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Rule Filings
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rulebook-rulefilings-ise-2024rulebook-rulefilings-ise-2024| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-ISE-2024-52
| A proposal to amend the Exchange's fees for connectivity and co-location services. | Pending | No | | | SR-ISE-2024-51
Notice & Approval
| A proposal to increase the Exchange's port fees in Options 7, Section 7.C. | Approved | Yes | 11/28/2024 | 11/7/2024 | SR-ISE-2024-49
Notice & Approval
| A proposal to amend ISE's Pricing Schedule at Options 7, Section 9C regarding the Options Regulatory Fee | Approved | Yes | 12/5/2024 | 11/14/2024 | SR-ISE-2024-48
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule in Options 7, Section 3. | Approved | Yes | 11/12/2024 | 10/21/2024 | SR-ISE-2024-47
Notice & Approval
| A proposal to establish fees for its expanded co-location services. | Approved | Yes | 11/1/2024 | 10/11/2024 | SR-ISE-2024-46
Notice & Approval
| A proposal to codify the definition of ISE Open/Close Trade Profile in the ISE rulebook. | Approved | Yes | 10/15/2024 | 9/24/2024 | SR-ISE-2024-45
Notice & Approval
| A Proposal to Expand Its Co-Location Services | Approved | Yes | 10/15/2024 | 9/24/2024 | SR-ISE-2024-42
Notice & Approval
| A 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 (the "CAT NMS Plan" or "Plan") incurred prior to January 1, 2022. | Approved | Yes | 10/3/2024 | 9/12/2024 | SR-ISE-2024-41
Notice & Approval
| A proposed rule change to establish fees for Industry Members related to reasonably budgeted CAT costs of the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan") for the period from July 16, 2024 through December 31, 2024. | Approved | Yes | 9/26/2024 | 9/5/2024 | SR-ISE-2024-39
Notice & Approval
| Proposal to Amend Options 3, Section 16, Complex Order Risk Protections. | Approved | Yes | 9/12/2024 | 8/22/2024 | SR-ISE-2024-38
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 3, Regular Order Fees and Rebates, to increase the Priority Customer Select Symbol Taker Fee | Approved | Yes | 9/12/2024 | 8/22/2024 | SR-ISE-2024-35
Notice
SEC Extension
Order Instituting Proceedings
| A proposal to amend Options 4, Section 3, Criteria for Underlying Securities. | Pending | Yes | 9/3/2024 | 8/12/2024 | SR-ISE-2024-31
Notice & Approval
| A proposal to amend Options 2, Sections 5, 6 and 10; Options 3, Sections 7 and 17; and Options 4, Section 5. | Approved | Yes | 8/22/2024 | 8/1/2024 | SR-ISE-2024-29
Notice & Approval
| A proposal to amend the fees for Nasdaq 100 Index options in the Exchange Pricing Schedule at Options 7. | Approved | Yes | 8/19/2024 | 7/29/2024 | SR-ISE-2024-24
Notice & Approval
| A proposal to launch Proximity-On-Demand, a managed colocation solution. | Approved | Yes | 8/6/2024 | 7/16/2024 | SR-ISE-2024-21
Notice
SEC Extension
Amendment 1
Approval
| A proposal to amend the Short Term Option Series Program in Supplementary Material .03 of Options 4, Section 5. | Approved | Yes | 6/20/2024 | 5/30/2024 | SR-ISE-2024-19
Notice & Approval
| A proposal to amend the Exchange's Cabinet Proximity Option Fee at General 8, Section 1. | Approved | Yes | 6/20/2024 | 5/29/2024 | SR-ISE-2024-18
Notice & Approval
| A proposal to amend ISE's Pricing Schedule at Options 7. | Approved | Yes | 6/7/2024 | 5/17/2024 | SR-ISE-2024-17
Notice
Approval
| A proposal to amend the strike interval for options on SPDR® Gold Shares ("GLD"). | Approved | Yes | 6/10/2024 | 5/20/2024 | SR-ISE-2024-12
Notice
SEC Extension
Order Instituting Proceedings
SEC Extension 2
| A proposal to adopt rules that will govern the listing and trading of flexible exchange options ("FLEX Options"). | Pending | Yes | 4/19/2024 | 3/29/2024 | SR-ISE-2024-11
Notice & Approval
| A proposal to amend the complex order rebates in the Exchange's Pricing Schedule at Options 7, Section 4. | Approved | Yes | 4/16/2024 | 3/26/2024 | SR-ISE-2024-07
Notice & Approval
| A proposal to expand the Exchange's Cabinet Proximity Option program. | Approved | Yes | 3/27/2024 | 3/6/2024 | SR-ISE-2024-06
Notice
Approval
| A proposal to amend the Short Term Option Series Program. | Approved | Yes | 3/22/2024 | 3/1/2024 | SR-ISE-2024-04
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7. | Approved | Yes | 2/20/2024 | 1/30/2024 | SR-ISE-2024-03
Amendment 1
Notice
SEC Extension
Order Instituting Proceedings
SEC Extension 2
Amendment 2
Amendment 3
Amendment Withdrawn
Amendment Withdrawn 2
Amendment 4
Amendment 5
Approval
| A proposal to to amend Options 4, Section 3, Criteria for Underlying Securities, to allow the Exchange to list and trade options on iShares Bitcoin Trust as a Unit deemed appropriate for options trading on the Exchange. | Approved | Yes | 2/15/2024 | 1/25/2024 |
| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-ISE-2023-36
Notice & Approval
| A proposal to amend the fees for options on the Nasdaq 100 Index in the Exchange's Pricing Schedule at Options 7. | Approved | Yes | 1/10/2024 | 12/20/2023 | SR-ISE-2023-35
