Rule Filings

Rule filings are not effective until approved by the Securities and Exchange Commission ("SEC"), with the exception of certain types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder. Below are pending rule filings submitted by the Exchange, followed by rule changes that have been approved by the SEC or became immediately effective pursuant to the Exchange Act.

Pending Rule Changes

File No. Date Description
SR-IEX-2017-04 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.
SR-IEX-2017-03 2017-01-19 Proposed rule change to amend IEX Rule 16.135 to adopt generic listing standards for Managed Fund Shares.
SR-IEX-2017-02 - Withdrawn.
SR-IEX-2017-01 - Withdrawn.
SR-IEX-2016-18 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.

Approved and Immediately Effective Rule Changes

File No. Date Description
SR-IEX-2017-05 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.
SR-IEX-2016-22 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.
SR-IEX-2016-21 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.
SR-IEX-2016-19 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.
SR-IEX-2016-17 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.
SR-IEX-2016-16 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.
SR-IEX-2016-15 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.
SR-IEX-2016-14 - Withdrawn.
SR-IEX-2016-13 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.
SR-IEX-2016-12 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.
SR-IEX-2016-11 2016-08-04 Proposed Rule Change to Amend Rule 11.190(g) Related to Discretionary Peg Orders.
SR-IEX-2016-10 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.
SR-IEX-2016-09 2016-08-05 Proposed rule change related to transaction and regulatory fees.
SR-IEX-2016-08 2016-07-29 Proposal to amend Rule 11.190(f) to make correcting and clarifying changes.
SR-IEX-2016-07 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.
SR-IEX-2016-06 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.
SR-IEX-2016-05 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.
SR-IEX-2016-04 - Withdrawn.
SR-IEX-2016-03 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).
SR-IEX-2016-02 2016-07-13 Proposed rule change to amend subparagraph (c)(2) of Rule 11.230 to rename the Router Plus routing option to Router.
SR-IEX-2016-01 2016-07-12 Proposed rule filing related to collection of exchange fees and other claims and billing policy.