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
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
Investors Exchange LLC File Number List for 2018
Additional Archives
Chronological List
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-IEX-2018-22 | ||
| 34-84714 | Dec. 3, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform IEX Rule 5.160 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions
Comments due: 21 days after publication in the Federal Register |
| SR-IEX-2018-21 | ||
| 34-84365 | Oct. 4, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Several Typographical Errors in IEX Rule 2.160 Added by a Previous Filing
Comments due: November 1, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-20 | ||
| 34-84360 | Oct. 4, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule to Specify the Circumstances under which the Exchange will Aggregate the Activity of Affiliated Members for Purposes of Applying the Provisions of Rule 11.170(a) Related to the IEMM Program
Comments due: November 1, 2018 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-IEX-2018-19 | ||
| 34-84320 | Sep. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 2.160 Related to the Qualification and Registration Requirements for Associated Persons of a Member and to Delete Rule 2.150 which is Obsolete.
Comments due: October 25, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-18 | ||
| 34-83862 | Aug. 16, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of the Cross Price Constraint Utilized in the Opening Process for Non-IEX-Listed Securities Pursuant to Rule 11.231
Comments due: September 12, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-17 | ||
| 34-83820 | Aug. 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Increase the Spread-Crossing Eligible Remove Fee to $0.0009 per share for Executions at or Above $1.00 that Remove Non-Displayed Liquidity
Comments due: September 6, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-16 | ||
| 34-83800 | Aug. 8, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the Threshold for Imposition of the Crumbling Quote Remove Fee
Comments due: September 4, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-06 | ||
| 34-83678 | Jul. 20, 2018 | Order Scheduling Filing of Statements |
| SR-IEX-2018-15 | ||
| 34-83634 | Jul. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Discontinue the Router Basic Routing Option
Comments due: August 9, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-14 | ||
| 34-83609 | Jul. 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 16.160 to Remove Form 19b-4(e) Filing Requirement
Comments due: August 3, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-12 | ||
| 34-83586 | Jul. 2, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.420 Concerning the Order Audit Trail System Requirements to Make Conforming and Technical Changes
Comments due: July 30, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-11 | ||
| 34-83582 | Jul. 2, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Structure of its Fee Schedule and Make Several Conforming and Clarifying Changes, pursuant to IEX Rule 15.110(A) and (C)
Comments due: July 30, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-13 | ||
| 34-83579 | Jul. 2, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the IPO Auction Processes for Trading in an IEX-Listed Security that is the Subject of an Initial Public Offering
Comments due: July 30, 2018 Additional Materials: Exhibit 5 |
| Second Quarter | ||
| SR-IEX-2018-06 | ||
| 34-83558 | Jun. 29, 2018 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish a New Optional Listing Category on the Exchange, "LTSE Listings on IEX"
Comments due: July 27, 2018 See Also: Letter from IEX withdrawing the proposed rule change; Letter from Secretary of the Commission to Sophia Lee, General Counsel, Investors Exchange, LLC., dated June 29, 2018 (providing notice of Commission review of delegated action and stay of order) |
| SR-IEX-2018-10 | ||
| 34-83275 | May 17, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.410(a) to Update the Market Data Source That the Exchange Will Use to Determine the Top of Book Quotation for NYSE National in Anticipation of Its Planned Re-Launch
Comments due: June 13, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-06 | ||
| 34-83217 | May 11, 2018 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Establish a New Optional Listing Category on the Exchange, "LTSE Listings on IEX" |
| SR-IEX-2018-09 | ||
| 34-83147 | May 1, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule to Charge a More Deterministic Fee of $0.0003 Per Share for Executions at or Above $1.00 that Result from Removing Liquidity With an Order that is Executable at the Far Side of the NBBO
Comments due: May 29, 2018 Additional Materials: Exhibit 5 |
| 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: May 17, 2018 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: May 10, 2018 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 Comments received are available for this proposal. |
| 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-2018-22 | ||
| 34-84714 | Dec. 3, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform IEX Rule 5.160 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions
Comments due: 21 days after publication in the Federal Register |
| SR-IEX-2018-21 | ||
| 34-84365 | Oct. 4, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Several Typographical Errors in IEX Rule 2.160 Added by a Previous Filing
Comments due: November 1, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-20 | ||
| 34-84360 | Oct. 4, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule to Specify the Circumstances under which the Exchange will Aggregate the Activity of Affiliated Members for Purposes of Applying the Provisions of Rule 11.170(a) Related to the IEMM Program
Comments due: November 1, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-19 | ||
| 34-84320 | Sep. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 2.160 Related to the Qualification and Registration Requirements for Associated Persons of a Member and to Delete Rule 2.150 which is Obsolete.
Comments due: October 25, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-18 | ||
| 34-83862 | Aug. 16, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of the Cross Price Constraint Utilized in the Opening Process for Non-IEX-Listed Securities Pursuant to Rule 11.231
Comments due: September 12, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-17 | ||
| 34-83820 | Aug. 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Increase the Spread-Crossing Eligible Remove Fee to $0.0009 per share for Executions at or Above $1.00 that Remove Non-Displayed Liquidity
Comments due: September 6, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-16 | ||
| 34-83800 | Aug. 8, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the Threshold for Imposition of the Crumbling Quote Remove Fee
Comments due: September 4, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-15 | ||
| 34-83634 | Jul. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Discontinue the Router Basic Routing Option
Comments due: August 9, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-14 | ||
| 34-83609 | Jul. 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 16.160 to Remove Form 19b-4(e) Filing Requirement
Comments due: August 3, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-13 | ||
| 34-83579 | Jul. 2, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the IPO Auction Processes for Trading in an IEX-Listed Security that is the Subject of an Initial Public Offering
Comments due: July 30, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-12 | ||
| 34-83586 | Jul. 2, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.420 Concerning the Order Audit Trail System Requirements to Make Conforming and Technical Changes
Comments due: July 30, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-11 | ||
| 34-83582 | Jul. 2, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Structure of its Fee Schedule and Make Several Conforming and Clarifying Changes, pursuant to IEX Rule 15.110(A) and (C)
Comments due: July 30, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-10 | ||
| 34-83275 | May 17, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.410(a) to Update the Market Data Source That the Exchange Will Use to Determine the Top of Book Quotation for NYSE National in Anticipation of Its Planned Re-Launch
Comments due: June 13, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-09 | ||
| 34-83147 | May 1, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule to Charge a More Deterministic Fee of $0.0003 Per Share for Executions at or Above $1.00 that Result from Removing Liquidity With an Order that is Executable at the Far Side of the NBBO
Comments due: May 29, 2018 Additional Materials: Exhibit 5 |
| 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: May 17, 2018 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: May 10, 2018 Additional Materials: Exhibit 5 |
| SR-IEX-2018-06 | ||
| 34-83678 | Jul. 20, 2018 | Order Scheduling Filing of Statements |
| 34-83558 | Jun. 29, 2018 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish a New Optional Listing Category on the Exchange, "LTSE Listings on IEX"
Comments due: July 27, 2018 See Also: Letter from IEX withdrawing the proposed rule change; Letter from Secretary of the Commission to Sophia Lee, General Counsel, Investors Exchange, LLC., dated June 29, 2018 (providing notice of Commission review of delegated action and stay of order) |
| 34-83217 | May 11, 2018 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Establish a New Optional Listing Category on the Exchange, "LTSE Listings on IEX" |
| 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 Comments received are available for this proposal. |
| 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 |