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:34-81328 | SEC Issue Date:Aug 7, 2017 | File Number:SR-BatsBZX-2017-51 | SRO Organization:Bats BZX Exchange, Inc. (BatsBZX) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.'s Options Platform See Also - Exhibit 5 |
| Release Number:34-81304 | SEC Issue Date:Aug 3, 2017 | File Number:SR-BatsBZX-2017-48 | SRO Organization:Bats BZX Exchange, Inc. (BatsBZX) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.'s Equity Options Platform See Also - Exhibit 5 |
| Release Number:34-81289 | SEC Issue Date:Aug 2, 2017 | File Number:SR-BatsBZX-2017-47 | SRO Organization:Bats BZX Exchange, Inc. (BatsBZX) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc. and Bats BZX Exchange, Inc.'s Equity Options Platform See Also - Exhibit 5a, Exhibit 5b |
| Release Number:34-81247 | SEC Issue Date:Jul 28, 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 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. 34-82301, Rel. No. 34-80911, Rel. No. 34-81599 |
| Release Number:34-81206 | SEC Issue Date:Jul 25, 2017 | File Number:SR-BatsBZX-2017-44 | SRO Organization:Bats BZX Exchange, Inc. (BatsBZX) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc. See Also - Exhibit 5 |
| Release Number:34-81191 | SEC Issue Date:Jul 24, 2017 | File Number:SR-BatsBZX-2017-46 | SRO Organization:Bats BZX Exchange, Inc. (BatsBZX) |
Details: Notice of Filing of a Proposed Rule Change to Rule 14.11(c), Index Fund Shares, To List and Trade Shares of the Aptus Fortified Value ETF, a Series of ETF Series Solutions View Received Comments See Also - Rel. No. 34-81947, Rel. No. 34-81558 |
| Release Number:34-81157 | SEC Issue Date:Jul 18, 2017 | File Number:SR-BatsBZX-2017-39 | SRO Organization:Bats BZX Exchange, Inc. (BatsBZX) |
Details: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 4.17, Consolidated Audit Trail-Fee Dispute Resolution View Received Comments See Also - Rel. No. 34-81500, Rel. No. 34-80834 |
| Release Number:34-81152 | SEC Issue Date:Jul 14, 2017 | File Number:SR-BatsBZX-2017-45 | SRO Organization:Bats BZX Exchange, Inc. (BatsBZX) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 14.13, Company Listing Fees, To Amend the Fees Applicable to Securities Listed on the Exchange See Also - Exhibit 5 |
| Release Number:34-81145 | SEC Issue Date:Jul 14, 2017 | File Number:SR-PHLX-2017-43, 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 Designation of Longer Period for Commission Action on Proposed Rule Changes To Eliminate Requirements That Will Be Duplicative of CAT View Received Comments See Also - Rel. No. 34-82524, Rel. No. 34-82135, Rel. No. 34-80795, Rel. No. 34-81499, Rel. No. 34-80789, Rel. No. 34-80797, Rel. No. 34-80783, Rel. No. 34-80787, Rel. No. 34-80792, Rel. No. 34-80813, Rel. No. 34-80799, Rel. No. 34-80794, Rel. No. 34-80811, Rel. No. 34-80796, Rel. No. 34-80790, Rel. No. 34-80814, Rel. No. 34-80800, Rel. No. 34-80791, Rel. No. 34-80793 |
| Release Number:34-81084 | SEC Issue Date:Jul 6, 2017 | File Number:SR-BatsBZX-2017-35 | SRO Organization:Bats BZX Exchange, Inc. (BatsBZX) |
Details: Order Granting Approval of a Proposed Rule Change To Amend Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors, and Rule 20.3, Trading Halts See Also - Rel. No. 34-80709 |