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
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Third Quarter
Investors Exchange LLC File Number List for 2016
Additional Archives
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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: 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 | ||
| 34-79883 | 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 |