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.