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 May 29 to June 2, 2017.

Clearance & Settlement

• CHX: Order Granting Approval of a Proposed Rule Change to Shorten the Standard Settlement Cycle from Three Business Days After the Trade Date to Two Business Days After the Trade Date (Release No. 34-80825; File No. SR-CHX-2017-06; May 31, 2017)
• ICC: Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC's Liquidity Risk Management Framework and ICC's Stress Testing Framework (Release No. 34-80818; File No. SR-ICC-2017-005; May 31, 2017); see also Exhibit 5
• FICC: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook (Release No. 34-80812; File No. SR-FICC-2017-002; May 30, 2017)

Fees, Fines, Rebates & Claims

• Bats BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc. (Release No. 34-80809; File No. SR-BatsBYX-2017-11; May 30, 2017); see also Appendix, Exhibit 5
• Bats BZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc. (Release No. 34-80822; File No. SR-BatsBZX-2017-38; May 31, 2017); see also Appendix, Exhibit 5A
• Bats EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGX Exchange, Inc. (Release No. 34-80821; File No. SR-BatsEDGX-2017-22; May 31, 2017); see also Appendix, Exhibit 5
• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees (Release No. 34-80808; File No. SR-GEMX-2017-20; May 30, 2017); see also Exhibit 5
• NMS: Notice of Withdrawal of the Twenty-Second Charges Amendment to the Second Restatement of the CTA Plan and the Thirteenth Charges Amendment to the Restated CQ Plan (Release No. 34-80819; File No. SR-CHX-2017-02; May 31, 2017)

Market Data and Reporting

• NASDAQ: Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT (Release No. 34-80813; File No. SR-NASDAQ-2017-055; May 30, 2017); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT (Release No. 34-80814; File No. SR-BX-2017-027; May 30, 2017); see also Exhibit 5
• Phlx: Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT (Release No. 34-80811; File No. SR-Phlx-2017-43; May 30, 2017); see also Exhibit 5

​Trading & 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 December 31, 2017 (Release No. 34-80828; File No. SR-BOX-2017-18; May 31, 2017); see also Exhibit 5
• FINRA: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New End-of-Day TRACE Transaction File (Release No. 34-80805; File No. SR-FINRA-2017-015; May 30, 2017); see also Exhibit 5
• GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to extend a pilot program to quote and to trade certain options classes in penny increments (Release No. 34-80826; File No. SR-GEMX-2017-21; May 31, 2017); see also Exhibit 5
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program to Quote and to Trade Certain Options Classes in Penny Increments (Release No. 34-80827; File No. SR-ISE-2017-48; May 31, 2017); see also Exhibit 5
• MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to extend a pilot program to quote and to trade certain options classes in penny increments (Release No. 34-80823; File No. SR-MRX-2017-06; May 31, 2017); see also Exhibit 5
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5 (Release No. 34-80824; File No. SR-BX-2017-026; May 31, 2017)
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE Arca Rule 11.21and NYSE Arca Equities Rule 5220, NYSE Arca Rule 10.18 and NYSE Arca Equities Rule 10.16, and Amending NYSE Arca Rule 10.17 and NYSE Arca Equities 10.15 (Release No. 34-80806; File No. SR-NYSEArca-2017-53; May 30, 2017); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Openings in Options Rule (Release No. 34-80820; File No. SR-Phlx-2017-40; May 31, 2017); see also Exhibit 5

Disciplinary

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rules 5220 and 9560 and Amend Rule 8313 (Release No. 34-80807; File No. SR-NYSE-2017-21; May 30, 2017); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Rules 5220 - Equities, 996NY Options and 9560 and Amending Rule 8313 (Release No. 34-80804; File No. SR-NYSEMKT-2017-25; May 30, 2017); see also Exhibit 5

Miscellaneous

• MRX: Notice of Filing of Proposed Rule Change in Connection with a System Migration to Nasdaq INET Technology (Release No. 34-80815; File No. SR-MRX-2017-02; May 30, 2017); Exhibit 5