Investors Exchange LLC Rulemaking
We encourage the public to submit comments on the following Investors Exchange LLC 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.
Chronological List
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
Investors Exchange LLC File Number List for 2019
Additional Archives
Chronological List
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-IEX-2019-13 | ||
| 34-87647 | Dec. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.380 to Expand the Exchange's Optional Aggregate Risk Controls Mechanism to Include a Net Notional Exposure Risk Check in Addition to the Gross Notional Exposure Risk Check
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-IEX-2019-12 | ||
| 34-87578 | Nov. 20, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Table in Rule 11.410(a) to Update the Market Data Source that the Exchange Will Use to Determine the Top of Book Quotation for NYSE Chicago, Inc. and to Amend Rules 2.220(a)(7) and 11.410(a) to Reflect the Name Change of Chicago Stock Exchange, Inc. to NYSE Chicago, Inc.
Comments due: December 17, 2019 Additional Materials: Exhibit 5 |
| SR-IEX-2019-11 | ||
| 34-87298 | Oct. 15, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IEX Rule 11.280 to Extend the Pilot Period for the Market-Wide Circuit Breaker to the Close of Business on October 18, 2020 and to Clarify that the Remaining Parts of Rule 11.280 are Not Subject to Any Pilot Period
Comments due: November 12, 2019 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-IEX-2019-10 | ||
| 34-87019 | Sep. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Corporate Discretionary Peg Order Type and Make Two Minor Non-Substantive Clarifying Changes to the Definition of a Discretionary Peg Order
Comments due: October 16, 2019 Additional Materials: Exhibit 5 |
| SR-IEX-2019-08 | ||
| 34-86854 | Sep. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule to Establish Fees for the Execution of Retail and Retail Liquidity Provider Orders and to Eliminate Fee Code N from the Fee Schedule
Comments due: September 30, 2019 Additional Materials: Exhibit 5 |
| SR-IEX-2019-07 | ||
| 34-86626 | Aug. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the IEX Fee Schedule, Pursuant to IEX Rules 15.110(a) and (c), to Charge a Fee of $100 Per Month for Each Logical Order Entry Port in Excess of Five Per User
Comments due: September 5, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-IEX-2019-05 | ||
| 34-86619 | Aug. 9, 2019 | Order Granting Approval of a Proposed Rule Change to Establish a Retail Price Improvement Program |
| Second Quarter | ||
| SR-IEX-2019-06 | ||
| 34-86408 | Jul. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to IEX's Fee Schedule to Correct Two Fee Code Combinations
Comments due: August 13, 2019 Additional Materials: Exhibit 5 |
| SR-IEX-2019-05 | ||
| 34-86241 | Jun. 28, 2019 | Notice of Filing of Proposed Rule Change to Establish a Retail Price Improvement Program
Comments due: July 26, 2019 Additional Materials: Exhibit 5 |
| SR-IEX-2019-04 | ||
| 34-85576 | Apr. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IEX Rule 11.280 (Limit Up-Limit Down Plan and Trading Halts) to Extend the Pilot Period for the Regulation NMS Plan to Address Extraordinary Market Volatility to the Close of Business on October 18, 2019
Comments due: May 6, 2019 Additional Materials: Exhibit 5 |
| SR-IEX-2019-03 | ||
| 34-85566 | Apr. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Listing Requirements Contained in Rule 14.412 to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater than Market Value
Comments due: May 6, 2019 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-IEX-2018-23 | ||
| 34-85351 | Mar. 18, 2019 | Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Modify the Resting Price of Discretionary Peg Orders
Comments due: April 12, 2019 |
| SR-IEX-2019-02 | ||
| 34-85260 | Mar. 6, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Postpone Implementation of a Rule Change to Reject Market Orders with a Time-in-Force of DAY that are Entered in the Pre-Market Session for Non-IEX-Listed Securities
Comments due: April 2, 2019 |
| SR-IEX-2019-01 | ||
| 34-85036 | Feb. 1, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reject Market Orders with a Time-in-Force of DAY that are Entered in the Pre-Market Session for Non-IEX-Listed Securities
Comments due: February 28, 2019 Additional Materials: Exhibit 5 |
| SR-IEX-2018-23 | ||
| 34-85016 | Jan. 31, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify the Resting Price of Discretionary Peg Orders |
Investors Exchange LLC File Number List for 2019
| Release No. | Date | Details |
|---|---|---|
| SR-IEX-2019-13 | ||
| 34-87647 | Dec. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.380 to Expand the Exchange's Optional Aggregate Risk Controls Mechanism to Include a Net Notional Exposure Risk Check in Addition to the Gross Notional Exposure Risk Check
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-IEX-2019-12 | ||
| 34-87578 | Nov. 20, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Table in Rule 11.410(a) to Update the Market Data Source that the Exchange Will Use to Determine the Top of Book Quotation for NYSE Chicago, Inc. and to Amend Rules 2.220(a)(7) and 11.410(a) to Reflect the Name Change of Chicago Stock Exchange, Inc. to NYSE Chicago, Inc.
