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Administrative Proceeding File No. 3-16330

Respondents

The Application of Securities Industry and Financial Markets Association


Release Date	Release Number	Other Release Numbers	Name of Document
Oct. 5, 2020	34-90087		Sec. Indus. & Fin. Mkts. Ass'n, File No. 3-15364 (June 25, 2013)
Aug. 7, 2020	34-89504		Order Vacating Prior Order and Requesting Additional Briefs
Dec. 14, 2018	34-84827		Order
Jan. 12, 2015	34-74032		Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 19(h) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


Release Date	Release Number	Other Release Numbers	Name of Document
Nov. 21, 2018			NYSE Exchanges' Motion for Stay, Brief in Support, and Declaration of Clare Saperstein in Support
Nov. 21, 2018			Joinder in New York Stock Exchange LLC, NYSE ARCA, Inc., NYSE American LLC, and NYSE National, Inc.'s Motion to Stay
Dec. 4, 2018			The NASDAQ Stock Market LLC, NASDAQ PHLX LLC, NASDAQ BX, Inc., NASDAQ ISE, LLC, NASDAQ GEMX, LLC, and NASDAQ MRX, LLC's Notice of Withdrawal of Motion for Reconsideration
Aug. 31, 2020			Notice of Voluntary Dismissal of Applications
Sept. 9, 2020			National Securities Exchanges' and National Market System Plans' Response to the Commission's August 7, 2020 Order
Jan. 9, 2015			Application for Review
Feb. 6, 2015			Notice of Filing
Feb. 6, 2015			Certified Record and Index
Oct. 24, 2018			NASDAQ's Motion for Reconsideration of Order Remanding Challenges to Various Rule Changes and Directing Exchanges to Develop Procedures
Oct. 26, 2018			Cboe's Motion for Reconsideration and Memorandum of Law in Support
Oct. 29, 2018			Motion for Expedited Reconsideration by New York Stock Exchange LLC, NYSE ARCA, Inc., NYSE American LLC, and NYSE National, Inc. and Brief in Support
Nov. 21, 2018			CBOE's Joinder in Motion for stay by NYSE LLC, NYSE ARCA, Inc., NYSE American LLC, and NYSE National, Inc.
Jan. 12, 2015			Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 19(h) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Dec. 14, 2018			Order
Aug. 7, 2020			Order Vacating Prior Order and Requesting Additional Briefs
Oct. 5, 2020			Sec. Indus. & Fin. Mkts. Ass'n, File No. 3-15364 (June 25, 2013)

Documents