National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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to the Qualification and Registration Requirements for Associated Persons of a Member and To Delete Rule 2.150 Which is Obsolete See Also - Exhibit 5 |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 |
| 34-83820 | Aug 10, 2018 | SR-IEX-2018-17 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Spread-Crossing Eligible Remove Fee to $0.0009 Per Share for Executions at or Above $1.00 That Remove Non-Displayed Liquidity See Also - Exhibit 5 |
| 34-83800 | Aug 8, 2018 | SR-IEX-2018-16 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Threshold for Imposition of the Crumbling Quote Remove Fee See Also - Exhibit 5 |
| 34-83678 | Jul 20, 2018 | SR-IEX-2018-06 | Investors Exchange LLC (IEX) | Securities Exchange Act of 1934; Order Scheduling Filing of Statements on Review; in the Matter of the Investors Exchange LLC; for an Order Granting the Approval of Proposed Rule Change To Establish a New Optional Listing Category on the Exchange, "LTSE Listings on IEX" (File No. SR-IEX-2018-06) View Received Comments |
| 34-83634 | Jul 13, 2018 | SR-IEX-2018-15 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Discontinue the Router Basic Routing Option See Also - Exhibit 5 |
| 34-83609 | Jul 9, 2018 | SR-IEX-2018-14 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 16.160 To Remove Form 19b-4(e) Filing Requirement See Also - Exhibit 5 |
| 34-83579 | Jul 2, 2018 | SR-IEX-2018-13 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the IPO Auction Processes for Trading in an IEX-Listed Security That Is the Subject of an Initial Public Offering See Also - Exhibit 5 |
| 34-83582 | Jul 2, 2018 | SR-IEX-2018-11 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Structure of its Fee Schedule and Make Several Conforming and Clarifying Changes, Pursuant to IEX Rule 15.110(A) and (C) See Also - Exhibit 5 |
| 34-83586 | Jul 2, 2018 | SR-IEX-2018-12 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.420 Concerning the Order Audit Trail System Requirements To Make Conforming and Technical Changes See Also - Exhibit 5 |