National Securities Exchanges
We encourage the public to submit comments on the following filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-80907 | Jun 12, 2017 | SR-BatsEDGX-2017-28 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats EDGX Exchange, Inc. To Extend Through December 31, 2017, the Penny Pilot Program in Options Classes in Certain Issues See Also - Exhibit 5 |
| 34-80841 | Jun 1, 2017 | SR-BatsEDGX-2017-25 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a New Optional Order Instruction Known as Non-Displayed Swap View Received Comments See Also - Exhibit 5 |
| 34-80833 | Jun 1, 2017 | SR-BatsEDGX-2017-24 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing of a Proposed Rule Change To Adopt Rule 4.17, Consolidated Audit Trail-Fee Dispute Resolution View Received Comments See Also - Exhibit 5, Rel. No. 34-81500 |
| 34-80821 | May 31, 2017 | SR-BatsEDGX-2017-22 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGX Exchange, Inc. View Received Comments See Also - Appendix, Exhibit 5A, Rel. No. 34-81067, Rel. No. 34-82049 |
| 34-80795 | May 26, 2017 | SR-BatsEDGX-2017-23 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT View Received Comments See Also - Exhibit 5, Rel. No. 34-82524, Rel. No. 34-82135, Rel. No. 34-81499, Rel. No. 34-81145 |
| 34-80689 | May 16, 2017 | SR-BatsEDGX-2017-19 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.22 of Bats EDGX Exchange, Inc. To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program See Also - Exhibit 5 |
| 34-80658 | May 11, 2017 | SR-BatsEDGX-2017-21 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use on the Exchange's Equity Options Platform See Also - Exhibit 5 |
| 34-80607 | May 5, 2017 | SR-BatsEDGX-2017-16 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of Bats EDGX Exchange, Inc. To Authorize the Exchange To Share a User's Risk Settings With the Clearing Firm That Clears Transactions on Behalf of the User See Also - Exhibit 5 |
| 34-80434 | Apr 11, 2017 | SR-BatsEDGX-2017-15 | Bats EDGX Exchange, Inc. (BatsEDGX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use on the Exchange's Equities Options Platform See Also - Exhibit 5 |
| 34-80256 | Mar 15, 2017 | SR-PHLX-2017-07, SR-PEARL-2017-04, SR-NYSEMKT-2017-02, SR-NYSEArca-2017-04, SR-NYSEArca-2017-03, SR-NYSE-2017-01, SR-NSX-2017-03, SR-NASDAQ-2017-008, SR-MIAX-2017-03, SR-ISEMercury-2017-03, SR-ISEGemini-2017-04, SR-ISE-2017-08, SR-IEX-2017-04, SR-CHX-2017-03, SR-CBOE-2017-012, SR-C2-2017-007, SR-BX-2017-007, SR-BOX-2017-07, SR-BatsEDGX-2017-08, SR-BatsEDGA-2017-03, SR-BatsBZX-2017-08, SR-BatsBYX-2017-02 | NASDAQ OMX PHLX, Nasdaq PHLX LLC (Phlx), MIAX PEARL, LLC (PEARL), NYSE MKT (NYSEMKT), NYSE Arca (NYSEARCA), New York Stock Exchange LLC (NYSE), National Stock Exchange (NSX), The Nasdaq Stock Market LLC (NASDAQ), Miami International Securities Exchange, LLC (MIAX), ISE Mercury (ISEMercury), ISE Gemini (ISEGemini), Nasdaq ISE, LLC (ISE), Investors Exchange LLC (IEX), Chicago Stock Exchange, Inc. (CHX), Cboe Exchange, Inc. (CBOE), Cboe C2 Exchange, Inc. (C2), Nasdaq BX, Inc. (BX), BOX Exchange LLC (BOX), Bats EDGX Exchange, Inc. (BatsEDGX), Bats EDGA Exchange, Inc. (BatsEDGA), Bats BZX Exchange, Inc. (BatsBZX), Bats BYX Exchange, Inc. (BatsBYX) | Order Approving Proposed Rule Changes To Adopt Consolidated Audit Trail Compliance Rules See Also - Rel. No. 34-79949, Rel. No. 34-79932, Rel. No. 34-79953, Rel. No. 34-79950, Rel. No. 34-79967, Rel. No. 34-79937, Rel. No. 34-79938, Rel. No. 34-79935, Rel. No. 34-79960, Rel. No. 34-79907, Rel. No. 34-79909, Rel. No. 34-79911, Rel. No. 34-79945, Rel. No. 34-79948, Rel. No. 34-79944, Rel. No. 34-79927, Rel. No. 34-79962, Rel. No. 34-79933, Rel. No. 34-79965, Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Liability Caps and Related Reimbursement Requirements |