United States: Weekly Roundup Of Exchange Rules By Category - January 17 – January 19

Click on the links below to view SEC notices of exchange rule changes and proposals for the week of January 17 – January 19.

Products

Bats BZX: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure to Meet Listing Standards (Release No. 34-79839; File No. SR-BatsBZX-2016-80; January 18, 2017)

NYSE Arca: Notice of Filing of Proposed Rule Change Amending the NYSE Arca Equities Rule 5 and Rule 8 Series (Release No. 34-79834; File No. SR-NYSEArca-2017-01; January 18, 2017); see also Exhibit 5

Clearance & Settlement

FICC: Notice of No Objection to Advance Notice Filing to Implement a Change to the Methodology Used in the MBSD VaR Model (Release No. 34-79843; File No. SR-FICC-2016-801; January 19, 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. 34-79821; File No. SR-ICC-2016-014; January 18, 2017)

OCC: Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporations Margin Coverage During Times of Increased Volatility (Release No. 34-79818; File No. SR-OCC-2017-001; January 18, 2017)

Fees, Fines, Rebates & Claims

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 (Release No. 34-79832; File No. SR-BOX-2017-01; January 18, 2017); see also Exhibit 5

C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule (Release No. 34-79807; File No. SR-C2-2017-002; January 17, 2017); see also Exhibit 5

CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-79808; File No. SR-CBOE-2017-004; January 17, 2017); see also Exhibit 5

CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-79816; File No. SR-CBOE-2017-003; January 18, 2017); see also Exhibit 5

ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees (Release No. 34-79811; File No. SR-ISE-2017-01; January 17, 2017); see also Exhibit 5

NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees to Implement New Incentive (Release No. 34-79809; File No. SR-NASDAQ-2017-001; January 17, 2017); see also Exhibit 5

Trading & Trade Reporting

Bats EDGX: Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to EDGX Rule 21.19, Bats Auction Mechanism, as it Applies to the Equity Options Platform (Release No. 34-79838; File No. SR-BatsEDGX-2017-05; January 18, 2017)

BOX: Order Granting Approval of Proposed Rule Change to Amend Interpretive Material to Rule 7150 (Price Improvement Period "PIP") and Interpretive Material to Rule 7245 (Complex Order Price Improvement Period "COPIP") to Make Permanent the Pilot Programs that Permit the Exchange to Have No Minimum Size Requirement for Orders Entered into the PIP ("PIP Pilot Program") and COPIP ("COPIP Pilot Program") (Release No. 34-79831; File No. SR-BOX-2016-58; January 18, 2017)

CBOE: Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rules Related to the Automated Improvement Mechanism (Release No. 34-79836; File No. SR-CBOE-2016-084; January 18, 2017)

ISE: Order Granting Approval of Proposed Rule Change to Amend ISE Rule 723 and to Make Pilot Program Permanent (Release No. 34-79829; File No. SR-ISE-2016-29; January 18, 2017)

ISE Gemini: Order Granting Approval of Proposed Rule Change to Amend ISE Gemini Rule 723 and to Make Pilot Program Permanent (Release No. 34-79840; File No. SR-ISEGemini-2016-23; January 18, 2017)

ISE Mercury: Order Granting Approval of Proposed Rule Change to Amend ISE Mercury Rule 723 and to Make Pilot Program Permanent (Release No. 34-79841; File No. SR-ISEMercury-2016-25; January 18, 2017)

NASDAQ: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt a New Extended Life Priority Order Attribute under Rule 4703, and to Make Related Changes to Rules 4702, 4752, 4753, 4754, and 4757 (Release No. 34-79810; File No. SR-NASDAQ-2016-161; January 17, 2017)

NASDAQ BX: Order Granting Approval of Proposed Rule Change to Amend the PRISM Price Improvement Auction in BX Chapter VI, Section 9 and to Make Pilot Program Permanent (Release No. 34-79812; File No. SR-BX-2016-063; January 17, 2017)

NSX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.26 Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program (Release No. 34-79806; File No. SR-NSX-2017-01; January 17, 2017); see also Exhibit 5

NYSE MKT: Order Granting Accelerated Approval of a Proposed Rule Change to Amend NYSE MKT Rule 971.1NY and Make Permanent the Aspects of Customer Best Execution Auction that Are Subject to a Pilot (Release No. 34-79830; File No. SR-NYSEMKT-2016-120; January 18, 2017)

Phlx: Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Exception in Phlx Rule 1000(f) for Sub-MPV Split-Price Orders (Release No. 34-79805; File No. SR-Phlx-2016-82; January 17, 2017)

Phlx: Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the PIXL Price Improvement Auction in Phlx Rule 1080(n) and to Make Pilot Program Permanent (Release No. 34-79835; File No. SR-Phlx-2016-119; January 18, 2017)

Miscellaneous

MSRB: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Extend the MSRBs Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules (Release No. 34-79801; File No. SR-MSRB-2016-15; January 13, 2017); see also Exhibit 4, Exhibit 5

NYSE Arca: 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. 2 Thereto, to Amend NYSE Arca Equities Rule 8.700 and to List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.700 (Release No. 34-79802; File No. SR-NYSEArca-2016-96; January 13, 2017)

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