National Securities Exchanges
We encourage the public to submit comments on the following 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.
National Securities Exchanges Table
|
Release Number
|
File Number
|
SRO Organization
|
Details
|
|
|---|---|---|---|---|
| Release Number:34-82739 | SEC Issue Date:Feb 20, 2018 | File Number:SR-BatsBZX-2017-72 | SRO Organization:Bats BZX Exchange, Inc. (BatsBZX) |
Details: Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Innovator S&P 500 15% Shield Strategy ETF Series, Innovator S&P 500 "5% to "35% Shield Strategy ETF Series, Innovator S&P 500 Enhance and 10% Shield Strategy ETF Series, and Innovator S&P 500 Ultra Strategy ETF Series Under Rule 14.11(i) View Received Comments |
| Release Number:34-82591 | SEC Issue Date:Jan 26, 2018 | File Number:SR-BatsBZX-2017-54 | SRO Organization:Bats BZX Exchange, Inc. (BatsBZX) |
Details: Notice of Filing of Amendment No. 4 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, To List and Trade Shares of the iShares Inflation Hedged Corporate Bond ETF Under Rule 14.11(i), Managed Fund Shares View Received Comments |
| Release Number:34-82522 | SEC Issue Date:Jan 17, 2018 | File Number:SR-BatsBZX-2017-34 | SRO Organization:Bats BZX Exchange, Inc. (BatsBZX) |
Details: Notice of Filing of Amendment No. 1 and Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce Cboe Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28 View Received Comments See Also - Corrected petition. Original petition filed January 312018 [NYSE], Petition for Review [Nasdaq], Notice of Intention to Petition for Review [NYSE], Notice of Intention to Petition for Review [Nasdaq], 2018 providing notice of Commission review of delegated action and stay of order |
| Release Number:34-82524 | SEC Issue Date:Jan 17, 2018 | File Number:SR-PEARL-2017-23, SR-NYSEMKT-2017-30, SR-NYSEMKT-2017-29, SR-NYSEArca-2017-59, SR-NYSEArca-2017-57, SR-NYSE-2017-23, SR-NASDAQ-2017-055, SR-MIAX-2017-20, SR-ISE-2017-46, SR-IEX-2017-18, SR-FINRA-2017-013, SR-CBOE-2017-041, SR-C2-2017-018, SR-BX-2017-027, SR-BOX-2017-17, SR-BatsEDGX-2017-23, SR-BatsBZX-2017-37 | SRO Organization:NASDAQ OMX PHLX, Nasdaq PHLX LLC (Phlx), MIAX PEARL, LLC (PEARL), NYSE MKT (NYSEMKT), NYSE Arca (NYSEARCA), New York Stock Exchange LLC (NYSE), The Nasdaq Stock Market LLC (NASDAQ), Miami International Securities Exchange, LLC (MIAX), Nasdaq ISE, LLC (ISE), Investors Exchange LLC (IEX), Financial Industry Regulatory Authority (FINRA), Cboe Exchange, Inc. (CBOE), Cboe C2 Exchange, Inc. (C2), Nasdaq BX, Inc. (BX), BOX Exchange LLC (BOX), Bats EDGX Exchange, Inc. (BatsEDGX), Bats BZX Exchange, Inc. (BatsBZX) |
Details: Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, To Eliminate Requirements That Will Be Duplicative of CAT View Received Comments |
| Release Number:34-82503 | SEC Issue Date:Jan 16, 2018 | File Number:SR-PHLX-2017-37, SR-PEARL-2017-20, SR-NYSEMKT-2017-26, SR-NYSEArca-2017-52, SR-NYSE-2017-22, SR-NASDAQ-2017-046, SR-MRX-2017-04, SR-MIAX-2017-18, SR-ISE-2017-45, SR-IEX-2017-16, SR-GEMX-2017-17, SR-FINRA-2017-011, SR-CHX-2017-08, SR-CBOE-2017-040, SR-C2-2017-017, SR-BX-2017-023, SR-BOX-2017-16, SR-BatsEDGX-2017-22, SR-BatsEDGA-2017-13, SR-BatsBZX-2017-38, SR-BatsBYX-2017-11 | SRO Organization:NASDAQ OMX PHLX, Nasdaq PHLX LLC (Phlx), MIAX PEARL, LLC (PEARL), NYSE MKT (NYSEMKT), NYSE Arca (NYSEARCA), New York Stock Exchange LLC (NYSE), The Nasdaq Stock Market LLC (NASDAQ), Nasdaq MRX, LLC (MRX), Miami International Securities Exchange, LLC (MIAX), Nasdaq ISE, LLC (ISE), Investors Exchange LLC (IEX), Nasdaq GEMX, LLC (GEMX), Financial Industry Regulatory Authority (FINRA), 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) |
Details: Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, To Establish Fees for Industry Members To Fund the Consolidated Audit Trail View Received Comments |
| Release Number:34-82482 | SEC Issue Date:Jan 10, 2018 | File Number:SR-BatsBZX-2017-30 | SRO Organization:Bats BZX Exchange, Inc. (BatsBZX) |
Details: Notice of Withdrawal of a Proposed Rule Change To Permit the Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF View Received Comments |
| Release Number:34-82476 | SEC Issue Date:Jan 9, 2018 | File Number:SR-BatsBZX-2017-58 | SRO Organization:Bats BZX Exchange, Inc. (BatsBZX) |
Details: Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Cboe Vest S&P 500 Dividend Aristocrats Target Income Index ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3) View Received Comments |
| Release Number:34-82388 | SEC Issue Date:Dec 22, 2017 | File Number:SR-BatsBZX-2017-54 | SRO Organization:Bats BZX Exchange, Inc. (BatsBZX) |
Details: Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To List and Trade Shares of the iShares Inflation Hedged Corporate Bond ETF, a Series of the iShares U.S. ETF Trust, Under Rule 14.11(i), Managed Fund Shares View Received Comments See Also - Rel. No. 34-82025, Rel. No. 34-81671, Rel. No. 34-81671 |
| Release Number:34-82387 | SEC Issue Date:Dec 21, 2017 | File Number:SR-BatsBZX-2017-72 | SRO Organization:Bats BZX Exchange, Inc. (BatsBZX) |
Details: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Innovator S&P 500 15% Shield Strategy ETF Series, Innovator S&P 500 "5% to "35% Shield Strategy ETF Series, Innovator S&P 500 Enhance and 10% Shield Strategy ETF Series, and Innovator S&P 500 Ultra Strategy ETF Series Under Rule 14.11(i) See Also - Rel. No. 34-82097 |
| Release Number:34-82301 | SEC Issue Date:Dec 12, 2017 | File Number:SR-BatsBZX-2017-30 | SRO Organization:Bats BZX Exchange, Inc. (BatsBZX) |
Details: Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Permit the Listing and Trading of Managed Portfolio Shares; and To List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF View Received Comments See Also - Rel. No. 34-81599, Rel. No. 34-81247, Rel. No. 34-80911 |