National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-83558 | Jun 29, 2018 | SR-IEX-2018-06 | 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 Establish a New Optional Listing Category on the Exchange, "LTSE Listings on IEX" View Received Comments See Also - Letter from IEX withdrawing the proposed rule change, Letter from Secretary of the Commission to Sophia LeeGeneral CounselInvestors ExchangeLLC.dated June 292018 (providing notice of Commission review of delegated action and stay of order) Submit Comments on SR-IEX-2018-06 |
| 34-83275 | May 17, 2018 | SR-IEX-2018-10 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.410(a) To Update the Market Data Source That the Exchange Will Use To Determine the Top of Book Quotation for NYSE National in Anticipation of Its Planned Re-Launch See Also - Exhibit 5 |
| 34-83217 | May 11, 2018 | SR-IEX-2018-06 | Investors Exchange LLC (IEX) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Establish a New Optional Listing Category on the Exchange, "LTSE Listings on IEX" View Received Comments |
| 34-83147 | May 1, 2018 | SR-IEX-2018-09 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify its Fee Schedule To Charge a More Deterministic Fee of $0.0003 Per Share for Executions at or Above $1.00 That Result From Removing Liquidity With an Order That is Executable at the Far Side of the NBBO See Also - Exhibit 5 |
| 34-83075 | Apr 20, 2018 | SR-IEX-2018-08 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.350 To Clarify When a New IEX-Listed Security Will Be Eligible To Begin Trading With an IPO Auction See Also - Exhibit 5 |
| 34-83048 | Apr 13, 2018 | SR-IEX-2018-07 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.190(g) To Incrementally Optimize and Enhance the Effectiveness of the Quote Instability Calculation in Determining Whether a Crumbling Quote Exists See Also - Exhibit 5 |
| 34-82948 | Mar 27, 2018 | SR-IEX-2018-06 | Investors Exchange LLC (IEX) | Notice of Filing of Proposed Rule Change To Establish a New Optional Listing Category on the Exchange, "LTSE Listings on IEX" View Received Comments See Also - Exhibit 3, Exhibit 5 |
| 34-82815 | Mar 6, 2018 | SR-IEX-2018-05 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.270 (Clearly Erroneous Executions) To Preclude Members From Requesting a Review of a Volatility Auction as a Clearly Erroneous Execution See Also - Exhibit 5 |
| 34-82799 | Mar 1, 2018 | SR-IEX-2018-03 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Auction Rules Governing the Pricing of Non-Displayed Orders Resting on the Continuous Book for the Opening and Closing Auctions See Also - Exhibit 5 |
| 34-82784 | Feb 27, 2018 | SR-IEX-2018-04 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5.170 To Reflect an Update to a FINRA Rule See Also - Exhibit 5 |