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7. | Approved | Yes | 1/8/2024 | 12/18/2023 | SR-ISE-2023-33
Notice & Approval
| A proposal to amend the Exchange's GPS antenna fees at General 8, Section 1. | Approved | Yes | 1/5/2024 | 12/15/2023 | SR-ISE-2023-32
Notice & Approval
| A proposal to (i) adopt Monthly Options Series and (ii) amend its Nonstandard Expirations Program. | Approved | Yes | 1/3/2024 | 12/13/2023 | SR-ISE-2023-31
Notice & Approval
| A proposal to amend Legging Orders. | Approved | Yes | 1/2/2024 | 12/12/2023 | SR-ISE-2023-30
Notice & Approval
| A Proposal to Amend Options 4, Section 5 Related to a Low Priced Stock Strike Price Interval Program | Approved | Yes | 12/22/2023 | 12/1/2023 | SR-ISE-2023-28
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7. | Approved | Yes | 12/22/2023 | 12/1/2023 | SR-ISE-2023-27
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7 to adopt pricing for index options on the Nasdaq 100 Micro Index. | Approved | Yes | 12/12/2023 | 11/21/2023 | SR-ISE-2023-24
Notice & Approval
| A proposed rule change to permit the listing and trading of options based on 1/100 of the value of the Nasdaq-100 Index® ("Nasdaq-100"). | Approved | Yes | 12/6/2023 | 11/15/2023 | SR-ISE-2023-23
Notice & Approval
| A proposal to amend its Pricing Schedule at Options 7 to specify pricing related to unrelated market or marketable interest. | Approved | Yes | 12/4/2023 | 11/13/2023 | SR-ISE-2023-22
Notice & Approval
| A proposal to amend its Complex Order Rules. | Approved | Yes | 11/3/2023 | 10/13/2023 | SR-ISE-2023-20
Notice
Approval
| A proposal to permit the listing and trading of p.m.-settled Nasdasq-100 Index options with a third-Friday-of-the-month expiration. | Approved | Yes | 10/25/2023 | 10/4/2023 | SR-ISE-2023-19
Notice & Approval
| A proposal to amend Options 3, Section 7, Types of Orders and Order and Quote Protocols; Options 3, Section 11, Auction Mechanisms; and Options 3, Section 13, Price Improvement Mechanism for Crossing Transactions. | Approved | Yes | 10/17/2023 | 9/26/2023 | SR-ISE-2023-18
Notice & Approval
| A proposal to amend Options 3, Section 15 (Risk Protections) to adopt an active quote protection. | Approved | Yes | 9/15/2023 | 8/25/2023 | SR-ISE-2023-16
Notice & Approval
| A proposal to amend Options 4, Section 3, Criteria For Underlying Securities. | Approved | Yes | 9/5/2023 | 8/15/2023 | SR-ISE-2023-15
Notice & Approval
| A proposed rule change regarding a stockholders' agreement by and among the Exchange's parent corporation, Nasdaq, Inc. ("Nasdaq"), Adenza Parent, LP, a Delaware limited partnership ("Seller"), and the other parties thereto ("Stockholders' Agreement"). | Approved | Yes | 9/5/2023 | 8/14/2023 | SR-ISE-2023-14
Notice & Approval
| A proposal to amend ISE's Option Regulatory Fee. | Approved | Yes | 8/31/2023 | 8/10/2023 | SR-ISE-2023-13
Notice & Approval
| A proposal to amend Options 3, Section 7, Types of Orders and Order and Quote Protocols; Options 3, Section 11, Auction Mechanisms; Options 3, Section 12, Crossing Orders, Section 13, Price Improvement Mechanisms for Crossing Transactions; Options 3, Section 14, Complex Orders; Options 3, Section 15, Simple Order Risk Protections; and Options 3, Section 16, Complex Order Risk Protections. | Approved | Yes | 9/1/2023 | 8/11/2023 | SR-ISE-2023-12
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 3, Regular Order Fees and Rebates. | Approved | Yes | 7/13/2023 | 6/22/2023 | SR-ISE-2023-11
Notice
SEC Extension
Order Instituting Proceedings
Approval
| A proposal to amend the Short Term Option Series Program in Supplementary Material .03 of Options 4, Section 5 (Series of Options Contracts Open for Trading). | Approved | Yes | 7/11/2023 | 6/20/2023 | SR-ISE-2023-10
Notice & Approval
| A proposal to delay the Implementation of Certain Trading Functionalities. | Approved | Yes | 6/23/2023 | 6/2/2023 | SR-ISE-2023-09
Notice & Approval
| A proposal to extend the pilot to permit the listing and trading of options based on 1/5 the value of the Nasdaq-100 Index ("NQX Pilot") and the nonstandard expirations pilot program, both currently set to expire on May 4, 2023. | Approved | Yes | 5/23/2023 | 5/2/2023 | SR-ISE-2023-08
Notice
SEC Extension
Amendment 1
Order Instituting Proceedings
SEC Extension 2
Approval
| A proposal to make permanent the pilot to permit the listing and trading of options based on 1/5 the value of the Nasdaq-100 Index ("Nasdaq-100" or "NDX") and the Exchange's nonstandard expirations pilot program which are both currently set to expire on May 4, 2023. | Approved | Yes | 3/23/2023 | 3/2/2023 | SR-ISE-2023-06
Notice & Approval
| A proposal to amend its rules in connection with a technology migration to enhanced Nasdaq, Inc. ("Nasdaq") functionality. | Approved | Yes | 3/3/2023 | 2/10/2023 | SR-ISE-2023-05
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 6. | Approved | Yes | 3/14/2023 | 2/21/2023 | SR-ISE-2023-04
