National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-82279 | Dec 11, 2017 | SR-BatsBZX-2017-38 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing of Amendment No. 2 to the Proposed Rule Change To Amend the Schedule of Fees and Assessments To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments See Also - Exhibit 4, Exhibit 5 |
| 34-82278 | Dec 11, 2017 | SR-BatsBZX-2017-38 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments See Also - Exhibit 4, Exhibit 5, Appendix |
| 34-82135 | Nov 21, 2017 | SR-PEARL-2017-23, SR-NYSEMKT-2017-30, SR-NYSEMKT-2017-29, SR-NYSEArca-2017-59, SR-NYSEArca-2017-57, SR-NYSE-2017-23, SR-NASDAQ-2017-055, SR-MIAX-2017-20, SR-ISE-2017-46, SR-IEX-2017-18, SR-FINRA-2017-013, SR-CBOE-2017-041, SR-C2-2017-018, SR-BX-2017-027, SR-BOX-2017-17, SR-BatsEDGX-2017-23, SR-BatsBZX-2017-37 | NASDAQ OMX PHLX, Nasdaq PHLX LLC (Phlx), MIAX PEARL, LLC (PEARL), NYSE MKT (NYSEMKT), NYSE Arca (NYSEARCA), New York Stock Exchange LLC (NYSE), The Nasdaq Stock Market LLC (NASDAQ), Miami International Securities Exchange, LLC (MIAX), Nasdaq ISE, LLC (ISE), Investors Exchange LLC (IEX), Financial Industry Regulatory Authority (FINRA), Cboe Exchange, Inc. (CBOE), Cboe C2 Exchange, Inc. (C2), Nasdaq BX, Inc. (BX), BOX Exchange LLC (BOX), Bats EDGX Exchange, Inc. (BatsEDGX), Bats BZX Exchange, Inc. (BatsBZX) | Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, To Eliminate Requirements That Will Be Duplicative of CAT View Received Comments See Also - Rel. No. 34-82524, Rel. No. 34-81499, Rel. No. 34-81145, Rel. No. 34-80795, Rel. No. 34-80789, Rel. No. 34-80798, Rel. No. 34-80797, Rel. No. 34-80790, Rel. No. 34-80792, Rel. No. 34-80813, Rel. No. 34-80814, Rel. No. 34-80799, Rel. No. 34-80800, Rel. No. 34-80791, Rel. No. 34-80793, Rel. No. 34-80794, Rel. No. 34-80811, Rel. No. 34-80796 |
| 34-82108 | Nov 17, 2017 | SR-BatsBZX-2017-34 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28 View Received Comments See Also - Rel. No. 34-81437, Rel. No. 34-81072, Rel. No. 34-80683 |
| 34-82115 | Nov 17, 2017 | SR-BatsBZX-2017-58 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the CBOE S&P 500 Dividend Aristocrats Target Income Index ETF Under the ETF Series Solutions Trust, Under Exchange Rule 14.11(c)(3), Index Fund Shares View Received Comments See Also - Rel. No. 34-81815 |
| 34-82097 | Nov 16, 2017 | SR-BatsBZX-2017-72 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Innovator S&P 500 15% Shield Strategy ETF Series, Innovator S&P 500 "5% to "35% Shield Strategy ETF Series, Innovator S&P 500 Enhance and 10% Shield Strategy ETF Series, and Innovator S&P 500 Ultra Strategy ETF Series Under Rule 14.11(i) See Also - Rel. No. 34-82387 |
| 34-82078 | Nov 14, 2017 | SR-BatsBZX-2017-56 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of Specified Series of the Innovator Shield Strategy S&P 500 Monthly Index Series and Innovator Ultra Shield Strategy S&P 500 Monthly Index Series Under Rule 14.11(c)(3) See Also - Rel. No. 34-81495, Rel. No. 34-81895 |
| 34-82050 | Nov 9, 2017 | SR-BatsBZX-2017-75 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fees for Physical Ports See Also - Exhibit 5 |
| 34-82052 | Nov 9, 2017 | SR-BatsBZX-2017-76 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fees for Physical Ports as They Apply to the Exchange's Equity Options Platform See Also - Exhibit 5 |
| 34-82049 | Nov 9, 2017 | SR-PHLX-2017-37, SR-PEARL-2017-20, SR-NYSEMKT-2017-26, SR-NYSEArca-2017-52, SR-NYSE-2017-22, SR-NASDAQ-2017-046, SR-MRX-2017-04, SR-MIAX-2017-18, SR-ISE-2017-45, SR-IEX-2017-16, SR-GEMX-2017-17, SR-FINRA-2017-011, SR-CHX-2017-08, SR-CBOE-2017-040, SR-C2-2017-017, SR-BX-2017-023, SR-BOX-2017-16, SR-BatsEDGX-2017-22, SR-BatsEDGA-2017-13, SR-BatsBZX-2017-38, SR-BatsBYX-2017-11 | NASDAQ OMX PHLX, Nasdaq PHLX LLC (Phlx), MIAX PEARL, LLC (PEARL), NYSE MKT (NYSEMKT), NYSE Arca (NYSEARCA), New York Stock Exchange LLC (NYSE), The Nasdaq Stock Market LLC (NASDAQ), Nasdaq MRX, LLC (MRX), Miami International Securities Exchange, LLC (MIAX), Nasdaq ISE, LLC (ISE), Investors Exchange LLC (IEX), Nasdaq GEMX, LLC (GEMX), Financial Industry Regulatory Authority (FINRA), Chicago Stock Exchange, Inc. (CHX), Cboe Exchange, Inc. (CBOE), Cboe C2 Exchange, Inc. (C2), Nasdaq BX, Inc. (BX), BOX Exchange LLC (BOX), Bats EDGX Exchange, Inc. (BatsEDGX), Bats EDGA Exchange, Inc. (BatsEDGA), Bats BZX Exchange, Inc. (BatsBZX), Bats BYX Exchange, Inc. (BatsBYX) | Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail View Received Comments See Also - Rel. No. 34-80821, Rel. No. 34-81067, Rel. No. 34-80822, Rel. No. 34-80784, Rel. No. 34-82267, Rel. No. 34-80786, Rel. No. 34-80785, Rel. No. 34-82253, Rel. No. 34-80715, Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail, Rel. No. 34-82255, Rel. No. 34-80726, Rel. No. 34-80696, Rel. No. 34-80697, Rel. No. 34-80713, Rel. No. 34-80693, Rel. No. 34-80698, Rel. No. 34-80694, Rel. No. 34-80725, Rel. No. 34-82252, Rel. No. 34-82266, Rel. No. 34-80675, Rel. No. 34-82254, Rel.No. 34-82251, Rel. No. 34-80809, Rel. No. 34-80721, Rel. No. 34-82270, Rel. No. 34-82272, Rel. No. 34-80710, Rel. No. 34-80676, Rel. No. 34-82287, Rel. No. 34-82286, Rel. No. 34-82260, Rel. No. 34-82264, Rel. No. 34-82262, Rel. No. 34-82271, Rel. No. 34-82273, Rel. No. 34-82256, Rel. No. 34-82261, Rel. No. 34-82265, Rel. No. 34-82263, Rel. No. 34-80691, Rel. No. 34-82257 |