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 |
|---|---|---|---|---|
| 34-81866 | Oct 12, 2017 | SR-BatsBZX-2017-65 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform See Also - Exhibit 5 |
| 34-81849 | Oct 11, 2017 | SR-BatsEDGA-2017-22, SR-BatsBZX-2017-55, SR-BatsBYX-2017-19 | Bats EDGA Exchange, Inc. (BatsEDGA), Bats BZX Exchange, Inc. (BatsBZX), Bats BYX Exchange, Inc. (BatsBYX) | Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, To Harmonize the Corporate Governance Framework of Each Exchange With That of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated See Also - Rel. No. 34-81503, Rel. No. 34-81498, Rel. No. 34-81497, Rel. No. 34-81496 |
| 34-81815 | Oct 4, 2017 | SR-BatsBZX-2017-58 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing of a Proposed Rule Change To List and Trade Shares of the CBOE S&P 500 Dividend Aristocrats Target Income Index ETF Under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares View Received Comments See Also - Rel. No. 34-82115 |
| 34-81807 | Oct 3, 2017 | SR-BatsBZX-2017-62 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers, To Add New Optional Functionality to Minimum Quantity Orders See Also - Exhibit 5 |
| 34-81777 | Sep 29, 2017 | SR-BatsBZX-2017-63 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Certain Changes to Exchange Rules 14.11 and 14.12 |
| 34-81734 | Sep 27, 2017 | SR-BatsBZX-2017-50 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Withdrawal of a Proposed Rule Change To Extend the Implementation Date For Certain Changes to Exchange Rules 14.11 and 14.12 View Received Comments See Also - Rel. No. 34-81387 |
| 34-81715 | Sep 25, 2017 | SR-BatsBZX-2017-07 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Under BZX Rule 14.11(c)(4) the Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust View Received Comments See Also - Rel. No. 34-81363, Rel. No. 34-80664, Rel. No. 34-80350, Rel. No. 34-79989 |
| 34-81671 | Sep 21, 2017 | SR-BatsBZX-2017-54 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing of a Proposed Rule Change To List and Trade Shares of the iShares Inflation Hedged Corporate Bond ETF, a Series of the iShares U.S. ETF Trust, Under Rule 14.11(i), Managed Fund Shares View Received Comments See Also - Rel. No. 34-82025, Rel. No. 34-82388 |
| 34-81599 | Sep 13, 2017 | SR-BatsBZX-2017-30 | Bats BZX Exchange, Inc. (BatsBZX) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Permit the Listing and Trading of Managed Portfolio Shares; and To List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF; ClearBridge Large Cap ETF; ClearBridge MidCap Growth ETF; ClearBridge Select ETF; and ClearBridge All Cap Value ETF View Received Comments See Also - Rel. No. 34-82301, Rel. No. 34-81247, Rel. No. 34-80911 |
| 34-81594 | Sep 13, 2017 | SR-BatsBZX-2017-57 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.13, Order Execution and Routing, To Account for IEX as a Primary Listing Market and To Amend Certain Rules To Reflect the Name Change of NYSE MKT to NYSE American See Also - Exhibit 5 |