National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-81558 | Sep 8, 2017 | SR-BatsBZX-2017-46 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Aptus Fortified Value ETF, a Series of ETF Series Solutions, Under Exchange Rule 14.11(c) View Received Comments See Also - Rel. No. 34-81947, Rel. No. 34-81191 |
| 34-81510 | Aug 31, 2017 | SR-BatsBZX-2017-53 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing of a Proposed Rule Change To List and Trade Shares of the WisdomTree CBOE Russell 2000 PutWrite Strategy Fund, a Series of the WisdomTree Trust, Under Rule 14.11(c)(3), Index Fund Shares See Also - Rel. No. 34-81876 |
| 34-81497 | Aug 30, 2017 | SR-BatsBZX-2017-55 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Harmonize the Corporate Governance Framework With That of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated See Also - Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e |
| 34-81499 | Aug 30, 2017 | SR-PEARL-2017-23, SR-NYSEMKT-2017-30, SR-NYSEMKT-2017-29, SR-NYSEArca-2017-59, SR-NYSEArca-2017-57, SR-NYSE-2017-23, SR-NASDAQ-2017-055, SR-MIAX-2017-20, SR-ISE-2017-46, SR-IEX-2017-18, SR-FINRA-2017-013, SR-CBOE-2017-041, SR-C2-2017-018, SR-BX-2017-027, SR-BOX-2017-17, SR-BatsEDGX-2017-23, SR-BatsBZX-2017-37 | NASDAQ OMX PHLX, Nasdaq PHLX LLC (Phlx), MIAX PEARL, LLC (PEARL), NYSE MKT (NYSEMKT), NYSE Arca (NYSEARCA), New York Stock Exchange LLC (NYSE), The Nasdaq Stock Market LLC (NASDAQ), Miami International Securities Exchange, LLC (MIAX), Nasdaq ISE, LLC (ISE), Investors Exchange LLC (IEX), Financial Industry Regulatory Authority (FINRA), Cboe Exchange, Inc. (CBOE), Cboe C2 Exchange, Inc. (C2), Nasdaq BX, Inc. (BX), BOX Exchange LLC (BOX), Bats EDGX Exchange, Inc. (BatsEDGX), Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, To Eliminate Requirements That Will Be Duplicative of CAT View Received Comments See Also - Rel. No. 34-82524, Rel. No. 34-82135, Rel. No. 34-81145, Rel. No. 34-80795, Rel. No. 34-80789, Rel. No. 34-80797, Rel. No. 34-80783, Rel. No. 34-80787, Rel. No. 34-80790, Rel. No. 34-80792, Rel. No. 34-80813, Rel. No. 34-80814, Rel. No. 34-80799, Rel. No. 34-80800, Rel. No. 34-80791, Rel. No. 34-80793, Rel. No. 34-80794, Rel. No. 34-80811 |
| 34-81500 | Aug 30, 2017 | SR-PHLX-2017-47, SR-NYSEMKT-2017-31, SR-NYSEArca-2017-60, SR-NYSE-2017-24, SR-NASDAQ-2017-059, SR-MRX-2017-08, SR-MIAX-2017-24, SR-ISE-2017-52, SR-IEX-2017-21, SR-GEMX-2017-24, SR-CBOE-2017-043, SR-BX-2017-029, SR-BOX-2017-19, SR-BatsEDGX-2017-24, SR-BatsEDGA-2017-14, SR-BatsBZX-2017-39, SR-BatsBYX-2017-13 | NASDAQ OMX PHLX, Nasdaq PHLX LLC (Phlx), NYSE MKT (NYSEMKT), NYSE Arca (NYSEARCA), New York Stock Exchange LLC (NYSE), The Nasdaq Stock Market LLC (NASDAQ), Nasdaq MRX, LLC (MRX), Miami International Securities Exchange, LLC (MIAX), Nasdaq ISE, LLC (ISE), Investors Exchange LLC (IEX), Nasdaq GEMX, LLC (GEMX), Cboe Exchange, Inc. (CBOE), 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, as Modified by Amendments, To Adopt a Consolidated Audit Trail Fee Dispute Resolution Process View Received Comments See Also - Rel. No. 34-80833, Rel. No. 34-80835, Rel. No. 34-80834, Rel. No. 34-80831, Rel. No. 34-80936, Rel. No. 34-80971, Rel. No. 34-80966, Rel. No. 34-80832, Rel. No. 34-80837, Rel. No. 34-80952, Rel. No. 34-80968, Rel. No. 34-80970, Rel. No. 34-80780, Rel. No. 34-80781, Rel. No. 34-80782, Rel. No. 34-80967, Rel. No. 34-80836 |
| 34-81495 | Aug 29, 2017 | SR-BatsBZX-2017-56 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing of a Proposed Rule Change To List and Trade Shares of Specified Series of the Innovator Shield Strategy S&P 500 Monthly Index Series and Innovator Ultra Shield Strategy S&P 500 Monthly Index Series Under Rule 14.11(c)(3) See Also - Rel. No. 34-81895, Rel. No. 34-82078 |
| 34-81437 | Aug 18, 2017 | SR-BatsBZX-2017-34 | Bats BZX Exchange, Inc. (BatsBZX) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28 View Received Comments See Also - Rel. No. 34-81072, Rel. No. 34-80683, Rel. No. 34-82108 |
| 34-81404 | Aug 15, 2017 | SR-BatsBZX-2017-52 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.2, Days and Hours of Business See Also - Exhibit 5 |
| 34-81387 | Aug 14, 2017 | SR-BatsBZX-2017-50 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing 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. 34-81734 |
| 34-81363 | Aug 9, 2017 | SR-BatsBZX-2017-07 | Bats BZX Exchange, Inc. (BatsBZX) | Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust Under BZX Rule 14.11(c)(4) View Received Comments See Also - Rel. No. 34-80664, Rel. No. 34-80350, Rel. No. 34-79989, Rel. No. 34-81715 |