Comments due: December 17, 2019 Additional Materials: Exhibit 5 |
| SR-IEX-2019-11 | ||
| 34-87298 | Oct. 15, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IEX Rule 11.280 to Extend the Pilot Period for the Market-Wide Circuit Breaker to the Close of Business on October 18, 2020 and to Clarify that the Remaining Parts of Rule 11.280 are Not Subject to Any Pilot Period
Comments due: November 12, 2019 Additional Materials: Exhibit 5 |
| SR-IEX-2019-10 | ||
| 34-87019 | Sep. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Corporate Discretionary Peg Order Type and Make Two Minor Non-Substantive Clarifying Changes to the Definition of a Discretionary Peg Order
Comments due: October 16, 2019 Additional Materials: Exhibit 5 |
| SR-IEX-2019-08 | ||
| 34-86854 | Sep. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule to Establish Fees for the Execution of Retail and Retail Liquidity Provider Orders and to Eliminate Fee Code N from the Fee Schedule
Comments due: September 30, 2019 Additional Materials: Exhibit 5 |
| SR-IEX-2019-07 | ||
| 34-86626 | Aug. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the IEX Fee Schedule, Pursuant to IEX Rules 15.110(a) and (c), to Charge a Fee of $100 Per Month for Each Logical Order Entry Port in Excess of Five Per User
Comments due: September 5, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-IEX-2019-06 | ||
| 34-86408 | Jul. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to IEX's Fee Schedule to Correct Two Fee Code Combinations
Comments due: August 13, 2019 Additional Materials: Exhibit 5 |
| SR-IEX-2019-05 | ||
| 34-86619 | Aug. 9, 2019 | Order Granting Approval of a Proposed Rule Change to Establish a Retail Price Improvement Program |
| 34-86241 | Jun. 28, 2019 | Notice of Filing of Proposed Rule Change to Establish a Retail Price Improvement Program
Comments due: July 26, 2019 Additional Materials: Exhibit 5 |
| SR-IEX-2019-04 | ||
| 34-85576 | Apr. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IEX Rule 11.280 (Limit Up-Limit Down Plan and Trading Halts) to Extend the Pilot Period for the Regulation NMS Plan to Address Extraordinary Market Volatility to the Close of Business on October 18, 2019
Comments due: May 6, 2019 Additional Materials: Exhibit 5 |
| SR-IEX-2019-03 | ||
| 34-85566 | Apr. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Listing Requirements Contained in Rule 14.412 to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater than Market Value
Comments due: May 6, 2019 Additional Materials: Exhibit 5 |
| SR-IEX-2019-02 | ||
| 34-85260 | Mar. 6, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Postpone Implementation of a Rule Change to Reject Market Orders with a Time-in-Force of DAY that are Entered in the Pre-Market Session for Non-IEX-Listed Securities
Comments due: April 2, 2019 |
| SR-IEX-2019-01 | ||
| 34-85036 | Feb. 1, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reject Market Orders with a Time-in-Force of DAY that are Entered in the Pre-Market Session for Non-IEX-Listed Securities
Comments due: February 28, 2019 Additional Materials: Exhibit 5 |