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National Securities Exchanges Table

Release Number
File Number
SRO Organization
Details
Release Number:34-80256 SEC Issue Date:Mar 15, 2017 File Number: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 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), 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) Details: 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
Release Number:34-80081 SEC Issue Date:Feb 22, 2017 File Number:SR-NSX-2017-05 SRO Organization:National Stock Exchange (NSX) Details: 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
Release Number:34-80018 SEC Issue Date:Feb 10, 2017 File Number:SR-NSX-2017-04 SRO Organization:National Stock Exchange (NSX) Details: 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
Release Number:34-79933 SEC Issue Date:Feb 2, 2017 File Number:SR-NSX-2017-03 SRO Organization:National Stock Exchange (NSX) Details: 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
Release Number:34-79902 SEC Issue Date:Jan 30, 2017 File Number:SR-NSX-2016-16 SRO Organization:National Stock Exchange (NSX) Details: 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
Release Number:34-79806 SEC Issue Date:Jan 17, 2017 File Number:SR-NSX-2017-01 SRO Organization:National Stock Exchange (NSX) Details: 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
Release Number:34-79684 SEC Issue Date:Dec 23, 2016 File Number:SR-NSX-2016-16 SRO Organization:National Stock Exchange (NSX) Details: 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
Release Number:34-79174 SEC Issue Date:Oct 27, 2016 File Number:SR-NSX-2016-14 SRO Organization:National Stock Exchange (NSX) Details: 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
Release Number:34-78987 SEC Issue Date:Sep 29, 2016 File Number:SR-NSX-2016-13 SRO Organization:National Stock Exchange (NSX) Details: 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
Release Number:34-78960 SEC Issue Date:Sep 28, 2016 File Number:SR-NSX-2016-12 SRO Organization:National Stock Exchange (NSX) Details: 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
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