Trading & Trade Reporting

• CBOE: Order Approving a Proposed Rule Change Relating to Flexibly Structured Options (Release No. 34-83205; File No. SR-CBOE-2018-008; Date: May 9, 2018)

• Phlx: Order Granting Approval of Proposed Rule Change To Create a New Rule 1081, To Amend Electronic Market Maker Obligations and Quoting Requirements for Electronic ROTs, Which Will Be Defined To Include SQTs, RSQTs, Directed SQTs, Directed RSQTs, Specialists, and Remote Specialists (Release No. 34-83209; File No. SR-Phlx-2018-22)

Miscellaneous

• 17d-2: Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc., Cboe Exchange, Inc., and Cboe C2 Exchange, Inc. (Release No. 34-83208; File No. 4-536)

• MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Language of Certain Administrative Rules to Continue to Help Ensure that They Reflect MSRB Practices and Improve Consistency Among the Rules (Release No. 34-83207; File No. SR-MSRB-2018-03); see also Exhibit 5

• MSRB: Order Granting Approval of a Proposed Rule Change, Consisting to Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors (Release No. 34-83177; File No. SR-MSRB-2018-01)

• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules in Connection with the Migration of Cboe C2 to Cboe EDGX Options Technology (Release No. 34-83214; File No. SR-C2-2018-005); see also Exhibit 5, Exhibit 3c, Exhibit 3b, Exhibit 3a

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Zero-Bid Option Series (Release No. 34-83195; File No. SR-Phlx-2018-35; Date: May 9, 2018); see also Exhibit 5