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 3 (Regular Order Fees and Rebates). | Approved | Yes | 3/14/2023 | 2/21/2023 | SR-ISE-2023-01
Notice & Approval
| A proposal to amend ISO functionality. | Approved | Yes | 2/28/2023 | 2/7/2023 |
| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-ISE-2022-29
Notice & Approval
| A proposal to amend ISE's Pricing Schedule at Options 7, Section 4 | Approved | Yes | 1/25/2023 | 1/4/2023 | SR-ISE-2022-28
Notice & Approval
| A proposal to amend Options 3, Section 7, Types of Orders and Order and Quote Protocols; Options 3, Section 10, Priority of Quotes and Orders; Options 3, Section 12, Crossing Orders; Options 3, Section 13, Price Improvement Mechanisms for Crossing Transactions; Options 3, Section 14, Complex Orders; and Options 3, Section 16, Complex Risk Protections. | Approved | Yes | 1/12/2023 | 12/22/2022 | SR-ISE-2022-26
Notice & Approval
| A proposal to amend ISE's Pricing Schedule at Options 7, Section 9, Legal & Regulatory, to reflect adjustments to FINRA Registration Fees and Fingerprinting Fees. | Approved | Yes | 1/9/2023 | 12/19/2022 | SR-ISE-2022-25
Notice & Approval
| A proposal to amend certain rules in connection with a technology migration to enhanced Nasdaq, Inc. ('Nasdaq') functionality. | Approved | Yes | 12/16/2022 | 11/25/2022 | SR-ISE-2022-24
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 6. | Approved | Yes | 11/28/2022 | 11/7/2022 | SR-ISE-2022-23
Notice & Approval
| A proposal to permit ISE to list up to 12 standard monthly expirations for options based on 1/5 the value of the Nasdaq-100 Index | Approved | Yes | 11/25/2022 | 11/3/2022 | SR-ISE-2022-20
Notice & Approval
| A proposal to extend the pilot to permit the listing and trading of options based on 1/5 the value of the Nasdaq-100 Index and the Exchange's nonstandard expirations pilot program, both currently set to expire on November 4, 2022. | Approved | Yes | 11/3/2022 | 10/13/2022 | SR-ISE-2022-19
Notice & Approval
| A proposal to amend the Exchange's port-related fees at Options 7, Section 7. | Approved | Yes | 10/11/2022 | 9/20/2022 | SR-ISE-2022-18
Notice
Approval
| A proposal to amend the Short Term Option Series Program within Options 4, Section 5, 'Series of Options Contracts Open for Trading.' | Approved | Yes | 10/17/2022 | 9/26/2022 | SR-ISE-2022-17
Notice & Approval
| A proposal to adopt two new rules within Sections 26 and 27 of Options 10. | Approved | Yes | 9/27/2022 | 9/6/2022 | SR-ISE-2022-16
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7. | Approved | Yes | 9/20/2022 | 8/30/2022 | SR-ISE-2022-14
Notice & Approval
| A proposal to amend certain rule text within Options 4A, Section 12, Terms of Index Options Contracts, and Options 7, Section 3, Regular Order Fees and Rebates. | Approved | Yes | 8/5/2022 | 7/15/2022 | SR-ISE-2022-13
Notice
Approval
| A proposal to permit P.M. settled Nasdaq-100 Index® options that expire on Tuesday or Thursday under its Nonstandard Expirations Pilot Program. | Approved | Yes | 7/12/2022 | 6/21/2022 | SR-ISE-2022-12
Notice & Approval
| A proposal to amend the Amended and Restated Certificate
of Incorporation ('Certificate') of its parent corporation, Nasdaq, Inc. ('Nasdaq' or the 'Company'), to increase Nasdaq's authorized share capital. | Approved | Yes | 6/17/2022 | 5/27/2022 | SR-ISE-2022-11
Notice & Approval
| A proposal to amend the following sections within Options 5, Order Protection and Locked and Crossed Markets: Section 2, Order Protection; Section 3, Locked and Crossed Markets; and Section 4, Order Routing to Other Exchanges. | Approved | Yes | 6/8/2022 | 5/18/2022 | SR-ISE-2022-10
Notice
Amendment 1
Approval
| A proposal to amend Options 4, Section 5, 'Series of Options Contracts Open for Trading.' Specifically, this proposal seeks to amend Supplementary Material .07 to Options 4, Section 5. | Approved | Yes | 5/18/2022 | 4/27/2022 | SR-ISE-2022-09
Notice & Approval
| A proposal to extend the pilot to permit the listing and trading of options based on 1/5 the value of the Nasdaq-100 Index ('Nasdaq-100') and the Exchange's nonstandard expirations pilot program, both currently set to expire on May 4, 2022. | Approved | Yes | 5/4/2022 | 4/13/2022 | SR-ISE-2022-08
Notice & Approval
| A proposal to harmonize various processes and procedures under Options 3, Section 20 with those of its affiliated options exchanges. | Approved | Yes | 4/13/2022 | 3/23/2022 | SR-ISE-2022-07
Notice & Approval
| A proposal to amend the qualifications for the Market Maker Plus program in Options 7, Section 3. | Approved | Yes | 4/14/2022 | 3/24/2022 | SR-ISE-2022-06
Notice & Approval
| A proposal to amend its Pricing Schedule at Options 7, Section 3 to increase the Market Maker Plus Tier 1b rebate for SPY, QQQ, and IWM. | Approved | Yes | 4/12/2022 | 3/22/2022 | SR-ISE-2022-04
Notice & Approval
