National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-80256 | Mar 15, 2017 | SR-PHLX-2017-07, SR-PEARL-2017-04, SR-NYSEMKT-2017-02, SR-NYSEArca-2017-04, SR-NYSEArca-2017-03, SR-NYSE-2017-01, SR-NSX-2017-03, SR-NASDAQ-2017-008, SR-MIAX-2017-03, SR-ISEMercury-2017-03, SR-ISEGemini-2017-04, SR-ISE-2017-08, SR-IEX-2017-04, SR-CHX-2017-03, SR-CBOE-2017-012, SR-C2-2017-007, SR-BX-2017-007, SR-BOX-2017-07, SR-BatsEDGX-2017-08, SR-BatsEDGA-2017-03, SR-BatsBZX-2017-08, SR-BatsBYX-2017-02 | NASDAQ OMX PHLX, Nasdaq PHLX LLC (Phlx), MIAX PEARL, LLC (PEARL), NYSE MKT (NYSEMKT), NYSE Arca (NYSEARCA), New York Stock Exchange LLC (NYSE), National Stock Exchange (NSX), The Nasdaq Stock Market LLC (NASDAQ), Miami International Securities Exchange, LLC (MIAX), ISE Mercury (ISEMercury), ISE Gemini (ISEGemini), Nasdaq ISE, LLC (ISE), Investors Exchange LLC (IEX), Chicago Stock Exchange, Inc. (CHX), Cboe Exchange, Inc. (CBOE), Cboe C2 Exchange, Inc. (C2), Nasdaq BX, Inc. (BX), BOX Exchange LLC (BOX), Bats EDGX Exchange, Inc. (BatsEDGX), Bats EDGA Exchange, Inc. (BatsEDGA), Bats BZX Exchange, Inc. (BatsBZX), Bats BYX Exchange, Inc. (BatsBYX) | Order Approving Proposed Rule Changes To Adopt Consolidated Audit Trail Compliance Rules See Also - Rel. No. 34-79949, Rel. No. 34-79932, Rel. No. 34-79953, Rel. No. 34-79950, Rel. No. 34-79967, Rel. No. 34-79937, Rel. No. 34-79938, Rel. No. 34-79935, Rel. No. 34-79960, Rel. No. 34-79907, Rel. No. 34-79909, Rel. No. 34-79911, Rel. No. 34-79945, Rel. No. 34-79948, Rel. No. 34-79944, Rel. No. 34-79927, Rel. No. 34-79962, Rel. No. 34-79933, Rel. No. 34-79965, Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Liability Caps and Related Reimbursement Requirements |
| 34-80081 | Feb 22, 2017 | SR-NSX-2017-05 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Eighth Amended and Restated Certificate of Incorporation of Intercontinental Exchange Holdings, Inc. and the Fifth Amended and Restated Certificate of Incorporation of NYSE Group, Inc. See Also - Exhibit 5A, Exhibit 5B |
| 34-80018 | Feb 10, 2017 | SR-NSX-2017-04 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 11.1, Hours of Trading, Interpretations and Policies .01, To Cease Trading on the Exchange's System as of February 1, 2017 |
| 34-79933 | Feb 2, 2017 | SR-NSX-2017-03 | National Stock Exchange (NSX) | Notice of Filing of Proposed Rule Change To Implement Compliance Rules Regarding the National Market System Plan Governing the Consolidated Audit Trail See Also - Exhibit 5, Rel. No. 34-79933 |
| 34-79902 | Jan 30, 2017 | SR-NSX-2016-16 | National Stock Exchange (NSX) | Order Approving Proposed Rule Change, as Modified by Amendment No. 1, in Connection With a Proposed Acquisition of the Exchange by NYSE Group, Inc. See Also - Rel. No. 34-79684 |
| 34-79806 | Jan 17, 2017 | SR-NSX-2017-01 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.26 Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program See Also - Exhibit 5 |
| 34-79684 | Dec 23, 2016 | SR-NSX-2016-16 | National Stock Exchange (NSX) | Notice of Filing of Proposed Rule Change in Connection With the Proposed Acquisition of the Exchange by NYSE Group, Inc. View Received Comments See Also - Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H, Exhibit 5I, Exhibit 5J |
| 34-79174 | Oct 27, 2016 | SR-NSX-2016-14 | National Stock Exchange (NSX) | Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 11.26 To Correct Defective Numbering in the Interpretations and Policies of the Rule See Also - Exhibit 5, Rel. No. 34-79902, Rel. No. 34-79902 |
| 34-78987 | Sep 29, 2016 | SR-NSX-2016-13 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 11.11 and 11.26 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program See Also - Exhibit 5 |
| 34-78960 | Sep 28, 2016 | SR-NSX-2016-12 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.26 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program See Also - Exhibit 5 |