National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-81992 | Oct 31, 2017 | SR-BatsEDGX-2017-43 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors See Also - Exhibit 5 |
| 34-81963 | Oct 26, 2017 | SR-BatsEDGX-2017-41 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name See Also - Exhibit 5 |
| 34-81937 | Oct 24, 2017 | SR-BatsEDGX-2017-40 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical Corrections to Its Second Amended and Restated Certificate of Incorporation |
| 34-81920 | Oct 23, 2017 | SR-BatsEDGX-2017-39 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1, Definitions, To Modify Stop Orders and Stop Limit Orders Applicable to the Exchange's Equity Options Platform in Preparation for the C2 Options Exchange, Incorporated Technology Migration See Also - Exhibit 5 |
| 34-81923 | Oct 23, 2017 | SR-BatsEDGX-2017-38 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.10, Order Execution See Also - Exhibit 5 |
| 34-81891 | Oct 17, 2017 | SR-BatsEDGX-2017-29 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt New Rules Governing the Trading of Complex Orders on the Exchange View Received Comments See Also - Rel. No. 34-81468, Rel. No. 34-81137 |
| 34-81596 | Sep 13, 2017 | SR-BatsEDGX-2017-37 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.11, Routing to Away Trade Centers, To Account for IEX as a Primary Listing Market and To Amend Certain Rules To Reflect the Name Change of NYSE MKT to NYSE American See Also - Exhibit 5 |
| 34-81515 | Aug 31, 2017 | SR-BatsEDGX-2017-36 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 20.3, Trading Halts, and Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors See Also - Exhibit 5 |
| 34-81503 | Aug 30, 2017 | SR-BatsEDGX-2017-35 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Harmonize the Corporate Governance Framework With That of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated See Also - Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e, Rel. No. 34-81849 |
| 34-81499 | Aug 30, 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 Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting 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. 34-82135, Rel. No. 34-81145, Rel. No. 34-80795, Rel. No. 34-80789, Rel. No. 34-80797, Rel. No. 34-80783, Rel. No. 34-80787, 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 |