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.
National Securities Exchanges Table
Release Number
|
File Number
|
SRO Organization
|
Details
|
|
---|---|---|---|---|
Release Number:34-80256 | SEC Issue Date:Mar 15, 2017 | File Number: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 | SRO Organization: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) |
Details: 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 |
Release Number:34-80081 | SEC Issue Date:Feb 22, 2017 | File Number:SR-NSX-2017-05 | SRO Organization:National Stock Exchange (NSX) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Eighth Amended and Restated Certificate of Incorporation of Intercontinental Exchange Holdings, Inc. and the Fifth Amended and Restated Certificate of Incorporation of NYSE Group, Inc. See Also - Exhibit 5A, Exhibit 5B |
Release Number:34-80018 | SEC Issue Date:Feb 10, 2017 | File Number:SR-NSX-2017-04 | SRO Organization:National Stock Exchange (NSX) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 11.1, Hours of Trading, Interpretations and Policies .01, To Cease Trading on the Exchange's System as of February 1, 2017 |
Release Number:34-79933 | SEC Issue Date:Feb 2, 2017 | File Number:SR-NSX-2017-03 | SRO Organization:National Stock Exchange (NSX) |
Details: Notice of Filing of Proposed Rule Change To Implement Compliance Rules Regarding the National Market System Plan Governing the Consolidated Audit Trail See Also - Exhibit 5, Rel. No. 34-79933 |
Release Number:34-79902 | SEC Issue Date:Jan 30, 2017 | File Number:SR-NSX-2016-16 | SRO Organization:National Stock Exchange (NSX) |
Details: Order Approving Proposed Rule Change, as Modified by Amendment No. 1, in Connection With a Proposed Acquisition of the Exchange by NYSE Group, Inc. See Also - Rel. No. 34-79684 |
Release Number:34-79806 | SEC Issue Date:Jan 17, 2017 | File Number:SR-NSX-2017-01 | SRO Organization:National Stock Exchange (NSX) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.26 Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program See Also - Exhibit 5 |
Release Number:34-79684 | SEC Issue Date:Dec 23, 2016 | File Number:SR-NSX-2016-16 | SRO Organization:National Stock Exchange (NSX) |
Details: Notice of Filing of Proposed Rule Change in Connection With the Proposed Acquisition of the Exchange by NYSE Group, Inc. View Received Comments See Also - Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H, Exhibit 5I, Exhibit 5J |
Release Number:34-79174 | SEC Issue Date:Oct 27, 2016 | File Number:SR-NSX-2016-14 | SRO Organization:National Stock Exchange (NSX) |
Details: Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 11.26 To Correct Defective Numbering in the Interpretations and Policies of the Rule See Also - Exhibit 5, Rel. No. 34-79902, Rel. No. 34-79902 |
Release Number:34-78987 | SEC Issue Date:Sep 29, 2016 | File Number:SR-NSX-2016-13 | SRO Organization:National Stock Exchange (NSX) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 11.11 and 11.26 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program See Also - Exhibit 5 |
Release Number:34-78960 | SEC Issue Date:Sep 28, 2016 | File Number:SR-NSX-2016-12 | SRO Organization:National Stock Exchange (NSX) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.26 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program See Also - Exhibit 5 |