Investors Exchange LLC Rulemaking
We encourage the public to submit comments on the following Investors Exchange LLC 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.
Chronological List
Third Quarter |
Second Quarter |
First Quarter
Investors Exchange LLC File Number List for 2017
Additional Archives
Chronological List
| Release No. | Date | Details |
|---|---|---|
| Third Quarter | ||
| SR-IEX-2017-31 | ||
| 34-81662 | Sep. 20, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Manner in Which the Order Collar and Router Constraint Apply to Auctions and the Opening Process
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-IEX-2017-29 | ||
| 34-81602 | Sep. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees Pursuant to Rule 15.110
Comments due: October 10, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-18 | ||
| 34-81499 | Aug. 30, 2017 | Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register See also: Notice: Rel. No. 34-80788 Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| SR-IEX-2017-28 | ||
| 34-81502 | Aug. 30, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees Pursuant to Rule 15.110
Comments due: September 27, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-21 | ||
| 34-81500 | Aug. 30, 2017 | Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80936 Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31 |
| SR-IEX-2017-27 | ||
| 34-81484 | Aug. 25, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction Fees Pursuant to Rule 15.110
Comments due: September 21, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-IEX-2017-22 | ||
| 34-81482 | Aug. 25, 2017 | Order Approving a Proposed Rule Change to Introduce a New Market Maker Peg Order
See also: Notice: Rel. No. 34-81078 |
| SR-IEX-2017-20 | ||
| 34-81469 | Aug. 23, 2017 | Notice of Filing of Proposed Rule Change to Adopt Rule 14.602 to Describe the Complimentary Products and Services to Be Made Available to All Listed Companies
Comments due: September 19, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-26 | ||
| 34-81365 | Aug. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Nonsubstantive Conflicting Rule Text in Rule 11.190.
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-25 | ||
| 34-81346 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Correction to the Exchange Fee Schedule Related to Fees for Executions that Involve Taking Resting Interest with Non-Displayed Priority with a Displayable Order
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-10 | ||
| 34-81316 | Aug. 4, 2017 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, Relating to Auctions in IEX-Listed Securities, Dissemination of Auction-Related Market Data, and Trading Halts and Pauses
Comments due: August 31, 2017 See also: Notice: Rel. No. 34-80998, Notice: Rel. No. 34-80583 |
| SR-IEX-2017-24 | ||
| 34-81278 | Aug. 1, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Policy Relating to its Treatment of Trade Reports that it Determines to be Inconsistent with the Prevailing Market
Comments due: August 28, 2017 |
| SR-IEX-2017-11 | ||
| 34-81195 | Jul. 24, 2017 | Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, to Modify the Manner in Which the Exchange Opens Trading for Non-IEX-Listed Securities
Comments due: August 18, 2017 See also: Notice: Rel. No. 34-80514, Notice: Rel. No. 34-81052 |
| SR-IEX-2017-21 | ||
| 34-81166 | Jul. 18, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 15.130 to Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members
See also: Order: Rel. No. 34-81500, Notice: Rel. No. 34-80936 |
| SR-IEX-2017-18 | ||
| 34-81145 | Jul. 14, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-80788, Notice: Rel. No. 34-81499 Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-PHLX-2017-43, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| SR-IEX-2017-23 | ||
| 34-81149 | Jul. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Clarifying Amendment to IEX Rule 16.135
Comments due: August 10, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-22 | ||
| 34-81078 | Jul. 5, 2017 | Notice of Filing of Proposed Rule Change to Introduce a New Market Maker Peg Order
Comments due: August 1, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-81482 |
| Second Quarter | ||
| SR-IEX-2017-16 | ||
| 34-81067 | Jun. 30, 2017 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017 Rebuttal comments due: August 11, 2017 See also: Notice: Rel. No. 34-80692 Additional File Nos.: SR-BatsBYX-2017-11; SR-BatsBZX-2017-38; SR-BatsEDGA-2017-13; SR-BatsEDGX-2017-22; SR-BOX-2017-16; SR-BX-2017-023; SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37 Comments received are available for this proposal. |
| SR-IEX-2017-11 | ||
| 34-81052 | Jun. 29, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Manner in Which the Exchange Opens Trading for Non-IEX-Listed Securities
See also: Notice: Rel. No. 34-80514; Order: Rel. No. 34-81195 |
| SR-IEX-2017-10 | ||
| 34-80998 | Jun. 22, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to Auctions in IEX-Listed Securities, Dissemination of Auction-Related Market Data, and Provisions Governing Trading Halts and Pauses
