National Securities Exchanges
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National Securities Exchanges Table
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Release Number
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File Number
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SRO Organization
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Details
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| 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:34-82269 | SEC Issue Date:Dec 11, 2017 | File Number:SR-BatsEDGA-2017-13 | SRO Organization:Bats EDGA Exchange, Inc. (BatsEDGA) |
Details: Notice of Filing of Amendment No. 2 to the Proposed Rule Change To Amend the Schedule of Fees and Assessments To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments See Also - Exhibit 4, Exhibit 5, Rel. No. 34-80784 |
| Release Number:34-82268 | SEC Issue Date:Dec 11, 2017 | File Number:SR-BatsEDGA-2017-13 | SRO Organization:Bats EDGA Exchange, Inc. (BatsEDGA) |
Details: Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments See Also - Appendix, Exhibit 4, Exhibit 5, Rel. No. 34-80784 |
| Release Number:34-82087 | SEC Issue Date:Nov 15, 2017 | File Number:SR-BatsEDGA-2017-29 | SRO Organization:Bats EDGA Exchange, Inc. (BatsEDGA) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.8, Order Types, To Clarify When a MidPoint Discretionary Order May Execute at Sub-Penny Prices See Also - Exhibit 5 |
| Release Number:34-82061 | SEC Issue Date:Nov 13, 2017 | File Number:SR-BatsEDGA-2017-30 | SRO Organization:Bats EDGA Exchange, Inc. (BatsEDGA) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Fees for Physical Ports See Also - Exhibit 5 |
| Release Number:34-82049 | SEC Issue Date:Nov 9, 2017 | 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 Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail View Received Comments See Also - Rel. No. 34-80821, Rel. No. 34-81067, Rel. No. 34-80822, Rel. No. 34-80784, Rel. No. 34-82267, Rel. No. 34-80786, Rel. No. 34-80785, Rel. No. 34-82253, Rel. No. 34-80715, Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail, Rel. No. 34-82255, Rel. No. 34-80726, Rel. No. 34-80696, Rel. No. 34-80697, Rel. No. 34-80713, Rel. No. 34-80693, Rel. No. 34-80698, Rel. No. 34-80694, Rel. No. 34-80725, Rel. No. 34-82252, Rel. No. 34-82266, Rel. No. 34-80675, Rel. No. 34-82254, Rel.No. 34-82251, Rel. No. 34-80809, Rel. No. 34-80721, Rel. No. 34-82270, Rel. No. 34-82272, Rel. No. 34-80710, Rel. No. 34-80676, Rel. No. 34-82287, Rel. No. 34-82286, Rel. No. 34-82260, Rel. No. 34-82264, Rel. No. 34-82262, Rel. No. 34-82271, Rel. No. 34-82273, Rel. No. 34-82256, Rel. No. 34-82261, Rel. No. 34-82265, Rel. No. 34-82263, Rel. No. 34-80691, Rel. No. 34-82257 |
| Release Number:34-81957 | SEC Issue Date:Oct 26, 2017 | File Number:SR-BatsEDGA-2017-28 | SRO Organization:Bats EDGA Exchange, Inc. (BatsEDGA) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fee Schedule, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name See Also - Exhibit 5 |
| Release Number:34-81936 | SEC Issue Date:Oct 24, 2017 | File Number:SR-BatsEDGA-2017-27 | SRO Organization:Bats EDGA Exchange, Inc. (BatsEDGA) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical Corrections to Its Second Amended and Restated Certificate of Incorporation |
| Release Number:34-81859 | SEC Issue Date:Oct 12, 2017 | File Number:SR-BatsEDGA-2017-26 | SRO Organization:Bats EDGA Exchange, Inc. (BatsEDGA) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules To Add New Optional Functionality to Orders With a Minimum Quantity Instruction See Also - Exhibit 5 |
| Release Number:34-81849 | SEC Issue Date:Oct 11, 2017 | File Number:SR-BatsEDGA-2017-22, SR-BatsBZX-2017-55, SR-BatsBYX-2017-19 | SRO Organization:Bats EDGA Exchange, Inc. (BatsEDGA), Bats BZX Exchange, Inc. (BatsBZX), Bats BYX Exchange, Inc. (BatsBYX) |
Details: Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, To Harmonize the Corporate Governance Framework of Each Exchange With That of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated See Also - Rel. No. 34-81503, Rel. No. 34-81498, Rel. No. 34-81497, Rel. No. 34-81496 |