National Securities Exchanges
April 12, 2017
A "national securities exchange" is a securities exchange that has registered with the SEC under Section 6 of the Securities Exchange Act of 1934.
Following is a list of exchanges registered with the SEC under Section 6(a) of the Exchange Act as national securities exchanges:
- BOX Exchange LLC (formerly BOX Options Exchange LLC)
- Cboe BYX Exchange, Inc. (formerly Bats BYX Exchange, Inc.; BATS Y-Exchange, Inc.)
- Cboe BZX Exchange, Inc. (formerly Bats BZX Exchange, Inc.; BATS Exchange, Inc.)
- Cboe C2 Exchange, Inc.
- Cboe EDGA Exchange, Inc. (formerly Bats EDGA Exchange, Inc.; EDGA Exchange, Inc.)
- Cboe EDGX Exchange, Inc. (formerly Bats EDGX Exchange, Inc.; EDGX Exchange, Inc.)
- Cboe Exchange, Inc.
- Investors Exchange LLC
- Long-Term Stock Exchange, Inc.
- MEMX, LLC
- Miami International Securities Exchange
- MIAX Emerald, LLC
- MIAX PEARL, LLC
- Nasdaq BX, Inc. (formerly NASDAQ OMX BX, Inc.; Boston Stock Exchange)
- Nasdaq GEMX, LLC (formerly ISE Gemini)
- Nasdaq ISE, LLC (formerly International Securities Exchange, LLC)
- Nasdaq MRX, LLC (formerly ISE Mercury)
- Nasdaq PHLX LLC (formerly NASDAQ OMX PHLX, LLC; Philadelphia Stock Exchange)
- The Nasdaq Stock Market
- New York Stock Exchange LLC
- NYSE Arca, Inc.
- NYSE Chicago, Inc. (formerly Chicago Stock Exchange)
- NYSE American LLC (formerly NYSE MKT LLC, NYSE Amex, NYSE Alternet US, and the American Stock Exchange)
- NYSE National, Inc. (formerly National Stock Exchange, Inc.)
Certain exchanges are also registered with the SEC through a notice filing under Section 6(g) of the Exchange Act for the purpose of trading security futures.
- CBOE Futures Exchange, LLC
- Chicago Board of Trade
- One Chicago, LLC (formerly registered; see Release No. 34-91117)
- The Island Futures Exchange, LLC (formerly registered)
- NQLX LLC (formerly registered)
There are also two exchanges that the SEC has exempted from registration as national securities exchanges on the basis of a limited volume of transactions:
- Arizona Stock Exchange (no longer operating pursuant to an exemption from registration as a national securities exchange)
- SWX Europe Limited (f/k/a Virt-x; no longer operating pursuant to an exemption from registration as a national securities exchange)
Section 31 Fees
- Basic Information for Firms
- Section 31 of the Securities Exchange Act of 1934
- Section 31 Information
- Rule 31 under the Securities Exchange Act of 1934
- Rule 31T under the Securities Exchange Act of 1934
- Collection Practices under Section 31 of the Exchange Act
- Recent Fee Rate Advisories
- Fee Rate Advisory #1 for Fiscal Year 2022 (April 8, 2022)
- Fee Rate Advisory #3 for Fiscal Year 2021 (February 26, 2021)
- Fee Rate Advisory #2 for Fiscal Year 2021 (January 15, 2021)
- Fee Rate Advisory #2 for Fiscal Year 2020 (January 9, 2020)
- Fee Rate Advisory #1 for Fiscal Year 2020 (August 23, 2019 )
- Fee Rate Advisory #2 for Fiscal Year 2019 (March 12, 2019)
- Fee Rate Advisory #1 for Fiscal Year 2019 (August 24, 2018 )
- Fee Rate Advisory #3 for Fiscal Year 2018 (April 17, 2018)
- Fee Rate Advisory #2 for Fiscal Year 2018 (September 29, 2017)
- Fee Rate Advisory #1 for Fiscal Year 2018 (August 24, 2017 )
- Fee Rate Advisory #3 for Fiscal Year 2017 (May 31, 2017)
- Fee Rate Advisory #2 for Fiscal Year 2017 (September 30, 2016)
- Fee Rate Advisory #1 for Fiscal Year 2017 (August 31, 2016)
- Fee Rate Advisory #4 for Fiscal Year 2016 (February 25, 2016)
- Fee Rate Advisory #3 for Fiscal Year 2016 (January 7, 2016)
- Fee Rate Advisory #2 for Fiscal Year 2016 (September 30, 2015)
- Fee Rate Advisory #1 for Fiscal Year 2016 (August 27, 2015)
- Fee Rate Advisory #4 for Fiscal Year 2015 (February 27, 2015)
- Fee Rate Advisory #3 for Fiscal Year 2015 (January 15, 2015)
- Fee Rate Advisory #2 for Fiscal Year 2015 (September 30, 2014)
- Fee Rate Advisory #1 for Fiscal Year 2015 (August 29, 2014)
- Fee Rate Advisory #4 for Fiscal Year 2014 (February 28, 2014)
- Fee Rate Advisory #3 for Fiscal Year 2014 (February 12, 2014)
- Fee Rate Advisory #2 for Fiscal Year 2014 (October 31, 2013)
- Fee Rate Advisory #1 for Fiscal Year 2014 (August 30, 2013)
- Fee Rate Advisory #3 for Fiscal Year 2013 (April 25, 2013)
- Fee Rate Advisory #2 for Fiscal Year 2013 (November 15, 2012)
- Fee Rate Advisory #1 for Fiscal Year 2013 (August 31, 2012)
- Fee Rate Advisories for FY12
- Fee Rate Advisories for FY11
- Fee Rate Advisories for FY10
- Fee Rate Advisories for FY09
- Fee Rate Advisories for FY08
- Fee Rate Advisories for FY07
- Fee Rate Advisories for FY06
- Fee Rate Advisories for FY05
Additional Information
Modified: Sept. 26, 2023