See also: Notice: Rel. No. 34-80583; Notice: Rel. No. 34-81316 |
| SR-IEX-2017-21 | ||
| 34-80936 | Jun. 15, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rule 15.130 to Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members
Comments due: July 11, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-81500, Notice: Rel. No. 34-81166 Comments received are available for this proposal. |
| SR-IEX-2017-14 | ||
| 34-80905 | Jun. 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Continued Listing Standards for Exchange Traded Products
Comments due: July 7, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-19 | ||
| 34-80845 | Jun. 1, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove the Ten (10) Price Level Limitation on Aggregated Depth of Book Quotations disseminated on the IEX Data Platform, and to add Rule 11.330(a)(5) to Offer Historical Data
Comments due: June 28, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-18 | ||
| 34-80788 | May 26, 2017 | Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 22, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-81145, Notice: Rel. No. 34-81499 Comments received are available for this proposal. * |
| SR-IEX-2017-16 | ||
| 34-80692 | May 16, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail.
Comments due: June 12, 2017 Additional Materials: Appendix, Exhibit 5 See also: Order: Rel. No. 34-81067 Comments received are available for this proposal. |
| SR-IEX-2017-15 | ||
| 34-80669 | May 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Incorrect Internal Cross Reference in Rule 11.420(d)(2)(B).
Comments due: June 8, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-12 | ||
| 34-80650 | May 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Exchange Rule 11.340 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.
Comments due: June 6, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-10 | ||
| 34-80583 | May 3, 2017 | Notice of Filing of Proposed Rule Change Related to Auctions in IEX-Listed Securities, Dissemination of Auction-Related Market Data, and Provisions Governing Trading Halts and Pauses
Comments due: May 30, 2017 Additional Materials: Exhibit 2, Exhibit 5 See also: Notice: Rel. No. 34-80998; Notice: Rel. No. 34-81316 Comments received are available for this proposal. |
| SR-IEX-2017-03 | ||
| 34-80545 | Apr. 27, 2017 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend IEX Rule 16.135 to Adopt Generic Listing Standards for Managed Fund Shares
Comments due: May 24, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-79940, Notice: Rel. No. 34-80257 |
| SR-IEX-2017-11 | ||
| 34-80514 | Apr. 24, 2017 | Notice of Filing of Proposed Rule Change to Modify the Manner in Which the Exchange Opens Trading for Non-IEX-Listed Securities
Comments due: May 19, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-81052; Order: Rel. No. 34-81195 Comments received are available for this proposal. |
| SR-IEX-2017-09 | ||
| 34-80453 | Apr. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify the Required Forms of Listing Application, Agreement and Other Documentation
Comments due: May 10, 2017 Additional Materials: Exhibit 3 |
| First Quarter | ||
| SR-IEX-2017-08 | ||
| 34-80331 | Mar. 29, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Typographical Errors in SR-IEX-2017-06
Comments due: April 25, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-03 | ||
| 34-80257 | Mar. 16, 2017 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend IEX Rule 16.135 to Adopt Generic Listing Standards for Managed Fund Shares
See also: Notice: Rel. No. 34-79940, Notice: Rel. No. 34-80545 |
| SR-IEX-2017-04 | ||
| 34-80256 | Mar. 15, 2017 | Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
See also: Notice: Rel. No. 34-79934 Additional File Nos.: SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03 |
| SR-IEX-2016-18 | ||
| 34-80223 | Mar. 13, 2017 | Order Granting Approval to a 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 Technical Changes to Conform Certain Terminology
See also: Notice: Rel. No. 34-79883, Notice: Rel. No. 34-79502 |
| SR-IEX-2017-07 | ||
| 34-80218 | Mar. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 11.340 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 6, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-06 | ||
| 34-80202 | Mar. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.190(g) to Modify the Quote Instability Coefficients and Quote Instability Threshold Included in the Quote Instability Calculation Specified in Subparagraph (g)(1) for Purposes of Determining Whether a Crumbling Quote Exists
Comments due: April 6, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-05 | ||
| 34-80118 | Feb. 28, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt DEEP, a New Depth of Book Market Data Feed, Rename TOPS Viewer to IEX Data Platform, and Include Depth of Book Market Data Therein
Comments due: March 27, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-03 | ||
| 34-79940 | Feb. 2, 2017 | Notice of Filing of Proposed Rule Change to Amend IEX Rule 16.135 to Adopt Generic Listing Standards for Managed Fund Shares.
