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
2024-01-02
Proposed Rule Change to Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Incurred prior to January 1, 2022.

Approved and Immediately Effective Rule Changes

File No.
Date
Description
2024-06-12
Proposed Rule Change Pursuant to IEX Rule 15.110 to amend IEX's Fee Schedule
2024-05-22
Proposed Rule Change to Amend IEX Rule 2.160(p) to Reopen the Period by which Certain Participants in the Maintaining Qualifications Program Will Be Able to Complete their Prescribed 2022 and 2023 Continuing Education Content.
2024-05-20
Proposed Rule Change Pursuant to IEX Rule 15.110 to amend IEX's Fee Schedule
2024-05-02
Proposed Rule Change Pursuant to IEX Rule 15.110 to amend IEX's Fee Schedule
2024-04-12
Proposed Rule Change to Amend IEX Rule 11.190(g)
2024-04-08
Proposed Rule Change Pursuant to IEX Rule 15.110 to amend IEX's Fee Schedule
2024-03-13
Proposed Rule Change to Amend IEX Rule 6.210 (Ex-Dividend or Ex-Right Dates) to Conform it to the Commission’s Amendment to Rule 15c6-1(a) of the Act to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions
2024-01-24
Proposed Rule Change Pursuant to IEX Rule 15.110 to amend IEX's Fee Schedule
2024-01-16
Proposed Rule Change to Clarify Two Aspects of a Recent Filing and to Correct One Nonsubstantive Typographical Error Introduced in the Same Filing.
2024-01-08
Proposed Rule Change to Extend the Temporary Remote Inspection Relief to IEX Members to Include Calendar Year 2024 Inspection Obligations Through the Earlier of the Effective Date of the Recently Approved FINRA Pilot Program on Remote Inspections, or June 30, 2024.
2023-12-22
A Proposed Rule Change to Correct Six Typographical Citation and Cross-reference Errors in the IEX Rule Book
2023-11-15
Proposed Rule Change to Introduce a Post Only Order Type
2023-11-07
Proposed Rule Change Pursuant to IEX Rule 15.110 to amend IEX's Fee Schedule
2023-09-28
Proposed Rule Change to Extend the Implementation Date of Its New Fixed Midpoint Peg Order Type.
2023-09-27
Proposed rule change to amend IEX Rules 11.190(b)(7) and 11.190(g)
2023-09-22
Proposed Rule Change to Correct Six Typographical Cross-Reference Errors in IEX Rule 11.190(b).
2023-07-25
Proposed Rule Change Pursuant to IEX Rule 15.110 to amend IEX's Fee Schedule
2023-07-19
Proposed Rule Change to Add Fixed M-Peg Order Type
2023-07-13
Proposed Rule Change to Establish Second Enrollment Period for the FINRA Maintaining Qualifications Program
2023-04-06
Proposed Rule Change to Allow Non-Displayed Discretionary Limit Orders to be Submitted with a Minimum Quantity Instruction.
2023-03-31
Proposed Rule Change to Amend Certain IEX Rules to Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals in Conformity with Recent Changes Made by FINRA
2023-02-07
A proposal to extend the implementation date of recently-approved changes to IEX Rule 11.190(g) that are designed to provide an alternative calculation for pegged order types for determining whether a quote instability condition exists.
2023-02-07
Proposed rule change to amend IEX Rule 1.160.
2023-02-02
Proposed Rule Change to Amend IEX Rule 11.190(e) to Offer Users an Additional Option for how to Apply the Exchange's Existing Anti-Internalization Functionality.
2022-12-23
Proposed Rule Change to Amend Supplementary Material .15 of IEX Rule 5.110 (Supervision).
2022-12-13
Proposed Rule Change to Amend IEX Fee Schedule to Reflect Adjustments to FINRA's Registration Fees Related to the Central Registration Depository, Which Will Be Collected by FINRA.
