Investors Exchange LLC Rulemaking Archive: 2016

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

Investors Exchange LLC File Number List for 2016

Additional Archives

Chronological List

Release No. Date Details
Fourth Quarter
SR-IEX-2016-22
34-79670 Dec. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Retention of Jurisdiction Over Members and Persons Associated with Members Upon Termination, Revocation, or Cancellation of Membership or Association Thereof
Comments due:  January 19, 2017
SR-IEX-2016-21
34-79652 Dec. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require that an Issuer of Securities Listed under Chapter 16 Notify IEX about Certain Changes to the Index, Portfolio, or Reference Asset Underlying the Security
Comments due:  January 18, 2017
Additional Materials: Exhibit 3, Exhibit 5
SR-IEX-2016-19
34-79527 Dec. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Any Nominee for Director or Sitting Director in Connection with Their Candidacy for or Service On the Companies' Board of Directors
Comments due: January 6, 2017
Additional Materials: Exhibit 5
SR-IEX-2016-18
34-79502 Dec. 7, 2016 Notice of Filing of 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)(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
Comments due: January 3, 2017
Additional Materials: Exhibit 5
See also:  Order: Rel. No. 34-80223, Notice: Rel. No. 34-79883
SR-IEX-2016-17
34-79473 Dec. 6, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: January 3, 2017
Additional Materials: Exhibit 5
SR-IEX-2016-16
34-79036 Oct. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to adopt rules to implement the quoting and trading provisions of the Tick Size Pilot Program and to describe related changes to IEX system functionality
Comments due: November 1, 2016
Additional Materials: Exhibit 5
See also: Exemptive Letter
Third Quarter
SR-IEX-2016-15
34-78945 Sep. 27, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Optional Risk Management Controls
Comments due:  October 24, 2016
Additional Materials: Exhibit 5
SR-IEX-2016-13
34-78820 Sep. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.340 to Modify Certain Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  October 11, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter
SR-IEX-2016-12
34-78555 Aug. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform Rules 3.260(d) and 5.110(e) to Corresponding Rules of the Financial Industry Regulatory Authority
Comments due: September 7, 2016
SR-IEX-2016-09
34-78550 Aug. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction and Regulatory Fees 1
Comments due: September 7, 2016
Additional Materials: Exhibit 5
SR-IEX-2016-11
34-78510 Aug. 9, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.190(g) Related to Discretionary Peg Orders
Comments due: September 6, 2016
Additional Materials: Exhibit 5
SR-IEX-2016-08
34-78509 Aug. 9, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.190(f) to Make Correcting and Clarifying Changes
Comments due: September 6, 2016
Additional Materials: Exhibit 5
SR-IEX-2016-10
34-78502 Aug. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 9.218 to Specify the List of Violations Eligible for Disposition Under IEX's Minor Rule Violation Plan
Comments due: September 2, 2016
SR-IEX-2016-06
34-78482 Aug. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.270(c) Concerning Clearly Erroneous Executions
Comments due:  September 1, 2016
Additional Materials: Exhibit 5
SR-IEX-2016-07
34-78481 Aug. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 11.340(b) to Set Forth the Requirements for the Collection and Transmission of Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  August 31, 2016
Additional Materials: Exhibit 5
See also: Exemptive Letter
SR-IEX-2016-05
34-78475 Aug. 3, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.330 to Combine the TOPS and LAST Data Products and Make Minor Correcting and Conforming Changes to the Description of TOPS Viewer
Comments due:  August 30, 2016
Additional Materials: Exhibit 5
SR-IEX-2016-03
34-78447 Jul. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Typographical Errors in Certain Referenced Time Frames
Comments due: August 25, 2016
Additional Materials: Exhibit 5
SR-IEX-2016-02
34-78420 Jul. 27, 2016 Notice of Filing of Proposed Rule Change to Amend Rule 11.230 to Rename the "Router Plus" Routing Option to "Router"
Comments due: August 22, 2016
Additional Materials: Exhibit 5
SR-IEX-2016-01
34-78416 Jul. 27, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Collection of Exchange Fees and Other Claims and Billing Policy
Comments due: August 22, 2016
Additional Materials: Exhibit 5