| A proposal to amend ISE Rules at Options 3, Section 1, Days and Hours of Business; Options 4A, Section 11, Trading Sessions; and Options 4A, Section 12, Terms of Index Options Contracts. The Exchange also proposes to adopt new Options 4A, Section 4 which is currently reserved. Finally, the Exchange proposes to make a technical amendment to Options 7, Section 1, General Provisions. | Approved | Yes | 3/30/2022 | 3/9/2022 | SR-ISE-2022-03
Notice & Approval
| A proposal to amend Options 3, Section 20 (Nullification and Adjustment of Options Transactions including Obvious Errors). | Approved | Yes | 2/28/2022 | 2/7/2022 | SR-ISE-2022-02
Notice & Approval
| A proposal to reduce Options Regulatory Fee. | Approved | Yes | 2/22/2022 | 2/1/2022 | SR-ISE-2022-01
Notice & Approval
| A proposal to amend ISE's Pricing Schedule at Options 7, Section 9, Legal & Regulatory, to reflect adjustments to FINRA Continuing Education Fees. | Approved | Yes | 2/18/2022 | 1/28/2022 |
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-ISE-2021-26
Notice
& Approval
|
A proposal to amend ISE's Pricing Schedule at Options 7, Section 1, General Provisions. |
Approved |
Yes |
1/10/2022 |
12/20/2021 |
SR-ISE-2021-25
Notice
& Approval
|
A proposal to increase position limits for options on certain exchange-traded
funds |
Approved |
Yes |
12/21/2021 |
11/30/2021 |
SR-ISE-2021-24
Notice
& Approval
|
A proposal to amend ISE's Pricing Schedule at Options 7, Section 9, Legal & Regulatory, to
reflect adjustments to FINRA Registration Fees. Additionally, this rule change amends the Continuing
Education Fees. |
Approved |
Yes |
12/13/2021 |
11/22/2021 |
SR-ISE-2021-23
Notice
& Approval
|
A proposal to extend the pilot period for the Exchanges nonstandard expirations
pilot program, currently set to expire on November 4, 2021. |
Approved |
Yes |
11/24/2021 |
11/3/2021 |
SR-ISE-2021-22
Notice
& Approval
|
A proposal to extend the pilot to permit the listing and trading of options based on 1/5 the value
of the Nasdaq-100 Index currently set to expire on November 4, 2021. |
Approved |
Yes |
11/24/2021 |
11/3/2021 |
SR-ISE-2021-21
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 6.A to
modify its Qualified Contingent Cross ('QCC') and Solicitation rebate program. |
Approved |
Yes |
11/10/2021 |
10/20/2021 |
SR-ISE-2021-20
Notice
& Approval
|
A proposal to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term
Option Series Program on the iShares Russell 2000 ETF. |
Approved |
Yes |
10/29/2021 |
10/8/2021 |
SR-ISE-2021-19
Notice
& Approval
|
A proposal to decommission the Exchange's quote removal Kill Switch functionality
at Options 3, Section 17. |
Approved |
Yes |
10/13/2021 |
9/22/2021 |
SR-ISE-2021-17
Notice
& Approval
|
A proposal to amend ISE Options 3, Section 8, 'Options Opening Process.' |
Approved |
Yes |
8/20/2021 |
7/30/2021 |
SR-ISE-2021-16
Notice
& Approval
|
A proposal to amend ISE's Pricing Schedule at Options 7, Section 9, Part C related
to the Options Regulatory Fee or 'ORF'. |
Approved |
Yes |
9/1/2021 |
8/11/2021 |
SR-ISE-2021-15
Notice
& Approval
|
A proposal to amend Options 2, Section 5, Market Maker Quotations. |
Approved |
Yes |
8/9/2021 |
7/19/2021 |
SR-ISE-2021-14
Notice
& Approval
|
A proposal to amend Options 2, Section 4, Obligations of Market Makers; Options 4,
Section 3, Criteria for Underlying Securities; Options 4, Section 8, Long-Term Options Contracts;
and Options 4A, Section 12, Terms of Index Options Contracts. |
Approved |
Yes |
7/19/2021 |
6/28/2021 |
SR-ISE-2021-13
Notice
& Approval
|
A proposal to amend ISE's Pricing Schedule at Options 7, Section 3, 'Regular Order Fees and Rebates'
and Section 4, 'Complex Order Fees and Rebates.' |
Approved |
Yes |
7/14/2021 |
6/23/2021 |
SR-ISE-2021-11
Notice
& Approval
|
A proposal to amend ISE's Pricing Schedule at Options 7, Section 5, Index Options
Fees and Rebates. |
Approved |
Yes |
6/18/2021 |
5/28/2021 |
SR-ISE-2021-09
Notice
& Approval
|
A proposal to amend Options 4, Section 5, 'Series of Options Contracts Open for Trading.' This
proposal seeks to limit Short Term Options Series intervals between strikes which are available for
quoting and trading on ISE. |
Approved |
Yes |
6/14/2021 |
5/24/2021 |
SR-ISE-2021-07
Notice
& Approval
|
A proposal to the rule change to permit Monday and Wednesday expirations for
options listed pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series
('QQQ') ETF Trust. |
Approved |
Yes |
5/20/2021 |
4/29/2021 |
SR-ISE-2021-06
Notice
& Approval
|
A proposal to extend the pilot period for the Exchange's nonstandard expirations pilot program,
currently set to expire on May 4, 2021 |
Approved |
Yes |
5/3/2021 |
4/12/2021 |
SR-ISE-2021-05
Notice
& Approval
|
A proposal to amend the rule to extend the pilot to permit the listing and trading
of options based on 1/5 the value of the Nasdaq-100 Index ('Nasdaq-100') currently set to expire on
May 4, 2021. |
Approved |
Yes |
5/3/2021 |
4/12/2021 |
SR-ISE-2021-04
Notice
& Approval
|
A proposal to amend ISE's Pricing Schedule at Options 7, Section 9, Part C to reduce the Options
Regulatory Fee or 'ORF'. |
Approved |
Yes |
4/22/2021 |
4/1/2021 |
SR-ISE-2021-03
