National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-97341 | Apr 20, 2023 | SR-IEX-2023-05 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow Non-Displayed Discretionary Limit Orders to be Submitted with a Minimum Quantity Instruction Comments Due: May 17, 2023 See Also - Exhibit 5 Submit a Comment on SR-IEX-2023-05
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| 34-97252 | Apr 4, 2023 | SR-IEX-2023-04 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Several IEX Rules to Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and Other Proceedings Comments Due: May 1, 2023 Federal Register |
| 34-96935 | Feb 15, 2023 | SR-IEX-2023-02 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of Recently-Approved Changes to IEX Rule 11.190(g) That Are Designed To Provide an Alternative Calculation for Pegged Order Types for Determining Whether a Quote Instability Condition Exists Comments Due: March 15, 2023 |
| 34-96915 | Feb 14, 2023 | SR-IEX-2023-03 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 1.160 Comments Due: March 14, 2023 |
| 34-96865 | Feb 9, 2023 | SR-IEX-2023-01 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.190(e) To Offer Users an Additional Option for How To Apply the Exchange's Existing Anti-Internalization Functionality to Their Orders Comments Due: March 8, 2023 See Also - Exhibit 5 |
| 34-96611 | Jan 9, 2023 | SR-IEX-2022-10 | Investors Exchange LLC (IEX) | Order Granting Approval of a Proposed Rule Change To Modify IEX Rule 11.190(b)(7) To Adopt an Optional Cancel or Re-Price Functionality for D-Limit Orders Comments Due: December 16, 2022 |
| 34-96606 | Jan 6, 2023 | SR-IEX-2022-14 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .15 of IEX Rule 5.110 (Supervision) Comments Due: 21 days after publication in the Federal Register |
| 34-96506 | Dec 15, 2022 | SR-IEX-2022-13 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee Schedule To Reflect Adjustments to FINRA's Registration Fees Related to the Central Registration Depository Comments Due: January 11, 2023 See Also - Exhibit 5 |
| 34-96473 | Dec 9, 2022 | SR-IEX-2022-11 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 2.160 (Registration Requirements and Restrictions on Membership) Comments Due: January 6, 2023 |
| 34-96460 | Dec 7, 2022 | SR-IEX-2022-12 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .15 of IEX Rule 5.110 (Supervision) To Extend the Temporary Remote Inspection Relief to IEX Members for Calendar Year 2022 Comments Due: January 3, 2023 |