National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-80423 | Apr 10, 2017 | SR-PEARL-2017-15 | MIAX PEARL, LLC (PEARL) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule To Establish an Options Regulatory Fee ("ORF") View Received Comments See Also - Exhibit 5 |
| 34-80401 | Apr 7, 2017 | SR-PEARL-2017-17 | MIAX PEARL, LLC (PEARL) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule See Also - Exhibit 5 |
| 34-80384 | Apr 6, 2017 | SR-PEARL-2017-16 | MIAX PEARL, LLC (PEARL) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rules 504 and 516 See Also - Exhibit 5 |
| 34-80266 | Mar 17, 2017 | SR-PEARL-2017-12 | MIAX PEARL, LLC (PEARL) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rules 517A, Aggregate Risk Manager for EEMs ("ARM-E"), and 517B, Aggregate Risk Manager for Market Makers ("ARM-M") See Also - Exhibit 5 |
| 34-80251 | Mar 15, 2017 | SR-PEARL-2017-11 | MIAX PEARL, LLC (PEARL) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rules 100, 404, 515, 529, 601 and the Title Pages of Chapter VIII and Chapter XI See Also - Exhibit 5 |
| 34-80256 | Mar 15, 2017 | SR-PHLX-2017-07, SR-PEARL-2017-04, SR-NYSEMKT-2017-02, SR-NYSEArca-2017-04, SR-NYSEArca-2017-03, SR-NYSE-2017-01, SR-NSX-2017-03, SR-NASDAQ-2017-008, SR-MIAX-2017-03, SR-ISEMercury-2017-03, SR-ISEGemini-2017-04, SR-ISE-2017-08, SR-IEX-2017-04, SR-CHX-2017-03, SR-CBOE-2017-012, SR-C2-2017-007, SR-BX-2017-007, SR-BOX-2017-07, SR-BatsEDGX-2017-08, SR-BatsEDGA-2017-03, SR-BatsBZX-2017-08, SR-BatsBYX-2017-02 | NASDAQ OMX PHLX, Nasdaq PHLX LLC (Phlx), MIAX PEARL, LLC (PEARL), NYSE MKT (NYSEMKT), NYSE Arca (NYSEARCA), New York Stock Exchange LLC (NYSE), National Stock Exchange (NSX), The Nasdaq Stock Market LLC (NASDAQ), Miami International Securities Exchange, LLC (MIAX), ISE Mercury (ISEMercury), ISE Gemini (ISEGemini), Nasdaq ISE, LLC (ISE), Investors Exchange LLC (IEX), 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) | Order Approving Proposed Rule Changes To Adopt Consolidated Audit Trail Compliance Rules See Also - Rel. No. 34-79949, Rel. No. 34-79932, Rel. No. 34-79953, Rel. No. 34-79950, Rel. No. 34-79967, Rel. No. 34-79937, Rel. No. 34-79938, Rel. No. 34-79935, Rel. No. 34-79960, Rel. No. 34-79907, Rel. No. 34-79909, Rel. No. 34-79911, Rel. No. 34-79945, Rel. No. 34-79948, Rel. No. 34-79944, Rel. No. 34-79927, Rel. No. 34-79962, Rel. No. 34-79933, Rel. No. 34-79965, Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Liability Caps and Related Reimbursement Requirements |
| 34-80061 | Feb 17, 2017 | SR-PEARL-2017-10 | MIAX PEARL, LLC (PEARL) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the MIAX PEARL Fee Schedule See Also - Exhibit 5 |
| 34-80035 | Feb 14, 2017 | SR-PEARL-2017-09 | MIAX PEARL, LLC (PEARL) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule To Establish an Options Regulatory Fee ("ORF") View Received Comments See Also - Exhibit 5 |
| 34-79959 | Feb 3, 2017 | SR-PEARL-2017-06 | MIAX PEARL, LLC (PEARL) | Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 519A, Risk Protection Monitor for Orders Entered via the FIX Interface ("RPM-FIX"), and Exchange Rule 519B, Risk Protection Monitor for Orders Entered via the MEO Interface ("RPM-MEO") See Also - Exhibit 5 |
| 34-79938 | Feb 2, 2017 | SR-PEARL-2017-04 | MIAX PEARL, LLC (PEARL) | Notice of Filing of a Proposed Rule Change by To Adopt Rules 1701-1712 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail See Also - Exhibit 5 |