Self-Regulatory Organization Rulemaking

We invite comments on filings submitted by the following SROs during the comment period. Each SRO name below is linked to an index page with listings of specific filings and corresponding SEC releases. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. All comments will be posted on this website.

Joint Industry Plans

• 17d-2 Plans for Allocation of Regulatory Responsibilities
• National Market System Plans (NMS)

National Securities Exchanges

• BOX Exchange LLC (BOX)
  • Formerly BOX Options Exchange LLC
• Cboe BYX Exchange, Inc. (CboeBYX)
  • Formerly Bats BYX Exchange, Inc. (BatsBYX)
  • Formerly BATS Y-Exchange (BYX)
• Cboe BZX Exchange, Inc. (CboeBZX)
  • Formerly Bats BZX Exchange, Inc. (BatsBZX)
  • Formerly BATS Exchange (BATS)
• Cboe C2 Exchange, Inc. (C2)
• Cboe EDGA Exchange, Inc. (CboeEDGA)
  • Formerly Bats EDGA Exchange, Inc. (BatsEDGA)
  • Formerly EDGA Exchange (EDGA)
• Cboe EDGX Exchange, Inc. (CboeEDGX)
  • Formerly Bats EDGX Exchange, Inc. (BatsEDGX)
  • Formerly EDGX Exchange (EDGX)
• Cboe Exchange, Inc. (CBOE)
• Investors Exchange LLC (IEX)
• Long-Term Stock Exchange, Inc. (LTSE)
• MEMX LLC (MEMX)
• Miami International Securities Exchange, LLC (MIAX)
• MIAX Emerald, LLC (EMERALD)
• MIAX PEARL, LLC (PEARL)
• MIAX SAPPHIRE, LLC (SAPPHIRE)
• Nasdaq BX, Inc. (BX)
  • Formerly NASDAQ OMX BX
  • Formerly Boston Stock Exchange (BSE)
• Nasdaq GEMX, LLC (GEMX)
  • Formerly ISE Gemini (ISEGemini)
  • Formerly Topaz Exchange (Topaz)
• Nasdaq ISE, LLC (ISE)
  • Formerly International Securities Exchange
• Nasdaq MRX, LLC (MRX)
  • Formerly ISE Mercury (ISEMercury)
• Nasdaq PHLX LLC (Phlx)
  • Formerly NASDAQ OMX PHLX
• The Nasdaq Stock Market LLC (NASDAQ)
• New York Stock Exchange LLC (NYSE)
• NYSE Arca, Inc. (NYSEARCA)
• NYSE American LLC (NYSEAMER)
  • Formerly NYSE MKT (NYSEMKT)
  • Formerly NYSE Amex (NYSEAmex)
  • Formerly NYSE Alternext US (NYSEALTR)
  • Formerly American Stock Exchange (Amex)
• NYSE Chicago, Inc. (NYSECHX)
  • Formerly Chicago Stock Exchange, Inc. (CHX)
• NYSE National, Inc. (NYSENAT)
  • Formerly National Stock Exchange (NSX)

Registered Securities Associations

• Financial Industry Regulatory Authority (FINRA)
  • Formerly National Association of Securities Dealers (NASD)

Notice Registered Securities Future Product Exchanges

• CBOE Futures Exchange (CFE)
• Chicago Board of Trade (CBOT)
• Chicago Mercantile Exchange (CME)
• OneChicago (formerly registered; see  Release No. 34-91117)
• Minneapolis Grain Exchange, Inc. (MGEX)
• NQLX (formerly registered)

Securities Futures Associations

• National Futures Association (NFA)

Registered Clearing Agencies

Proposed Rule Change Filings

• Banque Centrale De Compensation (LCH SA)
• Boston Stock Exchange Clearing Corporation (BSECC)
• Chicago Mercantile Exchange LLC (CME) (formerly registered)
• Fixed Income Clearing Corporation (FICC)
• ICE Clear Credit LLC (ICC)
• ICE Clear Europe Limited (ICEEU) (formerly registered)
• National Securities Clearing Corporation (NSCC)
• The Options Clearing Corporation (OCC)
• Stock Clearing Corporation of Philadelphia (SCCP)
• The Depository Trust Company (DTC)

Advance Notice Filings

• The Depository Trust Company (DTC)
• Fixed Income Clearing Corporation (FICC)
• National Securities Clearing Corporation (NSCC)
• The Options Clearing Corporation (OCC)

Other Self-Regulatory Organizations

• Municipal Securities Rulemaking Board (MSRB)