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. 34-105968; File No. SR-IEX-2026-21] July 22, 2026. Pursuant to Section 19(b)(1)  [ 1 ] of the Securities Exchange Act of 1934 (the “Act”)  [ 2 ] and Rule 19b-4 thereunder, [ 3 ] notice is hereby given that, on July 15, 2026, the Investors Exchange LLC (“IEX” or the “Exchange”) filed with the Securities and Exchange Commission (the “Commission”) the proposed rule change as described in Items I and II below, which Items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change Pursuant to the provisions of Section 19(b)(1) under the Act, [ 4 ] and Rule 19b-4 thereunder, [ 5 ] the Exchange is filing with the Commission a proposed rule change to amend IEX Rules 2.160 and 18.110 to add the General Securities Sales Supervisor registration category, and the corresponding Series 9/10 qualification examination, to the registration categories and qualification examinations recognized by the Exchange. IEX also proposes to update its description of the regulatory element continuing education requirements to conform with recent changes made by FINRA. The Exchange has designated this proposal as non-controversial pursuant to Section 19(b)(3)(A)(iii) of the Act  [ 6 ] a…
Citation: 91 FR 47015