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 3
(Regular Order Fees and Rebates). |
Approved |
Yes |
4/6/2021 |
3/16/2021 |
SR-ISE-2021-01
Notice
& Approval
|
A proposal to make clarifying changes to various rules in Options 3 and Options 5. |
Approved |
Yes |
3/25/2021 |
3/4/2021 |
rulebook-rulefilings-ise-2020rulebook-rulefilings-ise-2020
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-ISE-2020-43
Notice
& Approval
|
Proposal to delete the Exchange's membership rules currently under the General 3 title, incorporate
by reference The Nasdaq Stock Market LLC's ('Nasdaq') rules in the General 3 Rule 1000 Series, and
other related changes. |
Approved |
Yes |
2/9/2021 |
1/19/2021 |
SR-ISE-2020-42
Notice
& Approval
|
A proposal to harmonize Exchange Rule General 3, Section 2 with recent changes by
the Financial Industry Regulatory Authority, Inc. ('FINRA'). This amendment would temporarily grant
the Exchange Review Council ('ERC') authority to conduct hearings in connection with appeals of
Membership Application Program decisions by video conference, if warranted by the current
COVID-19-related public health risks posed by an in-person hearing. As proposed, the temporary
amendment would be in effect through April 30, 2021. |
Approved |
Yes |
1/19/2021 |
12/29/2020 |
SR-ISE-2020-40
Notice
& Approval
|
A proposal to amend the Exchange's Market Maker Plus program under Options 7, Section 3, 'Regular
Order Fees and Rebates' |
Approved |
Yes |
1/4/2021 |
12/14/2020 |
SR-ISE-2020-39
Notice
& Approval
|
A proposal to amend Options 7, Section 4, 'Complex Order Fees and Rebates,' and
Options 7, Section 9, 'Legal & Regulatory.' |
Approved |
Yes |
12/22/2020 |
12/1/2020 |
SR-ISE-2020-38
Notice
& Approval
|
A proposal to amend Options 4, Section 3, 'Criteria for Underlying Securities,' and Options 4,
Section 5, 'Series of Options Contracts Open for Trading' to relocate certain rule text and make
other minor technical amendments. |
Approved |
Yes |
12/15/2020 |
11/24/2020 |
SR-ISE-2020-34
Notice
& Approval
|
A proposal to extend the pilot period for the Exchange's nonstandard expirations
pilot program. |
Approved |
Yes |
11/19/2020 |
10/29/2020 |
SR-ISE-2020-33
Notice
& Approval
|
A proposal to extend the pilot to permit the listing and trading of options based on 1/5 the value
of the Nasdaq-100 Index ('Nasdaq-100') currently set to expire on November 2, 2020. |
Approved |
Yes |
11/18/2020 |
10/28/2020 |
SR-ISE-2020-32
Notice
& Approval
|
Proposal to amend Options 6, Section 5, titled 'Transfer of Positions.' |
Approved |
Yes |
9/11/2020 |
8/21/2020 |
SR-ISE-2020-31
Notice
& Approval
|
A proposal to add the Consolidated Audit Trail ('CAT') industry member compliance rules to the list
of minor rule violations in its rulebook |
Approved |
Yes |
9/10/2020 |
8/20/2020 |
SR-ISE-2020-30
Notice
& Approval
|
A proposal to amend Options 7, Section 6, Other Options Fees and Rebates. The
Exchange also proposes an amendment to Options 7, Section 1, General provisions, and Options 7,
Section 3, Regular Order Fees and Rebates. |
Approved |
Yes |
8/25/2020 |
8/4/2020 |
SR-ISE-2020-28
Notice
& Approval
|
A proposal to further extend the filing requirements for certain written reports pursuant to Options
10. |
Approved |
Yes |
8/4/2020 |
7/14/2020 |
SR-ISE-2020-26
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Options 7. |
Approved |
Yes |
8/11/2020 |
7/21/2020 |
SR-ISE-2020-24
Notice
& Approval
|
A proposal to amend Options 3, Section 3 to conform the rule to Section 3.1 of the Plan for the
Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of
Standardized Options (the 'OLPP'). |
Approved |
Yes |
7/22/2020 |
7/1/2020 |
SR-ISE-2020-23
Notice
& Approval
|
A proposal to amend Options 9, Section 13, Position Limits, to increase position
limits for options on certain exchange-traded funds, and similarly increase exercise limits within
Options 9, Section 15, Exercise Limits. |
Approved |
Yes |
7/22/2020 |
7/1/2020 |
SR-ISE-2020-22
Notice
& Approval
|
A proposal to amend the ISE Disciplinary Rules in General 5 to incorporate by reference Nasdaq
Series 8000 and 9000 Rules, currently located under the General 5 title of the Nasdaq Rulebook,
instead of the BX Rules, which the Exchange currently incorporates by reference. |
Approved |
Yes |
7/10/2020 |
6/19/2020 |
SR-ISE-2020-21
Notice
& Approval
|
A proposal to further extend the filing requirements for certain written reports
pursuant to Options 10, Section 7, currently due June 1, 2020, to June 30, 2020. |
Approved |
Yes |
6/29/2020 |
6/8/2020 |
SR-ISE-2020-20
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Options 7 |
Approved |
Yes |
6/22/2020 |
6/1/2020 |
SR-ISE-2020-18
Notice
& Approval
|
A proposal related to a pilot on the Nasdaq 100 Reduced Value Index (NQX) |
Approved |
Yes |
5/14/2020 |
4/23/2020 |
SR-ISE-2020-17
Notice
& Approval
|
Proposal related to a Non-Standard Pilot Program |
Approved |
Yes |
5/14/2020 |
4/23/2020 |
SR-ISE-2020-16
Notice
& Approval
|