Comments due: March 1, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-80545 Comments received are available for this proposal. |
| SR-IEX-2017-04 | ||
| 34-79934 | Feb. 2, 2017 | Notice of Filing of Proposed Rule Change to Adopt the Rule Series 11.600 to Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: March 1, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-80256 |
| SR-IEX-2016-18 | ||
| 34-79883 | Jan. 26, 2017 | 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: Order: Rel. No. 34-80223, Notice: Rel. No. 34-79502 |
Investors Exchange LLC File Number List for 2017
| Release No. | Date | Details |
|---|---|---|
| SR-IEX-2017-31 | ||
| 34-81662 | Sep. 20, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Manner in Which the Order Collar and Router Constraint Apply to Auctions and the Opening Process
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-IEX-2017-29 | ||
| 34-81602 | Sep. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees Pursuant to Rule 15.110
Comments due: October 10, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-28 | ||
| 34-81502 | Aug. 30, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees Pursuant to Rule 15.110
Comments due: September 27, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-27 | ||
| 34-81484 | Aug. 25, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction Fees Pursuant to Rule 15.110
Comments due: September 21, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-IEX-2017-26 | ||
| 34-81365 | Aug. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Nonsubstantive Conflicting Rule Text in Rule 11.190.
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-25 | ||
| 34-81346 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Correction to the Exchange Fee Schedule Related to Fees for Executions that Involve Taking Resting Interest with Non-Displayed Priority with a Displayable Order
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-24 | ||
| 34-81278 | Aug. 1, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Policy Relating to its Treatment of Trade Reports that it Determines to be Inconsistent with the Prevailing Market
Comments due: August 28, 2017 |
| SR-IEX-2017-23 | ||
| 34-81149 | Jul. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Clarifying Amendment to IEX Rule 16.135
Comments due: August 10, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-22 | ||
| 34-81482 | Aug. 25, 2017 | Order Approving a Proposed Rule Change to Introduce a New Market Maker Peg Order |
| 34-81078 | Jul. 5, 2017 | Notice of Filing of Proposed Rule Change to Introduce a New Market Maker Peg Order
Comments due: August 1, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-21 | ||
| 34-81500 | Aug. 30, 2017 | Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80936 Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31 |
| 34-81166 | Jul. 18, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 15.130 to Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members |
| 34-80936 | Jun. 15, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rule 15.130 to Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members
Comments due: July 11, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-IEX-2017-20 | ||
| 34-81469 | Aug. 23, 2017 | Notice of Filing of Proposed Rule Change to Adopt Rule 14.602 to Describe the Complimentary Products and Services to Be Made Available to All Listed Companies
Comments due: September 19, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-19 | ||
| 34-80845 | Jun. 1, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove the Ten (10) Price Level Limitation on Aggregated Depth of Book Quotations disseminated on the IEX Data Platform, and to add Rule 11.330(a)(5) to Offer Historical Data
Comments due: June 28, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-18 | ||
| 34-81499 | Aug. 30, 2017 | Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| 34-81145 | Jul. 14, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-PHLX-2017-43, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| 34-80788 | May 26, 2017 | Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 22, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-IEX-2017-16 | ||
| 34-81067 | Jun. 30, 2017 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017 Rebuttal comments due: August 11, 2017 Additional File Nos.: SR-BatsBYX-2017-11; SR-BatsBZX-2017-38; SR-BatsEDGA-2017-13; SR-BatsEDGX-2017-22; SR-BOX-2017-16; SR-BX-2017-023; SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37 Comments received are available for this proposal. |
| 34-80692 | May 16, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail.
