Rule Filings

2019-01-28

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.

2018-11-30

2019-03-13

Proposed rule change to modify the resting price of Discretionary Peg orders.

2018-11-20

Proposed rule change to conform IEX Rule 5.160 to FinCEN's final rule on customer due diligence requirements for financial institutions.

2018-10-03

Proposed rule change to correct several typographical errors in IEX Rule 2.160 added by a previous filing.

2018-09-26

Proposed rule change to modify the IEX Fee Schedule to specify the circumstances under which the Exchange will aggregate the activity of affiliated members for purposes of applying the provisions of Rule 11.170(a) related to the IEMM Program.

2018-09-25

Proposed rule change to amend Rule 2.160 related to the qualification and registration requirements for associated persons of a Member and deletion of Rule 2.150 related to a temporary membership application process and waive-In which is obsolete.

2018-08-09

Proposed rule change to amend the definition of the Cross Price Constraint utilized in the opening process for non-IEX-listed securities pursuant to Rule 11.231.

2018-07-27

Proposed Rule Change to Increase the Spread-Crossing Eligible Remove Fee to $0.0009 per share for Executions at or Above $1.00 that Remove Non-Displayed Liquidity.

2018-07-26

Proposed rule change to revise the threshold for imposition of the Crumbling Quote Remove Fee.

2018-07-10

Proposed rule change to discontinue the Router Basic routing option.

2018-06-29

Proposed Rule Change to Modify the Structure of its Fee Schedule and Make Several Conforming and Clarifying Changes, pursuant to IEX Rule 15.110(A) and (C).

2018-06-26

Proposed rule change to amend Rule 16.106 to remove Form 19b-4(e) filing requirement.

2018-06-22

Proposed Rule Change to Modify the IPO Auction Processes for Trading in an IEX-Listed Security that is the Subject of an Initial Public Offering.

2018-06-20

Proposed rule change to amend Rule 11.420 concerning the OATS requirements to make conforming and technical changes.

2018-05-09

Proposed rule change to amend rule 11.410(a) to update the market data source that the Exchange will use to determine the Top of Book quotation for NYSE National in anticipation of its planned re-launch.

2018-04-20

Proposed rule change to charge a more deterministic fee of $0.0003 per share for executions at or above $1.00 that result from removing liquidity with an order that is executable at the far side of the NBBO.

2018-04-17

Proposed rule change to amend Rule 11.350 to clarify when a new IEX-listed security will be eligible to begin trading with an IPO auction.

2018-04-03

Proposed rule change to amend Rule 11.190(g) to incrementally optimize and enhance the effectiveness of the quote instability calculation in determining whether a crumbling quote exists.

2018-02-23

Proposed rule change to amend Rule 11.270 (Clearly Erroneous Executions) to preclude Members from requesting a review of a Volatility Auction as a clearly erroneous execution.

2018-02-21

Proposed rule change to amend Rule 5.170 to reflect an update to a FINRA rule incorporated by reference therein.

2018-02-16

Amend Certain Auction Rules Governing the Pricing of Non-Displayed Orders Resting on the Continuous Book for the Opening and Closing Auctions.

2018-01-31

Proposed rule change to adopt an IEX Enhanced Market Maker Program.

2018-01-22

Proposed rule change to modify the default handling of market orders entered with a time-in-force of DAY.

2017-12-22

Proposed rule change related to the optional IEX Aggregate Risk Controls Mechanism.

2017-12-14

Proposed rule change related to the Displayed Match Fee.

2017-11-21

Proposed rule change to amend Rules 2.220(a)(7) and 11.410(a) to reflect the name change of Bats BZX Exchange, Inc. to Cboe BZX Exchange, Inc., Bats EDGA Exchange, Inc. to Cboe EDGA Exchange, Inc., Bats EDGX Exchange, Inc. to Cboe EDGX Exchange, Inc., and Bats BYX Exchange, Inc. to Cboe BYX Exchange, Inc.

2017-11-20

Proposed rule change to amend Rules 14.501(a)(4), 14.501(d), and 14.502(b) to modify the process IEX would follow when a company fails to hold an annual meeting of shareholders, and to correct three nonsubstantive typographical errors in Rules 14.502(b) and 14.504(b).

2017-11-08

Proposed rule change to adopt pricing for orders that execute in an IEX auction for IEX-listed securities.

2017-10-31

Proposed rule change to adopt rules pertaining to certain listing regulatory reporting and operational requirements.

2017-10-27

Proposed rule change to adopt new Rule 6.210 related to ex-dates for securities listed or traded on the Exchange.

2017-10-19

Proposed rule change to clarify the eligibility of market orders and limit orders with a time-in-force of DAY for a Volatility Auction occurring outside of Regular Market Hours.

2017-10-19

Proposed rule change to amend Rule 11.152 to add provisions related to market maker withdrawals of quotations in securities listed on the Investors Exchange.

2017-10-04

Proposed rule change to reflect name changes of NYSE MKT to NYSE American LLC and the National Stock Exchange to NYSE National, Inc.

2017-09-13

Proposed rule change related to listing fees.

2017-09-06

Proposed rule change to clarify the manner in which the Order Collar and Router Constraint apply to auctions and the opening process.

2017-08-30

Proposed rule change related to fees pursuant to Rule 15.110.

2017-08-16

Proposed rule change related to fees pursuant to Rule 15.110.

2017-08-11

Proposed rule change related to transaction fees pursuant to Rule 15.110.

2017-08-10

Proposed rule change to adopt Rule 14.602 to describe the complimentary products and services to be made available to all listed companies.