Proposal to adopt a new rule titled 'Transfer of Positions' within Options 6,
Section 5. |
Approved |
Yes |
5/13/2020 |
4/22/2020 |
SR-ISE-2020-15
Notice
& Approval
|
A proposal regarding rule amendments to Options 3, Section 8, Opening Process. |
Approved |
Yes |
5/19/2020 |
4/28/2020 |
SR-ISE-2020-14
Notice
& Approval
|
Proposal to temporarily extend the filing requirements for certain written
reports, currently due April 1, 2020 pursuant to Options 10, Section 7, to June 1, 2020. |
Approved |
Yes |
4/27/2020 |
4/6/2020 |
SR-ISE-2020-13
Notice
& Approval
|
Proposal to amend ISE Rules at Options 3, Section 8, titled 'Opening.' |
Approved |
Yes |
4/22/2020 |
4/1/2020 |
SR-ISE-2020-12
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule at Options 7, Section 4, titled
'Complex Order Fees and Rebates.' |
Approved |
Yes |
4/16/2020 |
3/26/2020 |
SR-ISE-2020-11
Notice
& Approval
|
Rule Filing Related to the Removal of Obsolete Listing Rules |
Approved |
Yes |
4/16/2020 |
3/26/2020 |
SR-ISE-2020-10
Notice
& Approval
|
A proposal to amend Options 3, Sections 7 and 14 related to Complex Orders |
Approved |
Yes |
4/16/2020 |
3/26/2020 |
SR-ISE-2020-08
Notice
& Approval
|
A proposed rule to amend Options 9, Section 21, Anti-Money Laundering Compliance Program. This rule
change is intended to reflect the Financial Crimes Enforcement Network's adoption of a final rule on
Customer Due Diligence Requirements for Financial Institutions |
Approved |
Yes |
3/20/2020 |
2/28/2020 |
SR-ISE-2020-07
Notice
& Approval
|
A proposed rule to amend Options 3, Section 7, 'Types of Orders' to permit the
Exchange to determine the availability of order types and time-in-force provisions. |
Approved |
Yes |
3/24/2020 |
3/3/2020 |
SR-ISE-2020-06
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Options 7 |
Approved |
Yes |
3/24/2020 |
3/3/2020 |
SR-ISE-2020-02
Notice
& Approval
|
A proposal to amend its Pricing Schedule in Options 7 at Section 3, titled
'Regular Order Fees and Rebates' and Section 4, titled 'Complex Order Fees and Rebates.' |
Approved |
Yes |
3/12/2020 |
2/20/2020 |
SR-ISE-2020-01
Notice
& Approval
|
A proposal to amend the Exchanges Pricing Schedule at Options 7 |
Approved |
Yes |
2/13/2020 |
1/23/2020 |
rulebook-rulefilings-ise-2019rulebook-rulefilings-ise-2019
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-ISE-2019-33
Notice
& Approval
|
Proposal to amend Options 3, Section 3 (Minimum Trading Increments) to extend through June 30, 2020
or the date of permanent approval, if earlier, the Penny Pilot Program in options classes in certain
issues ('Penny Pilot' or 'Pilot'). |
Approved |
Yes |
1/9/2020 |
12/19/2019 |
SR-ISE-2019-32
Notice
& Approval
|
Proposal to adopt a Mass Cancellation rule and amend other sections of the
Rulebook |
Approved |
Yes |
1/20/2020 |
12/29/2019 |
SR-ISE-2019-31
Notice
& Approval
|
A proposal to adopt a new rule titled 'Off-Exchange RWA Transfers' at ISE Options 6, Section 6. |
Approved |
Yes |
1/20/2020 |
12/29/2019 |
SR-ISE-2019-30
Notice
& Approval
|
A proposal to make permanent certain options market rules that are linked to the
equity market Plan to Address Extraordinary Market Volatility. |
Approved |
Yes |
11/14/2019 |
10/24/2019 |
SR-ISE-2019-29
Notice
& Approval
|
Proposal to amend Options 3, Section 17, which sets forth the Exchanges optional Kill Switch risk
protection. |
Approved |
Yes |
11/24/2019 |
11/3/2019 |
SR-ISE-2019-28
Notice
& Approval
|
A Proposal to Extend the Nonstandard Expirations Pilot Program |
Approved |
Yes |
11/17/2019 |
10/27/2019 |
SR-ISE-2019-27
Notice
& Approval
|
A proposed rule to extend the pilot to permit the listing and trading of options based on 1/5 the
value of the Nasdaq-100 Index currently set to expire on November 4, 2019. |
Approved |
Yes |
11/17/2019 |
10/27/2019 |
SR-ISE-2019-26
Notice
& Approval
|
Proposal to amend the Exchange's Market Maker Plus program under Options 7,
Section 3. |
Approved |
Yes |
11/18/2019 |
10/28/2019 |
SR-ISE-2019-24
Notice
& Approval
|
Proposal to amend its Rulebook and By-Laws |
Approved |
Yes |
10/29/2019 |
10/8/2019 |
SR-ISE-2019-23
Notice
& Approval
|
Proposal to amend Options 3 at Section 4, 'Acceptance of Quotes and Orders,' adopt
a new Section 5, 'Entry and Display of Single-Leg Orders,' Section 7, 'Types of Order,' at
Supplementary Material .03 and Section 22 titled 'Limitations on Orders.' The Exchange proposes to
amend Options 3, Section 15, 'Simple Order Risk Protections' and Supplementary Material of Options
5, Section 2, 'Order Protection.' |
Approved |
Yes |
10/27/2019 |
10/6/2019 |
SR-ISE-2019-21
Notice
& Approval
|
Proposal to amend ISE's Priority of Quotes and Orders rules. |
Approved |
Yes |
10/8/2019 |
9/17/2019 |
SR-ISE-2019-20
Notice
& Approval
|
A proposal to amend Options 2 (Options Market Participants) and Options 3 (Options
Trading Rules) relating to certain order types. |
Approved |
Yes |
8/12/2019 |
7/22/2019 |
SR-ISE-2019-19
Notice
& Approval
|
A proposal to amend its rules to extend a pilot program to quote and to trade certain options
