Self-Regulatory Organization Rulemaking
Notice
To submit a comment on “Potential Designation of Chartered Financial Analyst Designation as Qualifying Natural Persons for Accredited Investor Status” (Release No. 33-11447; File No. 4-933), please click here.
To submit a comment on “Potential Designation of Passage of an Accredited Investor Exam To Be Developed by FINRA as Qualifying Natural Persons for Accredited Investor Status” (Release No. 33-11445; File No. 4-931), please click here.
We invite comments on filings submitted by the following SROs during the comment period. Each SRO name below is linked to an index page with listings of specific filings and corresponding SEC releases. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. All comments will be posted on this website.
Joint Industry Plans
National Securities Exchanges
- 24X Exchange LLC (24X)
- BOX Exchange LLC (BOX)
- Formerly BOX Options Exchange LLC
- Cboe BYX Exchange, Inc. (CboeBYX)
- Formerly Bats BYX Exchange, Inc. (BatsBYX)
- Formerly BATS Y-Exchange (BYX)
- Cboe BZX Exchange, Inc. (CboeBZX)
- Formerly Bats BZX Exchange, Inc. (BatsBZX)
- Formerly BATS Exchange (BATS)
- Cboe C2 Exchange, Inc. (C2)
- Cboe EDGA Exchange, Inc. (CboeEDGA)
- Formerly Bats EDGA Exchange, Inc. (BatsEDGA)
- Formerly EDGA Exchange (EDGA)
- Cboe EDGX Exchange, Inc. (CboeEDGX)
- Formerly Bats EDGX Exchange, Inc. (BatsEDGX)
- Formerly EDGX Exchange (EDGX)
- Cboe Exchange, Inc. (CBOE)
- Green Impact Exchange, LLC (GIX)
- Investors Exchange LLC (IEX)
- Long-Term Stock Exchange, Inc. (LTSE)
- MEMX LLC (MEMX)
- Miami International Securities Exchange, LLC (MIAX)
- MIAX Emerald, LLC (EMERALD)
- MIAX PEARL, LLC (PEARL)
- MIAX SAPPHIRE, LLC (SAPPHIRE)
- MX2 LLC (MX2)
- Nasdaq GEMX, LLC (GEMX)
- Formerly ISE Gemini (ISEGemini)
- Formerly Topaz Exchange (Topaz)
- Nasdaq ISE, LLC (ISE)
- Formerly International Securities Exchange
- Nasdaq MRX, LLC (MRX)
- Formerly ISE Mercury (ISEMercury)
- Nasdaq PHLX LLC (Phlx)
- Formerly NASDAQ OMX PHLX
- Nasdaq Texas, LLC (NasdaqTX)
- Nasdaq BX, Inc. (BX)
- Formerly NASDAQ OMX BX
- Formerly Boston Stock Exchange (BSE)
- The Nasdaq Stock Market LLC (NASDAQ)
- New York Stock Exchange LLC (NYSE)
- NYSE Arca, Inc. (NYSEARCA)
- NYSE American LLC (NYSEAMER)
- Formerly NYSE MKT (NYSEMKT)
- Formerly NYSE Amex (NYSEAmex)
- Formerly NYSE Alternext US (NYSEALTR)
- Formerly American Stock Exchange (Amex)
- NYSE National, Inc. (NYSENAT)
- Formerly National Stock Exchange (NSX)
- NYSE Texas, Inc. (NYSETEX)
- Formerly NYSE Chicago, Inc. (NYSECHX)
- Formerly Chicago Stock Exchange, Inc. (CHX)
- Texas Stock Exchange LLC (TXSE)
Registered Securities Associations
- Financial Industry Regulatory Authority (FINRA)
- Formerly National Association of Securities Dealers (NASD)
Notice Registered Security Futures Product Exchanges
- Bitnomial Exchange, LLC (BTNL)
- CBOE Futures Exchange (CFE)
- Chicago Board of Trade (CBOT)
- Chicago Mercantile Exchange (CME)
- Coinbase Derivatives, LLC (COIN)
- KalshiEX LLC (KALSHIEX)
- OneChicago (formerly registered; see Release No. 34-91117)
- Minneapolis Grain Exchange, Inc. (MGEX) (formerly registered)
- North American Derivatives Exchange, Inc. (OGM)
- NQLX (formerly registered)
Securities Futures Associations
Registered Clearing Agencies
Proposed Rule Change Filings
- Banque Centrale De Compensation (LCH SA)
- Boston Stock Exchange Clearing Corporation (BSECC)
- Chicago Mercantile Exchange LLC (CME) (formerly registered)
- CME Securities Clearing, Inc. (CMESC)
- Fixed Income Clearing Corporation (FICC)
- ICE Clear Credit LLC (ICC)
- ICE Clear Europe Limited (ICEEU) (formerly registered)
- National Securities Clearing Corporation (NSCC)
- The Options Clearing Corporation (OCC)
- Stock Clearing Corporation of Philadelphia (SCCP)
- The Depository Trust Company (DTC)
Advance Notice Filings
- The Depository Trust Company (DTC)
- Fixed Income Clearing Corporation (FICC)
- National Securities Clearing Corporation (NSCC)
- The Options Clearing Corporation (OCC)
Other Self-Regulatory Organizations
Last Reviewed or Updated: Oct. 9, 2026