National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-85351 | Mar 18, 2019 | SR-IEX-2018-23 | Investors Exchange LLC (IEX) | Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Modify the Resting Price of Discretionary Peg Orders View Received Comments |
| 34-85260 | Mar 6, 2019 | SR-IEX-2019-02 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Postpone Implementation of a Rule Change To Reject Market Orders With a Time-in-Force of DAY That are Entered in the Pre-Market Session for Non-IEX-Listed Securities |
| 34-85036 | Feb 1, 2019 | SR-IEX-2019-01 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reject Market Orders With a Time-in-Force of DAY That Are Entered in the Pre-Market Session for Non-IEX-Listed Securities See Also - Exhibit 5 |
| 34-85016 | Jan 31, 2019 | SR-IEX-2018-23 | Investors Exchange LLC (IEX) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Resting Price of Discretionary Peg Orders View Received Comments |
| 34-84820 | Dec 13, 2018 | SR-IEX-2018-23 | Investors Exchange LLC (IEX) | Notice of Filing of Proposed Rule Change To Modify the Resting Price of Discretionary Peg Orders December 13, 2018. View Received Comments See Also - Exhibit 5 |
| 34-84714 | Dec 3, 2018 | SR-IEX-2018-22 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform IEX Rule 5.160 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions |
| 34-84365 | Oct 4, 2018 | SR-IEX-2018-21 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Several Typographical Errors in IEX Rule 2.160 Added by a Previous Filing See Also - Exhibit 5 |
| 34-84360 | Oct 4, 2018 | SR-IEX-2018-20 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule To Specify the Circumstances Under Which the Exchange Will Aggregate the Activity of Affiliated Members for Purposes of Applying the Provisions of Rule 11.170(a) Related to the IEMM Program See Also - Exhibit 5 |
| 34-84320 | Sep 28, 2018 | SR-IEX-2018-19 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2.160 Related to the Qualification and Registration Requirements for Associated Persons of a Member and To Delete Rule 2.150 Which is Obsolete See Also - Exhibit 5 |
| 34-83862 | Aug 16, 2018 | SR-IEX-2018-18 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of the Cross Price Constraint Utilized in the Opening Process for Non-IEX-Listed Securities Pursuant to Rule 11.231 See Also - Exhibit 5 |