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National Securities Exchanges Table

Release Number
File Number
SRO Organization
Details
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:34-82263 SEC Issue Date:Dec 11, 2017 File Number:SR-NYSEMKT-2017-26 SRO Organization:NYSE MKT (NYSEMKT) Details: Notice of Filing of Amendment No. 2 to Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees
View Received Comments
See Also - Exhibit 4, Exhibit 5, Rel. No. 34-80694, Rel. No. 34-81067, Rel. No. 34-82049, Rel. No. 34-82262
Release Number:34-82262 SEC Issue Date:Dec 11, 2017 File Number:SR-NYSEMKT-2017-26 SRO Organization:NYSE MKT (NYSEMKT) Details: Notice of Filing of Amendment No. 1 to a Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees
View Received Comments
See Also - Exhibit 3, Exhibit 4, Exhibit 5, Rel. No. 34-80694, Rel. No. 34-81067, Rel. No. 34-82049, Rel. No. 34-82263
Release Number:34-82135 SEC Issue Date:Nov 21, 2017 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 Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, To Eliminate Requirements That Will Be Duplicative of CAT
View Received Comments
See Also - Rel. No. 34-82524, Rel. No. 34-81499, Rel. No. 34-81145, Rel. No. 34-80795, Rel. No. 34-80789, Rel. No. 34-80798, Rel. No. 34-80797, Rel. No. 34-80790, Rel. No. 34-80792, Rel. No. 34-80813, Rel. No. 34-80814, Rel. No. 34-80799, Rel. No. 34-80800, Rel. No. 34-80791, Rel. No. 34-80793, Rel. No. 34-80794, Rel. No. 34-80811, Rel. No. 34-80796
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:34-81500 SEC Issue Date:Aug 30, 2017 File Number:SR-PHLX-2017-47, SR-NYSEMKT-2017-31, SR-NYSEArca-2017-60, SR-NYSE-2017-24, SR-NASDAQ-2017-059, SR-MRX-2017-08, SR-MIAX-2017-24, SR-ISE-2017-52, SR-IEX-2017-21, SR-GEMX-2017-24, SR-CBOE-2017-043, SR-BX-2017-029, SR-BOX-2017-19, SR-BatsEDGX-2017-24, SR-BatsEDGA-2017-14, SR-BatsBZX-2017-39, SR-BatsBYX-2017-13 SRO Organization:NASDAQ OMX PHLX, Nasdaq PHLX LLC (Phlx), 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), Cboe Exchange, Inc. (CBOE), 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: Order Approving Proposed Rule Changes, as Modified by Amendments, To Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
View Received Comments
See Also - Rel. No. 34-80833, Rel. No. 34-80835, Rel. No. 34-80834, Rel. No. 34-80831, Rel. No. 34-80936, Rel. No. 34-80971, Rel. No. 34-80966, Rel. No. 34-80832, Rel. No. 34-80837, Rel. No. 34-80952, Rel. No. 34-80968, Rel. No. 34-80970, Rel. No. 34-80780, Rel. No. 34-80781, Rel. No. 34-80782, Rel. No. 34-80967, Rel. No. 34-80836
Release Number:34-81499 SEC Issue Date:Aug 30, 2017 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 Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, To Eliminate Requirements That Will Be Duplicative of CAT
View Received Comments
See Also - Rel. No. 34-82524, Rel. No. 34-82135, Rel. No. 34-81145, Rel. No. 34-80795, Rel. No. 34-80789, Rel. No. 34-80797, Rel. No. 34-80783, Rel. No. 34-80787, Rel. No. 34-80790, Rel. No. 34-80792, Rel. No. 34-80813, Rel. No. 34-80814, Rel. No. 34-80799, Rel. No. 34-80800, Rel. No. 34-80791, Rel. No. 34-80793, Rel. No. 34-80794, Rel. No. 34-80811
Release Number:34-81228 SEC Issue Date:Jul 27, 2017 File Number:SR-NYSEMKT-2017-43 SRO Organization:NYSE MKT (NYSEMKT) Details: Notice of Filing and Immediate Effectiveness of Proposed Change To Adopt Transaction Fees in Connection With the Exchange's Transition to a Fully-Automated Cash Equities Market
See Also - Exhibit 5
Release Number:34-81146 SEC Issue Date:Jul 14, 2017 File Number:SR-NYSEMKT-2017-44 SRO Organization:NYSE MKT (NYSEMKT) Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.38E To Specify the Ranking of an Odd Lot Order That Has a Display Price That Is Better Than Its Working Price
See Also - Exhibit 5
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