National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-81072 | Jul 3, 2017 | SR-BatsBZX-2017-34 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Designation of a Longer Period for Commission Action on 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. 34-80683, Rel. No. 34-81437, Rel. No. 34-82108 |
| 34-81070 | Jun 30, 2017 | SR-BatsBZX-2017-26 | Bats BZX Exchange, Inc. (BatsBZX) | Order Approving a Proposed Rule Change, To Amend BZX Rule 14.11 To Provide for the Inclusion of Cash in an Index Underlying a Series of Index Fund Shares See Also - Exhibit 5, Rel. No. 34-80728 |
| 34-81067 | Jun 30, 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) | Suspension of and Order Instituting 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. 34-82049, Rel. No. 34-80821, Rel. No. 34-80721, 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. 34-80809, Rel. No. 34-80822, Rel. No. 34-80784, Rel. No. 34-80675, Rel. No. 34-82254, Rel.No. 34-82251, 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, 34-82771.pdf, 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 |
| 34-81032 | Jun 27, 2017 | SR-BatsBZX-2017-43 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Logical Ports on the Bats Equity Options Platform See Also - Exhibit 5 |
| 34-80919 | Jun 14, 2017 | SR-BatsBZX-2017-41 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.'s Options Platform See Also - Exhibit 5 |
| 34-80927 | Jun 14, 2017 | SR-BatsBZX-2017-40 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats BZX Exchange, Inc. To Extend Through December 31, 2017, the Penny Pilot Program in Options Classes in Certain Issues See Also - Exhibit 5 |
| 34-80912 | Jun 13, 2017 | SR-BatsBZX-2017-42 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc. See Also - Exhibit 5 |
| 34-80911 | Jun 13, 2017 | SR-BatsBZX-2017-30 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing of a Proposed Rule Change To Permit the Listing and Trading of Managed Portfolio Shares; and To List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF; ClearBridge Large Cap ETF; ClearBridge MidCap Growth ETF; ClearBridge Select ETF; and ClearBridge All Cap Value ETF View Received Comments See Also - Exhibit 5, Rel. No. 34-82301, Rel. No. 34-81247, Rel. No. 34-81599 |
| 34-80834 | Jun 1, 2017 | SR-BatsBZX-2017-39 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing of a Proposed Rule Change To Adopt Rule 4.17, Consolidated Audit Trail-Fee Dispute Resolution View Received Comments See Also - Exhibit 5 |
| 34-80822 | May 31, 2017 | SR-BatsBZX-2017-38 | Bats BZX Exchange, Inc. (BatsBZX) | Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc. View Received Comments See Also - Appendix, Exhibit 5A |