Securities and Exchange Commission
Document Headings Document headings vary by document type but may contain the following: the agency or agencies that issued and signed a document the number of the CFR title and the number of each part the document amends, proposes to amend, or is directly related to the agency docket number / agency internal file number the RIN which identifies each regulatory action listed in the Unified Agenda of Federal Regulatory and Deregulatory Actions See the Document Drafting Handbook for more details. Securities and Exchange Commission [Release No. 34-78101; File No. 10-222] I. Introduction and Procedural History On August 21, 2015, Investors' Exchange, LLC (“IEX” or “IEX Exchange”) submitted to the Securities and Exchange Commission (“Commission”) a Form 1 application (“Form 1”) under the Securities Exchange Act of 1934 (“Act”), seeking registration as a national securities exchange pursuant to Section 6 of the Act. [ 1 ] IEX has amended its Form 1 five times, as detailed below. The Commission has reviewed the exchange registration application, as amended, together with all comments received, in order to make a determination whether to grant the registration. [ 2 ] On September 9, 2015, IEX submitted Amendment No. 1 to its Form 1. [ 3 ] Notice of the application, as amended by Amendment No. 1, was published for comment in the Federal Register on September 22, 2015. [ 4 ] On December 18, 2015, IEX consented to an extension of time to March 21, 2016 for Commission consideration of its Form 1 application and the comments received thereon. [ 5 ] In response to comments, IEX submitted an amendment to its Form 1 on February 29, 2016 to propose a new approach to outbound routing, which had been the subject of extensive public comment as originally proposed. [ 6 ] IEX submitted a third amendment to its Form 1 on March 4, 2016. [ 7 ] IEX submitted a fourth amendment to its Form 1 on March 7, 2016. [ 8 ] IEX submitted a fi…
Citation: 81 FR 41142
