National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-80257 | Mar 16, 2017 | SR-IEX-2017-03 | Investors Exchange LLC (IEX) | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend IEX Rule 16.135 To Adopt Generic Listing Standards for Managed Fund Shares View Received Comments See Also - Rel. No. 34-79940, Rel. No. 34-80545 |
| 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 |
| 34-80223 | Mar 13, 2017 | SR-IEX-2016-18 | Investors Exchange LLC (IEX) | Order Book; and (iii) Make Minor Technical Changes To Conform Certain Terminology See Also - Rel. No. 34-79883, Rel. No. 34-79502 |
| 34-80202 | Mar 10, 2017 | SR-IEX-2017-06 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.190(g) To Modify the Quote Instability Coefficients and Quote Instability Threshold Included in the Quote Instability Calculation Specified in Subparagraph (g)(1) for Purposes of Determining Whether a Crumbling Quote Exists See Also - Exhibit 5 |
| 34-80218 | Mar 10, 2017 | SR-IEX-2017-07 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 11.340 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 |
| 34-80118 | Feb 28, 2017 | SR-IEX-2017-05 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt DEEP, a New Depth of Book Market Data Feed, Rename TOPS Viewer to IEX Data Platform, and Include Depth of Book Market Data Therein See Also - Exhibit 5 |
| 34-79940 | Feb 2, 2017 | SR-IEX-2017-03 | Investors Exchange LLC (IEX) | Notice of Filing of Proposed Rule Change To Amend IEX Rule 16.135 To Adopt Generic Listing Standards for Managed Fund Shares View Received Comments See Also - Exhibit 5, Rel. No. 34-80545 |
| 34-79934 | Feb 2, 2017 | SR-IEX-2017-04 | Investors Exchange LLC (IEX) | Notice of Filing of Proposed Rule Change To Adopt the Rule Series 11.600 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail See Also - Exhibit 5 |
| 34-79883 | Jan 26, 2017 | SR-IEX-2016-18 | Investors Exchange LLC (IEX) | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To: (i) Amend Rules 11.190(a)(3) and 11.190(b)(8) To Modify the Operation of the Primary Peg Order Type; (ii) Amend Rule 11.190(h)(3)(C)(ii) and (D)(ii) Regarding Price Sliding in Locked and Crossed Markets To Simplify the Price Sliding Process for Both Primary Peg Orders and Discretionary Peg Orders Resting on or Posting to the Order Book; and (iii) Make Minor Housekeeping Changes To Conform Certain Terminology See Also - Rel. No. 34-80223, Rel. No. 34-79502 |
| 34-79670 | Dec 22, 2016 | SR-IEX-2016-22 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Retention of Jurisdiction Over Members and Persons Associated with Members Upon Termination, Revocation, or Cancellation of Membership or Association Thereof |