classes in penny increments (Penny Pilot). |
Approved |
Yes |
7/17/2019 |
6/26/2019 |
SR-ISE-2019-18
Notice
& Approval
|
Proposed rule to extend to November 4, 2019, the pilot to permit the listing and
trading of options based on 1/5 the value of the Nasdaq-100 Index (NQX Index Options pilot). |
Approved |
Yes |
7/4/2019 |
6/13/2019 |
SR-ISE-2019-17
Notice
& Approval
|
Proposal to relocate the ISE rules from their current place in the Rulebook into the new Rulebook
shell. |
Approved |
Yes |
7/14/2019 |
6/23/2019 |
SR-ISE-2019-16
Notice
& Approval
|
Proposal to amend the Exchange rules to allow one dollar or greater strike price
intervals for options listed on the PowerShares QQQ Trust and the iShares Russell 2000 Index Fund.
|
Approved |
Yes |
6/24/2019 |
6/3/2019 |
SR-ISE-2019-15
Notice
& Approval
|
A proposal to amend the Exchange's Market Maker Plus program under Options 7, Section 3 |
Approved |
Yes |
6/19/2019 |
5/29/2019 |
SR-ISE-2019-14
Notice
& Approval
|
A proposal to amend its rules governing the give up of a Clearing Member by a
Member on Exchange transactions. |
Approved |
Yes |
6/12/2019 |
5/22/2019 |
SR-ISE-2019-12
Notice
& Approval
|
A proposal to delete the Exchange's current Registration, Qualification and Continuing Education
rules and, under the 1200 Series (Rules 1210 through 1250), and incorporate by reference The Nasdaq
Stock Market LLC's rules at General 4 into General 4 of the Exchange's rulebook's shell structure
|
Approved |
Yes |
5/22/2019 |
5/1/2019 |
SR-ISE-2019-11
Notice
& Approval
|
A proposal to extend the pilot period for the Exchange's nonstandard expirations
pilot program |
Approved |
Yes |
5/13/2019 |
4/22/2019 |
SR-ISE-2019-10
Notice
& Approval
|
Proposal to extend the pilot to the close of business on October 18, 2019, for certain options
market rules that are linked to the equity market Plan to Address Extraordinary Market Volatility.
|
Approved |
Yes |
5/7/2019 |
4/16/2019 |
SR-ISE-2019-09
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule in Options 7 to (1) establish a
per contract surcharge for Priority Customer complex orders in SPY that leg into the regular order
book; and (2) amend its QCC and Solicitation Rebate program to provide an additional rebate per
originating contract side to qualifying members. |
Approved |
Yes |
5/8/2019 |
4/17/2019 |
SR-ISE-2019-08
Notice
& Approval
|
Proposal to amend Supplementary Material .01 to Rule 710 Minimum Increments to specify replacement
issues that may be added to the Penny Pilot on a quarterly basis without altering the expiration
date of the Pilot which is June 30 2019 |
Approved |
Yes |
4/24/2019 |
4/3/2019 |
SR-ISE-2019-07
Notice
& Approval
|
Proposal to amend the Market Maker Plus program under Options 7, Section 3. |
Approved |
Yes |
4/17/2019 |
3/27/2019 |
SR-ISE-2019-06
Notice
& Approval
|
A proposed rule change to extend the delay for re-introduction of legging functionality for
Stock-Option Orders. |
Approved |
Yes |
4/9/2019 |
3/19/2019 |
SR-ISE-2019-05
Notice
& Approval
|
A proposed rule change to no longer offer Complex Order quoting functionality or
legging functionality for Stock-Option Orders on ISE |
Approved |
Yes |
4/8/2019 |
3/18/2019 |
SR-ISE-2019-03
Notice
& Approval
|
A proposal to amend the Market Maker Plus program under Options 7, Section 3 |
Approved |
Yes |
4/8/2019 |
3/18/2019 |
SR-ISE-2019-02
Notice
& Approval
|
Proposal to amend ISE Rule 2009, 'Terms of Index Option Contracts,' to amend
certain expiration timeframes and make a technical correction to the rule. |
Approved |
Yes |
3/25/2019 |
3/4/2019 |
SR-ISE-2019-01
Notice
& Approval
|
Proposal to amend the pilot period for the Exchange's nonstandard expirations pilot program,
currently set to expire on February 1, 2019. |
Approved |
Yes |
2/27/2019 |
2/6/2019 |
rulebook-rulefilings-ise-2018
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-ISE-2018-102
Notice
& Approval
|
Proposed rule change to amend the Exchange's provisions for excluding a day from its pricing tier
calculations. |
Approved |
Yes |
2/22/2019 |
2/7/2019 |
SR-ISE-2018-101
Resubmission
Notice
& Approval
|
Proposal to amend the Exchange's rules to extend a pilot program to quote and to
trade certain options classes in penny increments. |
Approved |
Yes |
2/21/2019 |
1/31/2019 |
SR-ISE-2018-100
Notice
& Approval
|
A proposal to amend Supplementary Material .02 to Rule 715, which relates to Cancel and Replace
Orders, to correct an inadvertent error in the rule text. |
Approved |
Yes |
1/18/2019 |
12/28/2018 |
SR-ISE-2018-99
Notice
& Approval
|
A proposal to delete the Exchange's existing rules on colocation, connectivity,
and direct connectivity, under General 8, and incorporate by reference into General 8 The Nasdaq
Stock Market LLC's rules on colocation, connectivity, and direct connectivity, |
Approved |
Yes |
1/22/2019 |
12/31/2018 |
SR-ISE-2018-98
Notice
& Approval
|
A proposal to amend Rule 805(b) relating to Market Makers trading in non-appointed options classes.
