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
Second Quarter | First Quarter

Investors Exchange LLC File Number List for 2018

Additional Archives

Chronological List

Release No. Date Details
Second Quarter
SR-IEX-2018-08
34-83075 Apr. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.350 to Clarify When a New IEX-Listed Security Will Be Eligible to Begin Trading with an IPO Auction
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
First Quarter
SR-IEX-2018-07
34-83048 Apr. 13, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.190(g) to Incrementally Optimize and Enhance the Effectiveness of the Quote Instability Calculation in Determining Whether a Crumbling Quote Exists
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-IEX-2018-06
34-82948 Mar. 27, 2018 Notice of Filing of Proposed Rule Change to Establish a New Optional Listing Category on the Exchange, "LTSE Listings on IEX"
Comments due: April 23, 2018
Additional Materials: Exhibit 3, Exhibit 5
SR-IEX-2018-05
34-82815 Mar. 6, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.270 (Clearly Erroneous Executions) to Preclude Members from Requesting a Review of a Volatility Auction as a Clearly Erroneous Execution
Comments due: March 30, 2018
Additional Materials: Exhibit 5
SR-IEX-2018-03
34-82799 Mar. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Auction Rules Governing the Pricing of Non-Displayed Orders Resting on the Continuous Book for the Opening and Closing Auctions
Comments due: March 28, 2018
Additional Materials: Exhibit 5
SR-IEX-2018-04
34-82784 Feb. 27, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5.170 to Reflect an Update to a FINRA Rule
Comments due: March 26, 2018
Additional Materials: Exhibit 5
SR-IEX-2018-02
34-82636 Feb. 6, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an IEX Enhanced Market Maker ("IEMM") Program
Comments due: March 5, 2018
Additional Materials: Exhibit 5
SR-IEX-2018-01
34-82623 Feb. 2, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Default Handling of Market Orders Entered with a Time-in-Force of DAY
Comments due: March 1, 2018
Additional Materials: Exhibit 5
SR-IEX-2017-18
34-82524 Jan. 17, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, 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-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-2017-16
34-82503 Jan. 16, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
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-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
SR-IEX-2017-44
34-82435 Jan. 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Optional IEX Aggregate Risk Controls Mechanism
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

Investors Exchange LLC File Number List for 2018

Release No. Date Details
SR-IEX-2018-08
34-83075 Apr. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.350 to Clarify When a New IEX-Listed Security Will Be Eligible to Begin Trading with an IPO Auction
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-IEX-2018-07
34-83048 Apr. 13, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.190(g) to Incrementally Optimize and Enhance the Effectiveness of the Quote Instability Calculation in Determining Whether a Crumbling Quote Exists
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-IEX-2018-06
34-82948 Mar. 27, 2018 Notice of Filing of Proposed Rule Change to Establish a New Optional Listing Category on the Exchange, "LTSE Listings on IEX"
Comments due: April 23, 2018
Additional Materials: Exhibit 3, Exhibit 5
SR-IEX-2018-05
34-82815 Mar. 6, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.270 (Clearly Erroneous Executions) to Preclude Members from Requesting a Review of a Volatility Auction as a Clearly Erroneous Execution
Comments due: March 30, 2018
Additional Materials: Exhibit 5
SR-IEX-2018-04
34-82784 Feb. 27, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5.170 to Reflect an Update to a FINRA Rule
Comments due: March 26, 2018
Additional Materials: Exhibit 5
SR-IEX-2018-03
34-82799 Mar. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Auction Rules Governing the Pricing of Non-Displayed Orders Resting on the Continuous Book for the Opening and Closing Auctions
Comments due: March 28, 2018
Additional Materials: Exhibit 5
SR-IEX-2018-02
34-82636 Feb. 6, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an IEX Enhanced Market Maker ("IEMM") Program
Comments due: March 5, 2018
Additional Materials: Exhibit 5
SR-IEX-2018-01
34-82623 Feb. 2, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Default Handling of Market Orders Entered with a Time-in-Force of DAY
Comments due: March 1, 2018
Additional Materials: Exhibit 5