Administrative Proceeding File No. 3-16330

Respondents

The Application of Securities Industry and Financial Markets Association
Release Date Release Number Other Release Numbers Name of Document
34-90087 Sec. Indus. & Fin. Mkts. Ass'n, File No. 3-15364 (June 25, 2013)
34-89504 Order Vacating Prior Order and Requesting Additional Briefs
34-84827 Order
34-74032 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 19(h) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Release Date Release Number Other Release Numbers Name of Document
NYSE Exchanges' Motion for Stay, Brief in Support, and Declaration of Clare
Saperstain in Support
Joinder in New York Stock Exchange LLC, NYSE Arca, Inc., NYSE American LLC,
and NYSE National, lnc.'s Motion to Stay
The Nasdaq Stock Market LLC, Nasdaq PHLX LLC, Nasdaq BX, Inc., Nasdaq ISE,
LLC, Nasdaq GEMX, LLC, and Nasdaq MRX, LLC's Notice of Withdrawal of Motion
for Reconsideration
Notice of Voluntary Dismissal of Applications
National Securities Exchanges' and National Market System Plans' Response to the Commission's August 7, 2020 Order
Application for Review
Notice of Filing
Certified Record and Index
NASDAQ's Motion for Reconsideration of Order Remanding Challenges to Various
Rule Changes and Directing Exchanges to Develop Procedures
Cboe's Motion for Reconsideration and Memorandum of Law in Support
Motion for Expedited Reconsideration by new York Stock Exchange LLC, NYSE
ARCA, Inc., NYSE American LLC, and NYSE National, Inc. and Brief in Support
CBOE's Joinder in Motion for stay by NYSE LLC, NYSE ARCA, Inc., NYSE American
LLC, and NYSE National, Inc.
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 19(h) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Order Vacating Prior Order and Requesting Additional Briefs
Sec. Indus. & Fin. Mkts. Ass'n, File No. 3-15364 (June 25, 2013)

Documents