Administrative Proceeding File No. 3-15350

Respondents

The Application of Securities Industry and Financial Markets Association

Documents

Release Date Release Number Other Release Numbers Name of Document
Application for an Order Setting Aside Rule Changes of NYSE Arca, Inc.
NYSE Arca, Inc.'s Response to the Commission's Order Regarding Preliminary Matters
SIFMA's Brief in Response to Order Regarding Procedures to Be Adopted in Proceedings
SIFMA's Reply Brief Regarding Procedures to Be Adopted in Proceedings
NYSE Arca, Inc.'s Reply Brief to SIFMA's Response to Order Regarding Procedures to Be Adopted in Proceedings
34-72182 Order Establishing Procedures and Referring Applications for Review to Administrative Law Judge for Additional Proceedings
AP-1456 Order Designating Presiding Judge and Scheduling Prehearing Conference
AP-1564 Order Following Prehearing Conference
SIFMA's Brief in Support Regarding Satisfaction of Jurisdictional Requirements
NYSE Arca, Inc.'s Opposition to SIFMA's Brief Regarding Satisfaction of Jurisdictional Requirement
The Nasdaq Stock Market LLC's Brief in Response to SIFMA's Opening Brief Regarding Satisfaction of Jurisdictional Requirements
AP-1716 Order Granting Motion for Protective Order
AP-1921 Order On the Issues of Jurisdiction and Scheduling
NASDAQ Stock Market LLC's Brief in Opposition to SIFMA's Motion to Consolidate Related Challenges Into Proceeding Before CALJ Murray
SIFMA's Reply Brief in Support of Its Motion to Consolidate Related Challenges Into Proceeding Before CALJ Murray
Joint Motion to Extend Hearing and Prehearing Schedules
AP-2042 Order On Joint Motion to Extend Hearing and Prehearing Schedules
Applicant's Request for Issuance of Subpoenas
AP-2110 Order for Prehearing Conference On Subpoenas
AP-2156 Order Following Prehearing Conference and Order for Another Prehearing Conference On Subpoenas
Amended Applicant (SIFMA's) Request for Issuance of Subpoenas
34-73922 Order Denying Consolidation Motions
SIFMA's Notice of Request for Modification of 12/19/14 Order to Conform with Prehearing Conference Record
NASDAQ Stock Market LLC's Brief in Opposition to SIFMA's Amended Request for Issuance of Subpoenas Pursuant to Rule 232 of the Commission's Rules of Practice
Letter of 12/24/14 to CALJ Murray from NASDAQ Stock Market LLC and NYSE Arca, Inc. Regarding the CALJ's Order Issued 12/19/14 Stating the Order Does Not Fully Capture Oral Rulings from the 12/18/14 Prehearing Conference
SIFMA's Notice of Supplemental Authority
SIFMA's Opposition to NASDAQ Stock Market LLC and NYSE Arca, Inc.'s Request for Modification of 12/19/14 Discovery Order
NYSE Arca Inc.'s Opposition to the Amended Request for Issuance of Subpoenas Filed by SIFMA
AP-2174 Order Following Third Prehearing Conference
AP-2177 Notice On Issuance of Modified Subpoenas
Consent Motion to Extend Prehearing Schedule
AP-2212 Order On Consent Motion to Extend Prehearing Schedule
SIFMA's Application to Quash or, in the Alternative, to Modify Subpoena Duces Tecum
NASDAQ Stock Market LLC and Nyse Arca, Inc.'s Brief in Opposition to SIFMA's Application to Quash or, in the Alternative, to Modify Subpoena Duces Tecum
AP-2277 Order On Motion to Quash
AP-2323 Order On Protective Order
Consent Motion to Extend Prehearing Schedule
AP-2365 Order On Consent Motion to Extend Prehearing Schedule
NYSE Arca, Inc. and NASDAQ Stock Market LLC Request for Issuance of Subpoena
