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to the Qualification and Registration Requirements for Associated Persons of a Member and to Delete Rule 2.150 which is Obsolete.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