Weekly Roundup of Exchange Rules by Category

Click on the links below to view SEC notices of exchange rule changes and proposals for the week of April 2 to April 6, 2018.

Clearance and Settlement

• OCC: Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Trade Acceptance and Novation Rules (Release No. 34-82983; File No. SR-OCC-2018-007)

• ICEEU: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the Futures & Options Guaranty Fund Policy (Release No. 34-82979; File No. SR-ICEEU-2018-005)

• ICEEU: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Clearing Stress Testing Policy (Release No. 34-82978; File No. SR-ICEEU-2018-001)

Fees, Fines, Rebates and Claims

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees to Clarify the Fees and Rebates for the Complex Order Exposure Auction Pursuant to Rule 722(b)(3)(iii) (Release No. 34-82999; File No. SR-ISE-2018-28); see also Exhibit 5

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market Data Fees (Release No. 34-82991; File No. SR-CBOE-2018-026); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI of the Exchange's Schedule of Fees (Release No. 34-82989; File No. SR-ISE-2018-24); see also Exhibit 5

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule With Respect to the Options Regulatory Fee (Release No. 34-82993; File No. SR-NYSEArca-2018-19); see also Exhibit 5

• NYSE AMER: Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the NYSE Amex Options Fee Schedule With Respect to the Options Regulatory Fee (Release No. 34-82992; File No. SR-NYSEAMER-2018-11); see also Exhibit 5

• MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter IV of the Exchange's Schedule of Fees (Release No. 34-82990; File No. SR-MRX-2018-10); see also Exhibit 5

• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter IV of the Exchange's Schedule of Fees (Release No. 34-82988; File No. SR-GEMX-2018-11); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Rebates Provided to Members that Send Unsolicited Crossing Orders to the Exchange (Release No. 34-83002; File No. SR-ISE-2018-27; Date: Apr. 5, 2018); see also Exhibit 5

Products and Listings

• NASDAQ: Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less than Book Value but Greater than Market Value (Release No. 34-82994; File No. SR-NASDAQ-2018-008)

• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ProShares Short VIX Short-Term Futures ETF and ProShares Ultra VIX Short-Term Futures ETF (Release No. 34-83000; File No. SR-NYSEArca-2018-17; Date: Apr. 5, 2018)

• Cboe BZX: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts (Release No. 34-82995; File No. SR-CboeBZX-2018-001)

• Cboe BZX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt BZX Rule 14.11(k) to Permit the Listing and Trading of Managed Portfolio Shares and to List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF (Release No. 34-82984; File No. SR-CboeBZX-2018-010)

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Charged in Connection with the Filing of Supplemental Listing Applications in Connection with the Issuance of Convertible Securities (Release No. 34-82985; File No. SR-NYSE-2018-11); see also Exhibit 5

Trading and Trade Reporting

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 1101A (Release No. 34-83005; File No. SR-Phlx-2018-28); see also Exhibit 5

• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE Rules 700, 2008, and 2009 (Release No. 34-83006; File No. SR-ISE-2018-30); see also Exhibit 5