NYSE Arca, Inc. and NASDAQ Stock Market LLC's Motion for Order Finding That SIFMA Waived Privilege and Compelling Production of Documents Withheld as Privileged
AP-2456 Order On Prehearing Conference Request
AP-2469 Order On Timeliness of Filing
AP-2468 Order After Prehearing Conference
SIFMA's Opposition to the Exchanges' Motion for an Order Finding Waiver of Privilege and Compelling Production of Privileged Documents
SIFMA's Opposition to the Exchanges' Motion for an Order Finding Waiver of Privilege and Compelling Production of Privileged Documents
NASDAQ Stock Market LLC's Prehearing Brief
SIFMA's Prehearing Brief
NYSE Arca, Inc.'s Prehearing Brief
AP-2501 Order On Privilege Log
NYSE Arca, Inc. and the NASDAQ Stock Market LLC's Response to SIFMA's Privilege Log
SIFMA's Reply to the Exchanges' Response to Privilege Log
SIFMA's Opposition to NYSE Arca's Motion for Adverse Inference
SIFMA's Motion for Leave to File a Surreply to NYSE Arca, Inc.'s Motion for Adverse Inference
AP-2775 Order On Consent Motion Regarding Exhibits Deemed in Evidence
Post-Hearing Brief of the NASDAQ Stock Market LLC
Reply of NYSE Arca, Inc. in Support of Motion for Sanctions for Discovery Misconduct
Post-Hearing Brief of NYSE Arca, Inc.
SIFMA's Post Hearing Brief
NYSE ARCA, Inc.'s Post-Hearing Reply Brief
NASDAQ Stock Market LLC's Post Hearing Reply Brief
SIFMA's Notice of Supplemental Authority
Response of NYSE Arca, Inc. and the NASDAQ Stock Market LLC To
SIMFA Notice of Supplemental Authority
AP-3886 Order On Sealed Initial Decision
1015 Initial Decision (Public)
AP-3951 Order On Motions for Redactions and Manifest Errors of Fact
34-78595 Order Granting Petition for Review and Scheduling Briefs
34-78773 Order Granting Extension of Time and to Exceed Length Limitation for Reply Brief
SIFMA's Brief in Support of Petition for Review
The Nasdaq Stock Market LLC's Response Brief
The Nasdaq Stock Market LLC and NYSE ARCA, Inc.'s Mem. of Points and Authorities ISO Motion for Oral Argument
The Nasdaq Stock Market LLC and NYSE ARCA, Inc.'s Motion for Oral Argument
SIFMA's Reply Brief
AP-5385 Order Regarding the Securities and Exchange Commission's Order On Pending Administrative Proceedings
Joint Submission by SIFMA, NYSE Arca, Inc. and the Nasdaq Stock Market LLC
Regarding Pending Administrative Proceedings, 33-10440
Joint Submission by SIFM Association, NYSE ARCA, Inc., and the NASDAQ Stock Market LLC regarding "Order regarding the SEC's Order on Pending Administrative Proceedings"
AP-5414 Order Ratifying Prior Actions
SIFMA's Petition for Review of the Initial Decision
34-82696 Supplemental Briefing Order
Joint Submission by SIFMA, NYSE ARCA, Inc., and the NASDAQ Stock Market LLC Regarding "Supplemental Briefing Order", (Release No. 82696 February 12, 2018)
34-83671 Order
SIFMA's Submission in Response to Commission Briefing Order
Joint Submission by NYSE ARCA, Inc. and the NASDAQ Stock Market LLC Regarding the U.S. SEC's July 19, 2018 Order (Release No. 83671)
Renewed Motion for Oral Argument of the NASDAQ Stock Market LLC and NYSE ARCA, Inc.
34-84432 Opinion of the Commission
Motion for Expedited Reconsideration by New York Stock Exchange LLC, NYSE ARCA, Inc., NYSE American LLC, and NYSE National, Inc. and Brief in Support
NYSE Exchanges' Motion for Stay, Brief in Support, and Declaration of Clare Saperstein in Support
34-89503 Order Dismissing Proceedings