United States: Weekly Roundup Of Exchange Rules By Category - December 2017

Click on the links below to view SEC notices of exchange rule changes and proposals for the week of December 18 to December 22, 2017.

Clearance and Settlement

• DTC: Notice of Filing of Amendments No. 2 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, to Adopt the Clearing Agency Stress Testing Framework (Market Risk) (Release No. 34-82368; File Nos. SR-DTC-2017-005, SR-FICC-2017-009, SR-NSCC-2017-006; Date: Dec. 19, 2017)
• OCC: Notice of Filing of a Proposed Rule Change Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan (Release No. 34-82352; File No. SR-OCC-2017-021; Date: Dec. 19, 2017)
• OCC: Notice of Filing of a Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios (Release No. 34-82351; File No. SR-OCC-2017-020; Date: Dec. 19, 2017); see also Exhibit 5A, Exhibit 5B
• OCC: Notice of Filing of Advance Notice Concerning Proposed Changes to The Options Clearing Corporation's Margin Methodology (Release No. 34-82371; File No. SR-OCC-2017-811)
• OCC: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Related to The Options Clearing Corporation's Margin Policy (Release No. 34-82355; File No. SR-OCC-2017-007; Date: Dec. 19, 2017)
• DTC: Notice of Filing of Amendment No. 4, Notice of Filing Amendment No. 5, Notice of Filing Amendment No. 6, and Order Granting Accelerated Approval of Proposed Rule Changes, as modified by Amendment Nos. 1, 3 and 6, to Adopt the Clearing Agency Liquidity Risk Management Framework (Release No. 34-82377; File Nos. SR-DTC-2017-004, SR-NSCC-2017-005, SR-FICC-2017-008; Date: Dec. 21, 2017)
• FICC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate the Development Fees from the Mortgage-Backed Securities Division Clearing Rules (Release No. 34-82386; File No. SR-FICC-2017-023; Date: Dec. 21, 2017); see also Exhibit 5

Fees, Fines, Rebates and Claims

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List to Adopt a Rebate for the NYSE Bonds^SM System (Release No. 34-82343; File No. SR-NYSE-2017-68); see also Exhibit 5
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Decommission Extension Fee for Receipt of the NYSE Arca Integrated Feed Market Data Product (Release No. 34-82344; File No. SR-NYSEArca-2017-142); see also Exhibit 5

Miscellaneous

• LCH SA: Order Approving Proposed Rule Change Relating to Wrong Way Risk Margin (Release No. 34-82345; File No. SR-LCH SA-2017-009)
• Phlx: Notice of Filing of Proposed Rule Change to Amend Rule 1000 and Commentary .11 to Rule 1012 (Release No. 34-82363; File No. SR-Phlx-2017-103; Date: Dec. 19, 2017); see also Exhibit 5

Products and Listings

• ISE: Notice of Filing of Proposed Rule Change to Permit the Listing and Trading of NQX Index Options (Release No. 34-82362; File No. SR-ISE-2017-106; Date: Dec. 19, 2017); see also Exhibit 5
• NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF under NYSE Arca Rule 8.200-E, Commentary .02 (Release No. 34-82350; File No. SR-NYSEArca-2017-139)
• PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a New Type of MIAX Express Orders Interface Port Known as a MEO Purge Port and to Amend MIAX PEARL Rule 519C, Mass Cancellation of Trading Interest, to Adopt a New Purge Message, as well as to Amend its Fee Schedule to identify the New MEO Purge Port (Release No. 34-82349; File No. SR-PEARL-2017-38); see also Exhibit 5A, Exhibit 5B
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 5.4, Withdrawal of Approval of Underlying Securities (Release No. 34-82346; File No. SR-CBOE-2017-076)
• BatsBZX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Innovator S&P 500 15% Shield Strategy ETF Series, Innovator S&P 500 -5% to -35% Shield Strategy ETF Series, Innovator S&P 500 Enhance and 10% Shield Strategy ETF Series, and Innovator S&P 500 Ultra Strategy ETF Series Under Rule 14.11 (i) (Release No. 34-82387; File No. SR-BatsBZX-2017-72; December 21, 2017)
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Relating to Investment Company Units, Index-Linked Securities and Managed Trust Securities (Release No. 34-82381; File No. SR-NYSE-2017-69; December 21, 2017); see also Exhibit 5
• CboeBYX: Notice of Filing of a Proposed Rule Change 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. 34-82379; File No. SR-CboeBZX-2017-012)
• NYSE Arca: Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt NYSE Arca Rule 8.900-E to Permit Listing and Trading of Managed Portfolio Shares and to List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF under Proposed NYSE Arca Rule 8.900-E (Release No. 34-82374; File No. SR-NYSEArca-2017-36)
• NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade Shares of the Perth Mint Physical Gold ETF Trust under NYSE Arca Rule 8.201-E (Release No. 34-82372; File No. SR-NYSEArca-2017-140)

Trading and Trade Reporting

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Rule 7260 by extending the Penny Pilot Program through June 30, 2018 (Release No. 34-82353; File No. SR-BOX-2017-37; Date: Dec. 19, 2017); see also Exhibit 5
• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program (Release No. 34-82356; File No. SR-GEMX-2017-57; Date: Dec. 19, 2017); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program (Release No. 34-82357; File No. SR-ISE-2017-107; Date: Dec. 19, 2017); see also Exhibit 5
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MIAX Options Rule 510 to Extend the Penny Pilot Program (Release No. 34-82354; File No. SR-MIAX-2017-48; Date: Dec. 19, 2017); see also Exhibit 5
• MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program (Release No. 34-82364; File No. SR-MRX-2017-28; Date: Dec. 19, 2017); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program (Release No. 34-82365; File No. SR-NASDAQ-2017-130; Date: Dec. 19, 2017)
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program (Release No. 34-82367; File No. SR-BX-2017-056; Date: Dec. 19, 2017)
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 6.72-O in Order to Extend the Penny Pilot in Options Classes (Release No. 34-82366; File No. SR-NYSEARCA-2017-141; Date: Dec. 19, 2017); see also Exhibit 5
• NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 960NY in Order to Extend the Penny Pilot in Options Classes (Release No. 34-82358; File No. SR-NYSEAMER-2017-38; Date: Dec. 19, 2017); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program (Release No. 34-82370; File No. SR-Phlx-2017-104)
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5, Minimum Increments, to Extend the Penny Pilot Program (Release No. 34-82380; File No. SR-CboeEDGX-2017-007; December 21, 2017); see also Exhibit 5
• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.4, Minimum Increments for Bids and Offers, to Extend the Penny Pilot Program (Release No. 34-82376; File No. SR-C2-2017-032)

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.42, Minimum Increments for Bids and Offers, to Extend the Penny Pilot Program (Release No. 34-82375; File No. SR-CBOE-2017-078)

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