National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-87798 | Dec 18, 2019 | SR-IEX-2019-14 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.190(e) To Expand the Exchange's Existing Anti-Internalization Functionality and Make Conforming and Clarifying Changes to IEX Rule 11.190(e) and Other IEX Rules See Also - Exhibit 5 |
| 34-87647 | Dec 3, 2019 | SR-IEX-2019-13 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.380 To Expand the Exchange's Optional Aggregate Risk Controls Mechanism To Include a Net Notional Exposure Risk Check in Addition to the Gross Notional Exposure Risk Check See Also - Exhibit 5 |
| 34-87578 | Nov 20, 2019 | SR-IEX-2019-12 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Table in Rule 11.410(a) To Update the Market Data Source That the Exchange Will Use To Determine the Top of Book Quotation for NYSE Chicago, Inc. and To Amend Rules 2.220(a)(7) and 11.410(a) To Reflect the Name Change of Chicago Stock Exchange, Inc. to NYSE Chicago, Inc. See Also - Exhibit 5 |
| 34-87298 | Oct 15, 2019 | SR-IEX-2019-11 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.280 To Extend the Pilot Period for the Market-Wide Circuit Breaker to the Close of Business on October 18, 2020 and To Clarify That the Remaining Parts of Rule 11.280 Are Not Subject to Any Pilot Period See Also - Exhibit 5 |
| 34-87019 | Sep 19, 2019 | SR-IEX-2019-10 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Corporate Discretionary Peg Order Type and Make Two Minor Non-Substantive Clarifying Changes to the Definition of a Discretionary Peg Order See Also - Exhibit 5 |
| 34-86854 | Sep 3, 2019 | SR-IEX-2019-08 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule To Establish Fees for the Execution of Retail and Retail Liquidity Provider Orders and To Eliminate Fee Code N From the Fee Schedule See Also - Exhibit 5 |
| 34-86626 | Aug 9, 2019 | SR-IEX-2019-07 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the IEX Fee Schedule, Pursuant to IEX Rules 15.110(a) and (c), To Charge a Fee of $100 Per Month for Each Logical Order Entry Port in Excess of Five Per User View Received Comments See Also - Exhibit 5 |
| 34-86619 | Aug 9, 2019 | SR-IEX-2019-05 | Investors Exchange LLC (IEX) | Order Granting Approval of a Proposed Rule Change to Establish a Retail Price Improvement Program |
| 34-86408 | Jul 18, 2019 | SR-IEX-2019-06 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to IEX's Fee Schedule To Correct Two Fee Code Combinations See Also - Exhibit 5 |
| 34-86241 | Jun 28, 2019 | SR-IEX-2019-05 | Investors Exchange LLC (IEX) | Notice of Filing of Proposed Rule Change To Establish a Retail Price Improvement Program See Also - Exhibit 5 |