United States: Weekly Roundup of Exchange Rules by Category - March 19-23, 2018

Click on the links below to view SEC notices of exchange rule changes and proposals for the week of March 19 to March 23, 2018.

Clearance and Settlement

• DTC: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules (Release No. 34-82912; File No. SR-DTC-2017-021)
• FICC: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes (Release No. 34-82909; File No. SR-FICC-2017-022)
• NSCC: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes (Release No. 34-82910; File No. SR-NSCC-2017-018)
• DTC: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes (Release No. 34-82914; File No. SR-DTC-2017-022)
• OCC: Notice of Extension of Review Period of Advance Notice of Proposed Changes Related to The Options Clearing Corporation's Margin Methodology (Release No. 34-82935; File No. SR-OCC-2017-811)

Corporate Governance

• DTC: Order Approving Proposed Rule Change to Amend the By-Laws (Release No. 34-82915; File No. SR-DTC-2018-001)
• FICC: Order Approving Proposed Rule Change to Amend the By-Laws (Release No. 34-82917; File No. SR-FICC-2018-002)
• NSCC: Order Approving Proposed Rule Change to Amend the By-Laws (Release No. 34-82916; File No. SR-NSCC-2018-001)
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation (Release No. 34-82924; File No. SR-NYSEArca-2018-18); see also Exhibit 5
• NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Amended and Restated Certificate of Incorporation (Release No. 34-82925; File No. SR-NYSENAT-2018-04); see also Exhibit 5
• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Change Amending Certain Governing Documents of the Exchange and NYSE Market, Inc. to Make a Technical Change Updating the Entities' Registered Offices and Registered Agents and Update the Date as Required (Release No. 34-82923; File No. SR-NYSEAMER-2018-10); see also Exhibit 5A

Fees, Fines, Rebates and Claims

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Maker Plus Program in the Schedule of Fees (Release No. 34-82920; File No. SR-ISE-2018-20); see also Exhibit 5
• Cboe EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Expand an Offering Known as Cboe Connect to Provide Connectivity to Single-Dealer Platforms Connected to the Exchange's Network and to Propose a Per Share Executed Fee for Such Service (Release No. 34-82904; File No. SR-CboeEDGA-2018-004); Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Rule 7018 to Charge No Transaction Fee for Execution of Midpoint Extended Life Orders (Release No. 34-82905; File No. SR-NASDAQ-2018-021); see also Exhibit 5
• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-82900; File No. SR-PEARL-2018-09); see also Exhibit 5

Products and Listings

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4370 Regarding the Requirements for the Listing of Securities that are Issued by the Exchange or Any of Its Affiliates (Release No. 34-82921; File No. SR-NASDAQ-2018-020)
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5701 Regarding the Requirements for Securities Listed on the Exchange Issued By Nasdaq, Inc. or Its Affiliates (Release No. 34-82919; File No. SR-BX-2018-010)
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 990 Regarding the Requirements for Securities Listed on the Exchange Issued By Nasdaq, Inc. or Its Affiliates (Release No. 34-82928; File No. SR-Phlx-2018-23)
• Cboe BZX: Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the LHA Market State Tactical U.S. Equity ETF, a Series of the ETF Series Solutions, under Rule 14.11(i), Managed Fund Shares (Release No. 34-82906; File No. SR-CboeBZX-2017-012)
• ISE: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Permit the Listing and Trading of NQX Index Options on a Pilot Basis (Release No. 34-82911; File No. SR-ISE-2017-106)
• NYSE Arca: Notice of Filing of Proposed Rule Change Regarding Investments of the PGIM Ultra Short Bond ETF, a Series of PGIM ETF Trust under NYSE Arca Rule 8.600-E (Release No. 34-82899; File No. SR-NYSEArca-2018-15)

Trading and Trade Reporting

• CBOE: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Flexibly Structured Options (Release No. 34-82936; File No. SR-CBOE-2018-008)
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Frequent Trader Program (Release No. 34-82934; File No. SR-CBOE-2018-023; Date: Mar. 22, 2018); see also Exhibit 5
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 307, Position Limits, and Exchange Rule 309, Exercise Limits (Release No. 34-82931; File No. SR-MIAX-2018-10; Date: Mar. 22, 2018); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section (a) of Exchange Rule 1001, Position Limits, to Increase the Position Limits for Options (Release No. 34-82932; File No. SR-Phlx-2018-24; Date: Mar. 22, 2018); see also Exhibit 5
• NYSE Arca: Order Approving a Proposed Rule Change to Amend NYSE Arca Rule 1.1(ll) to Establish How the Official Closing Price Would Be Determined for an Exchange-Listed Security That Is a Derivative Securities Product If the Exchange Does Not Conduct a Closing Auction or If a Closing Auction Trade Is Less Than a Round Lot (Release No. 34-82907; File No. SR-NYSEArca-2018-08)
• BOX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IM-3120-2 of BOX Rule 3120 (Position Limits) to Increase the Position Limits for Options on the Following Exchange Traded Funds: iShares China Large-Cap ETF, iShares MSCI EAFE ETF, iShares MSCI Emerging Markets ETF, iShares Russell 2000 ETF, iShares MSCI Brazil Capped ETF, iShares 20+ Year Treasury Bond Fund ETF, PowerShares QQQ Trust, and iShares MSCI Japan ETF (Release No. 34-82930; File No. SR-BOX-2018-10; Date: Mar. 22, 2018); see also Exhibit 5

Business Continuity

• OCC: Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan (Release No. 34-82927; File No. SR-OCC-2017-021)
• OCC: Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Concerning Enhanced and New Tools for Recovery Scenarios (Release No. 34-82926; File No. SR-OCC-2017-020)
• FICC: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules (Release No. 34-82913; File No. SR-FICC-2017-021)
• NSCC: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules (Release No. 34-82908; File No. SR-NSCC-2017-017)
• LCH SA: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Related to LCH SA's Recovery and Wind Down Plans (Release No. 34-82901; File Nos. SR-LCH SA-2017-012, LCH SA-2017-013, SR-LCH SA-2017-013)

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