Investors Exchange LLC File Number List for 2016

Release No. Date Details
SR-IEX-2016-22
34-79670 Dec. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Retention of Jurisdiction Over Members and Persons Associated with Members Upon Termination, Revocation, or Cancellation of Membership or Association Thereof
Comments due:  January 19, 2017
SR-IEX-2016-21
34-79652 Dec. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require that an Issuer of Securities Listed under Chapter 16 Notify IEX about Certain Changes to the Index, Portfolio, or Reference Asset Underlying the Security
Comments due:  January 18, 2017
Additional Materials: Exhibit 3, Exhibit 5
SR-IEX-2016-19
34-79527 Dec. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Any Nominee for Director or Sitting Director in Connection with Their Candidacy for or Service On the Companies' Board of Directors
Comments due: January 6, 2017
Additional Materials: Exhibit 5
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
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
34-79502 Dec. 7, 2016 Notice of Filing of 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)(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
Comments due: January 3, 2017
Additional Materials: Exhibit 5
SR-IEX-2016-17
34-79473 Dec. 6, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: January 3, 2017
Additional Materials: Exhibit 5
SR-IEX-2016-16
34-79036 Oct. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to adopt rules to implement the quoting and trading provisions of the Tick Size Pilot Program and to describe related changes to IEX system functionality
Comments due: November 1, 2016
Additional Materials: Exhibit 5
See also: Exemptive Letter
SR-IEX-2016-15
34-78945 Sep. 27, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Optional Risk Management Controls
Comments due:  October 24, 2016
Additional Materials: Exhibit 5
SR-IEX-2016-13
34-78820 Sep. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.340 to Modify Certain Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  October 11, 2016
Additional Materials: Exhibit 5
See also: Exemptive Letter
SR-IEX-2016-12
34-78555 Aug. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform Rules 3.260(d) and 5.110(e) to Corresponding Rules of the Financial Industry Regulatory Authority
Comments due: September 7, 2016
SR-IEX-2016-11
34-78510 Aug. 9, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.190(g) Related to Discretionary Peg Orders
Comments due: September 6, 2016
Additional Materials: Exhibit 5
SR-IEX-2016-10
34-78502 Aug. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 9.218 to Specify the List of Violations Eligible for Disposition Under IEX's Minor Rule Violation Plan
Comments due: September 2, 2016
SR-IEX-2016-09
34-78550 Aug. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction and Regulatory Fees 1
Comments due: September 7, 2016
Additional Materials: Exhibit 5
SR-IEX-2016-08
34-78509 Aug. 9, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.190(f) to Make Correcting and Clarifying Changes
Comments due: September 6, 2016
Additional Materials: Exhibit 5
SR-IEX-2016-07
34-78481 Aug. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 11.340(b) to Set Forth the Requirements for the Collection and Transmission of Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  August 31, 2016
Additional Materials: Exhibit 5
See also: Exemptive Letter
SR-IEX-2016-06
34-78482 Aug. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.270(c) Concerning Clearly Erroneous Executions
Comments due:  September 1, 2016
Additional Materials: Exhibit 5
SR-IEX-2016-05
34-78475 Aug. 3, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.330 to Combine the TOPS and LAST Data Products and Make Minor Correcting and Conforming Changes to the Description of TOPS Viewer
Comments due:  August 30, 2016
Additional Materials: Exhibit 5
SR-IEX-2016-03
34-78447 Jul. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Typographical Errors in Certain Referenced Time Frames
Comments due: August 25, 2016
Additional Materials: Exhibit 5
SR-IEX-2016-02
34-78420 Jul. 27, 2016 Notice of Filing of Proposed Rule Change to Amend Rule 11.230 to Rename the "Router Plus" Routing Option to "Router"
Comments due: August 22, 2016
Additional Materials: Exhibit 5
SR-IEX-2016-01
34-78416 Jul. 27, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Collection of Exchange Fees and Other Claims and Billing Policy
Comments due: August 22, 2016
Additional Materials: Exhibit 5