2022-11-30
Proposed Rule Change to Amend Supplementary Material .15 of IEX Rule 5.110 (Supervision) to Extend the Temporary Remote Inspection Relief to IEX Members for Calendar Year 2022.
2022-11-28
Proposed Rule Change to Amend IEX Rule 2.160 to Align IEX's Registration and Continuing Education Requirements with those of FINRA
2022-11-07
Proposed Rule Change Pursuant to IEX Rule 15.110 to amend IEX's Fee Schedule
2022-11-04
2023-01-09
Proposed Rule Change to Modify IEX Rule 11.190(b)(7).
2022-10-24
Proposed Rule Change to Amend IEX Rule 11.190(e) to Expand the Availability of the Exchange's Existing Anti-Internalization Functionality to more Members.
2022-09-27
2022-12-01
Proposed Rule Change to Amend Rule 11.190(g) to Provide an Alternative Calculation for Pegged Order Types for Determining Whether a Quote Instability Condition Exists.
2022-09-21
Proposed Rule Change to Amend IEX Rule 11.270 (Clearly Erroneous Execution)
2022-08-08
Proposed Rule Change to Add a New Order Type that Pegs to the Contra-side Primary Quote ("Market Peg"), with the Option of Using a Passive Offset Amount.
2022-04-29
Proposed Rule Change to Remove the Midpoint Price Constraint on Non-Displayed Limit Orders and Make Conforming Changes.
2022-04-14
Proposed Rule Change to Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers.
2022-04-01
Proposed rule change pursuant to IEX Rule 15.110 to amend IEX's Fee Schedule.
2022-03-16
Proposed Rule Change to Extend MWCB Pilot Period From March 18, 2022 to April 18, 2022.
2021-12-17
Filing to amend FINRA CRD Fees
2021-12-14
Proposed Rule Change to Reintroduce a Market Maker Peg Order Type.
2021-11-12
Proposed Rule Change to Modify the Definition of a Retail Order.
2021-11-09
Proposed Rule Change to Make Juneteenth National Independence Day a Holiday of the Exchange.
2021-10-22
Proposed Rule Change to Amend IEX Rule 11.330 to Retire the IEX Data Platform Data Product
2021-10-13
Proposed Rule Change to Extend the Pilot Period for the Market Wide Circuit Breaker to March 18, 2022.
2021-09-14
A Proposed Rule Change to Provide that a Reserve Order May Have (i) an Odd Lot Sized Display Quantity and (ii) an Optional Random Initial and Replenishment Display Quantity.
2021-08-31
Proposed Rule Change to Eliminate IEX Rule 11.420 (Order Audit Trail System (OATS) Requirements) to Reflect the September 1, 2021 Retirement of OATS.
2021-06-11
Proposed Rule Change to Amend IEX Rule 5.110 (Supervision) to Provide Temporary Remote Inspection Relief to IEX Members for Calendar Year 2021.
2021-04-23
Proposed rule change to allow Discretionary Limit orders to be reserve orders.
2021-04-21
Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-IEX-2020-20.
2021-04-01
2021-07-02
Proposed rule change to enhance the IEX Retail Price Improvement Program for the benefit of retail investors.
2021-03-23
Proposed rule change related to transaction fees pursuant to IEX Rule 15.110.
2021-03-09
Proposed rule change related to transaction fees pursuant to IEX Rule 15.110.
2021-03-01
Proposed Rule Change to Allow Retail Orders to Trade with Certain Aggressively Priced Displayed Odd Lot Orders.
2021-01-29
Proposed rule change to amend IEX Rule 11.510 to reduce the outbound latency that presently applies to all trading messages sent from IEX back to users of the Exchange.
2021-01-27
Proposed Rule Change to Amend the Rule 11.600 Series, the Exchange’s Compliance Rule regarding the National Market System Plan Governing the Consolidated Audit Trail.
2021-01-06
Proposed Rule Change to Allow Odd Lot Orders to Be Displayed and to Aggregate to Form a Protected Quotation.
