United States: Weekly Roundup Of Exchange Rules By Category - August 18, 2017

Click on the links below to view SEC notices of exchange rule changes and proposals for the week of August 14 to August 18, 2017.

Clearance and Settlement

• ICC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Provide for the Clearance of Additional Credit Default Swap Contracts (Release No. 34-81413; File No. SR-ICC-2017-008; August 17, 2017)
• ICC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Provide for the Clearance of Additional Credit Default Swap Contracts (Release No. 34-81414; File No. SR-ICC-2017-009; August 17, 2017)
• ICC: Order Approving Proposed Rule Change to Revise the ICC Clearing Rules and the ICC Treasury Operations Policies and Procedures (Release No. 34-81386; File No. SR-ICC-2017-010; August 14, 2017)

Corporate Governance

• GEMX: Notice of Filing of Proposed Rule Change to Adopt New Corporate Governance and Related Processes Similar to Those of the Nasdaq Exchanges (Release No. 34-81422; File No. SR-GEMX-2017-37; August 17, 2017); see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Change in Connection with the Name Change of its Affiliate, from NYSE MKT LLC to NYSE American LLC (Release No. 34-81420; File No. SR-NYSE-2017-41; August 17, 2017); see also Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D
• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Certain Rules Adopted in Connection with the Exchange's Transition to a Fully-Automated Cash Equities Market to the List of Minor Rule Violations in Rule 9217 of the Office Rules (Release No. 34-81418; File No. SR-NYSEAMER-2017-06; August 17, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, in Connection with the Proposed Merger of Its Wholly Owned Subsidiary NYSE Arca Equities, Inc. with and into the Exchange (Release No. 34-81419; File No. SR-NYSEArca-2017-40; August 17, 2017)

Fees, Fines, Rebates, and Claims

• BOX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 2120 (Trading Conduct and Order & Decorum on the Trading Floor) and Amend Rule 12140 (Imposition of Fines for Minor Rule Violations) to Adopt Rule Violations and Sanctions Applicable to the Trading Floor (Release No. 34-81398; File No. SR-BOX-2017-26; August 15, 2017); see also Exhibit 5
• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create the Market Access and Routing Subsidy Program (Release No. 34-81431; File No. SR-GEMX-2017-39; August 18, 2017); see also Exhibit 5
• NSCC: Notice of Filing of Proposed Rule Change to Amend and Clarify a Margin Charge Relating to CNS Fails Position (Release No. 34-81439; File No. SR-NSCC-2017-015; August 18, 2017); see also Exhibit 5
• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE American Options Fee Schedule (Release No. 34-81408; File No. SR-NYSEAMER-2017-04; August 16, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Modify the Fees and Credits for Routing Certain Orders to NYSE American LLC (Release No. 34-81392; File No. SR-NYSEArca-2017-89; August 14, 2017); see also Exhibit 5

Market Data

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify When Nasdaq Will Utilize the Secondary Source of Data (Release No. 34-81390; File No. SR-NASDAQ-2017-082; August 14, 2017); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Clarify When the Exchange Will Utilize the Secondary Source of Data Pursuant to Rule 4759 (Release No. 34-81381; File No. SR-BX-2017-037; August 11, 2017); see also Exhibit 5
• NYSE: Order Granting Approval of Proposed Rule Change to Provide Advance Notice of Dividend or Stock Distribution Announcements to the Exchange (Release No. 34-81393; File No. SR-NYSE-2017-17; August 14, 2017)
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Clarify When Nasdaq PSX Will Utilize the Secondary Source of Data Pursuant to Rule 3304 (Release No. 34-81382; File No. SR-Phlx-2017-65; August 11, 2017); see also Exhibit 5

Miscellaneous

• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.2, Days and Hours of Business (Release No. 34-81404; File No. SR-BatsBZX-2017-52; August 15, 2017)
• CFE: Notice of Filing of a Proposed Rule Change regarding Recordkeeping Requirements (Release No. 34-81402; File No. SR-CFE-2017-002; August 15, 2017); see also Exhibit 4
• LCH SA: Notice of Filing of Proposed Rule Change Relating to Margin Framework and Default Fund Methodology for Options on Index Credit Default Swaps (Release No. 34-81399; File No. SR-LCH SA-2017-007; August 15, 2017)
• MSRB: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to MSRB Rule G-21(e), on Municipal Fund Security Product Advertisements (Release No. 34-81432; File No. SR-MSRB-2017-04; August 18, 2017); see also Exhibit 4, Exhibit 5

Products and Listings

• Bats BZX: Notice of Filing of a Proposed Rule Change to Extend the Implementation Date for Certain Changes to Exchange Rules 14.11 and 14.12 (Release No. 34-81387; File No. SR-BatsBZX-2017-50; August 14, 2017)
• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 5050 (Series of Options Contracts Open for Trading), IM-5050-1, to Include the iShares S&P 500 Index ETF in the List of Exchange-Traded Funds Eligible for $1 Strike Price Intervals (Release No. 34-81391; File No. SR-BOX-2017-27; August 14, 2017); see also Exhibit 5
• NASDAQ: Notice of Filing of a Proposed Rule Change to Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 5810 (Release No. 34-81406; File No. SR-NASDAQ-2017-081; August 16, 2017)
• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Facilitate the Listing and Trading of Certain Series of Investment Company Units Listed Pursuant to NYSE Arca Equities Rule 5.2(j)(3) (Release No. 34-81400; File No. SR-NYSEArca-2017-56; August 15, 2017)
• NYSE Arca: Notice of Filing of Proposed Rule Change to Extend the Implementation Date for Certain Changes to the NYSE Arca Rule 5 and Rule 8 Series (Release No. 34-81411; File No. SR-NYSEArca-2017-84; August 16, 2017)
• NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade Shares of ProShares QuadPro Funds under NYSE Arca Equities Rule 8.200 (Release No. 34-81388; File No. SR-NYSEArca-2017-69; August 14, 2017)

Trading and Trade Reporting

• Bats BZX: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28 (Release No. 34-81437; File No. SR-BatsBZX-2017-34; August 18, 2017)
• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.2, Days and Hours of Business (Release No. 34-81407; File No. SR-BatsEDGX-2017-33; August 16, 2017); see also Exhibit 5
• CHX: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt the CHX Liquidity Enhancing Access Delay (Release No. 34-81415; File No. SR-CHX-2017-04; August 17, 2017)
• FINRA: Notice of Filing of a Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities) (Release No. 34-81438; File No. SR-FINRA-2017-027; August 18, 2017); see also Exhibit 5
• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening (Release No. 34-81436; File No. SR-GEMX-2017-38; August 18, 2017)
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening (Release No. 34-81434; File No. SR-ISE-2017-78; August 18, 2017); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening (Release No. 34-81433; File No. SR-Phlx-2017-69; August 18, 2017); see also Exhibit 5
• Phlx: Notice of Filing of Proposed Rule Change Related to the Floor Requirements (Release No. 34-81409; File No. SR-Phlx-2017-67; August 16, 2017)

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