National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 |
| 34-79652 | Dec 21, 2016 | SR-IEX-2016-21 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require That an Issuer of Securities Listed Under Chapter 16 Notify IEX About Certain Changes to the Index, Portfolio, or Reference Asset Underlying the Security See Also - Exhibit 3, Exhibit 5 |
| 34-79527 | Dec 12, 2016 | SR-IEX-2016-19 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require Listed Companies To Publicly Disclose Compensation or Other Payments by Third Parties to Any Nominee for Director or Sitting Director in Connection With Their Candidacy for or Service on the Companies' Board of Directors See Also - Exhibit 5 |
| 34-79502 | Dec 7, 2016 | SR-IEX-2016-18 | Investors Exchange LLC (IEX) | Notice of Filing of 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)(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 - Exhibit 5, Rel. No. 34-80223, Rel. No. 34-79883 |
| 34-79473 | Dec 6, 2016 | SR-IEX-2016-17 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Web site Data Publication Requirements Relating to the Regulation NMS Plan To Implement a Tick Size Pilot Program See Also - Exhibit 5 |
| 34-79036 | Oct 4, 2016 | SR-IEX-2016-16 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Implement the Quoting and Trading Provisions of the Tick Size Pilot Program and To Describe Related Changes to IEX System Functionality See Also - Exhibit 5, Exemptive Letter |
| 34-78945 | Sep 27, 2016 | SR-IEX-2016-15 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Optional Risk Management Controls See Also - Exhibit 5 |
| 34-78820 | Sep 13, 2016 | SR-IEX-2016-13 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.340 To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program See Also - Exhibit 5, Exemptive Letter |
| 34-78550 | Aug 11, 2016 | SR-IEX-2016-09 | Investors Exchange LLC (IEX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction and Regulatory Fees See Also - Exhibit 5 |