2017-08-08

Proposed rule change to correct nonsubstantive conflicting rule text in Rule 11.190.

2017-08-07

Proposed rule change to make a correction to the Exchange Fee Schedule related to fees for executions that involve taking resting interest with non-displayed priority with a displayable order.

2017-07-18

Proposed rule change to adopt a policy relating to its treatment of trade reports that it determines to be inconsistent with the prevailing market.

2017-07-07

Proposed rule change to make a clarifying amendment to IEX Rule 16.135.

2017-06-30

Proposed rule change to introduce a new Market Maker Peg Order.

2017-06-06

2017-08-25

Proposed rule change to adopt Rule 15.130 to establish the procedures for resolving potential disputes related to CAT fees charged to industry members.

2017-06-05

Proposed rule change related to continued listing standards for exchange traded products.

2017-05-23

Proposed Rule Change to Remove the Ten (10) Price Level Limitation on Aggregated Depth of Book Quotations disseminated on the IEX Data Platform, and to add Rule 11.330(a)(5) to Offer Historical Data.

2017-05-09

Proposed rule change to correct an incorrect internal cross reference in Rule 11.420(d)(2)(B).

2017-04-28

Proposed rule change to amend Exchange Rule 11.340 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.

2017-04-25

2017-07-10

2017-07-19

Proposed rule change related to auctions in IEX-listed securities, dissemination of auction-related market data, and provisions governing trading halts and pauses.

2017-04-13

2017-05-19

2017-06-22

2017-06-29

2017-06-09

Proposed rule change to modify the manner in which the Exchange opens trading for non-IEX-listed securities.

2017-04-05

Proposed rule change to specify the required forms of listing application, listing agreement and other documentation that listed companies must execute or complete (as applicable) as a prerequisite for listing on the Exchange.

2017-03-17

Proposed rule filing to correct typographical errors in SR-IEX-2017-06.

2017-02-28

Proposed rule change to amend Exchange Rule 11.340 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.

2017-02-28

Proposed rule change to amend Rule 11.190(g) to incrementally optimize and enhance the effectiveness of the quote instability calculation in determining whether a crumbling quote exists.

2017-02-15

Proposed rule change to adopt DEEP, a new depth of book market data feed, rename TOPS Viewer to IEX Data Platform, and include depth of book market data therein.

2017-01-31

Proposed rule change to adopt the Rule Series 11.600 to implement the compliance rule regarding the National Market System Plan governing the Consolidated Audit Trail.

2017-01-19

2017-03-21

Proposed rule change to amend IEX Rule 16.135 to adopt generic listing standards for Managed Fund Shares.

2016-12-16

Proposed rule change related to retention of jurisdiction over Members and persons associated with Members upon termination, revocation, or cancellation of membership or association thereof.

2016-12-15

Proposed rule change to require that an issuer of securities listed under Chapter 16 notify IEX about certain changes to the index, portfolio, or reference asset underlying the security.

2016-12-05

Proposed rule change to require listed companies to publicly disclose compensation or other payments by third parties to any nominee for director or sitting director in connection with their candidacy for or service on the companies’ Board of Directors.

2016-12-01

Proposed rule change to amend the operation of the primary peg order type, simplify the price sliding process for both primary peg orders and Discretionary Peg orders resting on or posting to the Order Book, and make minor housekeeping changes to conform certain terminology.

2016-11-21

Proposed rule change to modify the website data publication requirements relating to the Regulation NMS Plan to implement a Tick Size Pilot Program.

2016-10-03

Proposed rule change to adopt rules to implement the quoting and trading provisions of the Tick Size Pilot Program and to describe related changes to IEX system functionality.

2016-09-22

Proposed rule change to amend Rule 11.380 to provide that Aggregate Risk Controls ("ARC") mechanism is available to any IEX Member as well as to clearing firms for their broker correspondent IEX Member firms, and to specify the manner in which Members shall contact IEX to utilize the ARC mechanism.

2016-08-30

Proposed rule change to amend Rule 11.340 to modify certain data collection requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program.

2016-08-11

Proposed rule change to conform Rules 3.260(d) and 5.110(e) to corresponding rules of the Financial Industry Regulatory Authority.

2016-08-05

Proposed rule change related to transaction and regulatory fees.

2016-08-04

Proposed Rule Change to Amend Rule 11.190(g) Related to Discretionary Peg Orders.

2016-08-03

Proposed rule change to amend Rule 9.218 to specify the list of violations eligible for disposition under IEX's Minor Rule Violation Plan.

2016-07-29

Proposed rule change to adopt Rule 11.340(b) to set forth the requirements for the collection and transmision of data pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.

2016-07-29

Proposal to amend Rule 11.190(f) to make correcting and clarifying changes.

2016-07-28

Proposal to amend Rule 11.270(c) to correct the inadvertent omission of the clearly erroneous numerical guidelines for leveraged exchange traded funds and exchange traded notes.

2016-07-28

Proposed rule change to amend Rule 11.330 to combine the TOPS and LAST data products and make minor correcting and conforming changes to the description of TOPS Viewer.

2016-07-27

Proposal to make a nonsubstantive change to correct typographical errors in the referenced time frames in Rules 1.160(aa) and (oo) and 16.105(a)(7) and (b)(7).

2016-07-13

Proposed rule change to amend subparagraph (c)(2) of Rule 11.230 to rename the Router Plus routing option to Router.

2016-07-12

Proposed rule filing related to collection of exchange fees and other claims and billing policy.