Comments due: June 12, 2017 Additional Materials: Appendix, Exhibit 5 Comments received are available for this proposal. |
| SR-IEX-2017-15 | ||
| 34-80669 | May 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Incorrect Internal Cross Reference in Rule 11.420(d)(2)(B).
Comments due: June 8, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-14 | ||
| 34-80905 | Jun. 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Continued Listing Standards for Exchange Traded Products
Comments due: July 7, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-12 | ||
| 34-80650 | May 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Exchange Rule 11.340 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.
Comments due: June 6, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-11 | ||
| 34-81195 | Jul. 24, 2017 | Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, to Modify the Manner in Which the Exchange Opens Trading for Non-IEX-Listed Securities
Comments due: August 18, 2017 |
| 34-81052 | Jun. 29, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Manner in Which the Exchange Opens Trading for Non-IEX-Listed Securities |
| 34-80514 | Apr. 24, 2017 | Notice of Filing of Proposed Rule Change to Modify the Manner in Which the Exchange Opens Trading for Non-IEX-Listed Securities
Comments due: May 19, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-IEX-2017-10 | ||
| 34-81316 | Aug. 4, 2017 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, Relating to Auctions in IEX-Listed Securities, Dissemination of Auction-Related Market Data, and Trading Halts and Pauses
Comments due: August 31, 2017 |
| 34-80998 | Jun. 22, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to Auctions in IEX-Listed Securities, Dissemination of Auction-Related Market Data, and Provisions Governing Trading Halts and Pauses |
| 34-80583 | May 3, 2017 | Notice of Filing of Proposed Rule Change Related to Auctions in IEX-Listed Securities, Dissemination of Auction-Related Market Data, and Provisions Governing Trading Halts and Pauses
Comments due: May 30, 2017 Additional Materials: Exhibit 2, Exhibit 5 Comments received are available for this proposal. |
| SR-IEX-2017-09 | ||
| 34-80453 | Apr. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify the Required Forms of Listing Application, Agreement and Other Documentation
Comments due: May 10, 2017 Additional Materials: Exhibit 3 |
| SR-IEX-2017-08 | ||
| 34-80331 | Mar. 29, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Typographical Errors in SR-IEX-2017-06
Comments due: April 25, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-07 | ||
| 34-80218 | Mar. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 11.340 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 6, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-06 | ||
| 34-80202 | Mar. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.190(g) to Modify the Quote Instability Coefficients and Quote Instability Threshold Included in the Quote Instability Calculation Specified in Subparagraph (g)(1) for Purposes of Determining Whether a Crumbling Quote Exists
Comments due: April 6, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-05 | ||
| 34-80118 | Feb. 28, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt DEEP, a New Depth of Book Market Data Feed, Rename TOPS Viewer to IEX Data Platform, and Include Depth of Book Market Data Therein
Comments due: March 27, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-04 | ||
| 34-80256 | Mar. 15, 2017 | Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules Additional File Nos.: SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03 |
| 34-79934 | Feb. 2, 2017 | Notice of Filing of Proposed Rule Change to Adopt the Rule Series 11.600 to Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: March 1, 2017 Additional Materials: Exhibit 5 |
| SR-IEX-2017-03 | ||
| 34-80545 | Apr. 27, 2017 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend IEX Rule 16.135 to Adopt Generic Listing Standards for Managed Fund Shares
Comments due: May 24, 2017 Additional Materials: Exhibit 5 |
| 34-80257 | Mar. 16, 2017 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend IEX Rule 16.135 to Adopt Generic Listing Standards for Managed Fund Shares |
| 34-79940 | Feb. 2, 2017 | Notice of Filing of Proposed Rule Change to Amend IEX Rule 16.135 to Adopt Generic Listing Standards for Managed Fund Shares
Comments due: March 1, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |