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 |