2020-12-15
Proposed rule change to amend IEX Rule 2.160 (Registration Requirements and Restrictions on Membership) to adopt temporary Supplementary Material .02 (Temporary Extension of the Limited Period for Registered Persons to Function as Principals) under paragraph (i) of the Rule.
2020-12-11
Proposed rule change related to transaction fees pursuant to IEX Rule 15.110.
2020-10-05
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, 2021.
2020-10-05
Proposed rule change to add a new Offset Peg order type that pegs to the primary quote, plus or minus an offset amount.
2020-09-11
Proposed rule change related to transaction fees pursuant to IEX Rule 15.110.
2020-09-11
Proposed rule change related to transaction fees pursuant to IEX Rule 15.110.
2020-09-03
Proposed Rule Change to Correct Two Typographical Errors in IEX Rules 2.220(a)(7) and 11.410(a).
2020-08-25
Proposed rule change to amend IEX Rule 2.220(a)(7) and 11.410(a) to include MIAX PEARL, LLC ("MIAX PEARL") in the list of away trading centers to which the Exchange routes and the market data sources the Exchange will use to determine MIAX PEARL's Top of Book quotation.
2020-08-12
Proposed rule change to amend IEX Rule 2.220(a)(7) and 11.410(a) to include MEMX, LLC ("MEMX") in the list of away trading centers to which the Exchange routes and the market data sources the Exchange will use to determine MEMX's Top of Book quotation
2020-07-31
Proposed rule filing to amend Rule Series 11.600 (the CAT Compliance Rules).
2020-06-25
Proposal to add the Consolidated Audit Trail industry member compliance rules to the list of minor rule violations
2020-06-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the IEX Rule Series 11.600 (Consolidated Audit Trail Compliance Rule).
2020-06-15
Proposed rule change to amend IEX Rule 11.190(b)(13) (Market Maker Peg Order) to discontinue the Market Maker Peg Order and make conforming changes.
2020-04-22
Proposed rule change to modify the IEX Fee Schedule to clarify the circumstances in which IEX offers certain physical port connections.
2020-03-18
Proposed rule change to amend IEX Rule 11.280 concerning the resumption of trading following a Level 3 market-wide circuit breaker halt.
2020-02-20
Proposed rule change to amend IEX Rule 2.220(a)(7) and 11.410(a) to include the Long Term Stock Exchange, Inc. ("LTSE") in the list of away trading centers to which the Exchange routes and the market data sources the Exchange will use to determine LTSE's Top of Book quotation.
2020-02-04
Proposed rule change related to fees pursuant to IEX Rule 15.110.
2020-01-03
Proposed Rule Change to Correct Three Typographical Errors in IEX Rules 11.190(e) and 11.220(a)(7).
2019-12-16
2020-08-26
Proposed Rule Change to Add a New Discretionary Limit Order Type.
2019-12-13
Proposed rule change to amend IEX Rule 11.190(e) to expand the Exchange’s existing anti-internalization functionality and make conforming and clarifying changes to IEX Rule 11.190(e) and other IEX rules.
2019-11-27
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.
2019-11-15
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.
2019-10-11
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.
2019-09-13
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.
2019-08-22
Proposed rule change to modify the Investors Exchange LLC 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.
2019-08-08
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.
2019-07-15
Proposed Rule Change to modify IEX's Fee Schedule, pursuant to IEX Rule 15.110(a) and (c), to correct two minor Fee Code combination to conform each to the applicable fee.
2019-06-20
Proposed rule change to establish a Retail Price Improvement Program.
2019-04-08
Proposed rule change is to amend IEX Rule 11.280 (Limit Up-Limit Down Plan and Trading Halts) (“Rule 11.280”) to extend the pilot period for the Regulation NMS Plan to Address Extraordinary Market Volatility, to the close of business on October 18, 2019.
2019-03-26
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.
2019-02-27
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.
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.