Self-Regulatory Organization Rulemaking

We invite comments on filings submitted by the following SROs during the comment period. Each SRO name below is linked to an index page with listings of specific filings and corresponding SEC releases. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. All comments will be posted on this website.

Joint Industry Plans

• 17d-2 Plans for Allocation of Regulatory Responsibilities
• National Market System Plans (NMS)

National Securities Exchanges

• Bats BZX Exchange (BatsBZX)
  • Formerly BATS Exchange (BATS)
• Bats BYX Exchange (BatsBYX)
  • Formerly BATS Y-Exchange (BYX)
• Bats EDGA Exchange (BatsEDGA)
  • Formerly EDGA Exchange (EDGA)
• Bats EDGX Exchange (BatsEDGX)
  • Formerly EDGX Exchange (EDGX)
• BOX Options Exchange LLC (BOX)
• C2 Options Exchange (C2)
• Chicago Board Options Exchange (CBOE)
• Chicago Stock Exchange (CHX)
• International Securities Exchange (ISE)
• Investors Exchange LLC (IEX)
• ISE Gemini (ISEGemini)
  • Formerly Topaz Exchange (Topaz)
• ISE Mercury (ISEMercury)
• Miami International Securities Exchange LLC (MIAX)
• MIAX PEARL, LLC (PEARL)
• NASDAQ BX (BX)
  • Formerly NASDAQ OMX BX
  • Formerly Boston Stock Exchange (BSE)
• NASDAQ PHLX (Phlx)
  • Formerly NASDAQ OMX PHLX
• NASDAQ Stock Market (NASDAQ)
• National Stock Exchange (NSX)
• New York Stock Exchange (NYSE)
• NYSE MKT (NYSEMKT)
  • Formerly NYSE Amex (NYSEAmex)
  • Formerly NYSE Alternext US (NYSEALTR)
  • Formerly American Stock Exchange (Amex)
• NYSE Arca (NYSEArca)

Registered Securities Associations

• Financial Industry Regulatory Authority (FINRA)
  • Formerly National Association of Securities Dealers (NASD)

Notice Registered Securities Future Product Exchanges

• Board of Trade of the City of Chicago (CBOT)
• CBOE Futures Exchange (CFE)
• Chicago Mercantile Exchange (CME)
• OneChicago (OC)
• NQLX (formerly registered)

Securities Futures Associations

• National Futures Association (NFA)

Registered Clearing Agencies

Proposed Rule Change Filings

• Boston Stock Exchange Clearing Corporation (BSECC)
• Chicago Mercantile Exchange (CME)
• The Depository Trust Company (DTC)
• Fixed Income Clearing Corporation (FICC)
• ICE Clear Credit (ICC)
• ICE Clear Europe (ICEEU)
• LCH SA (LCH SA)
• National Securities Clearing Corporation (NSCC)
• The Options Clearing Corporation (OCC)
• Stock Clearing Corporation of Philadelphia (SCCP)

Advance Notice Filings

• The Depository Trust Company (DTC)
• Fixed Income Clearing Corporation (FICC)
• National Securities Clearing Corporation (NSCC)
• The Options Clearing Corporation (OCC)

Other Self-Regulatory Organizations

• Municipal Securities Rulemaking Board (MSRB)