|
Approved |
Yes |
1/17/2019 |
12/27/2018 |
SR-ISE-2018-97
Notice
& Approval
|
A proposal to amend Supplementary Material .02 to Rule 715 regarding Cancel and
Replace Orders. |
Approved |
Yes |
1/2/2019 |
12/12/2018 |
SR-ISE-2018-96
Notice
& Approval
|
A proposal to amend ISE Rule 701, entitled "Opening," ISE Rule 803, entitled "Obligations of Market
Makers" and ISE Rule 100, entitled "Definitions |
Approved |
Yes |
1/2/2019 |
12/12/2018 |
SR-ISE-2018-95
Notice
& Approval
|
A proposal to amend Supplementary Material .07 to ISE Rule 722, which relates to
Complex Orders, to correct inadvertent errors in the rule text. |
Approved |
Yes |
12/26/2018 |
12/6/2018 |
SR-ISE-2018-93
Notice
& Approval
|
Proposal to amend ISE Rule 506 Long Term Options Contracts. |
Approved |
Yes |
12/11/2018 |
11/20/2018 |
SR-ISE-2018-92
Notice
& Approval
|
A proposal to clarify General 8 of the Exchange's Rules. |
Approved |
Yes |
12/7/2018 |
11/16/2018 |
SR-ISE-2018-91
Notice
& Approval
|
A proposal to delete ISE Section 22 of the Rulebook entitled "Rate-Modified Foreign Currency Options
Rules. |
Approved |
Yes |
11/28/2018 |
11/7/2018 |
SR-ISE-2018-90
Notice
& Approval
|
A proposal to amend its rules related to Market Maker (i.e., Primary Market Maker
and Competitive Market Maker) quoting obligations |
Approved |
Yes |
12/11/2018 |
11/20/2018 |
SR-ISE-2018-89
Notice
& Approval
|
Proposal to (a) relocate the ISE Schedule of Fees and current Rule 213 to the Exchange's rulebook's
shell structure, and (b) make conforming cross-reference changes throughout the Rulebook. |
Approved |
Yes |
11/28/2018 |
11/7/2018 |
SR-ISE-2018-88
Notice
& Approval
|
A proposal to amend ISE Rule 2008, Trading Sessions, Section (g), Pricing When
Primary Market Does Not Open |
Approved |
Yes |
11/30/2018 |
11/9/2018 |
SR-ISE-2018-87
Notice
& Approval
|
Proposal to amend the Exchanges Schedule of Fees to modify the Crossing Fee Cap. |
Approved |
Yes |
11/21/2018 |
10/31/2018 |
SR-ISE-2018-86
Notice
& Approval
|
A proposal to amend Rule 303 (Approval to Operate Multiple Memberships). |
Approved |
Yes |
11/16/2018 |
10/26/2018 |
SR-ISE-2018-85
Notice
& Approval
|
Proposal to delete the current rules on arbitration under Chapter 18 and incorporate by reference
The Nasdaq Stock Market LLC rules on arbitration at General 6 into General 6 of the Exchange
rulebook shell structure |
Approved |
Yes |
11/20/2018 |
10/30/2018 |
SR-ISE-2018-83
Notice
& Approval
|
Proposal to amend certain maker taker fees in Section I of the Exchanges Schedule
of Fees. |
Approved |
Yes |
11/7/2018 |
10/17/2018 |
SR-ISE-2018-82
Resubmission
Notice
& Approval
|
Proposal to amend, reorganize and enhance its membership, registration and qualification rules and
to make conforming changes to certain other rules. |
Approved |
Yes |
11/5/2018 |
10/15/2018 |
SR-ISE-2018-81
Notice
& Approval 2
|
Proposal to establish new pricing for Flash Orders within Section I of the
Schedule of Fees and eliminate Section IV.G. of the Exchange's Schedule of Fees. |
Approved |
Yes |
10/30/2018 |
10/9/2018 |
SR-ISE-2018-80
Notice
& Approval
|
A proposal to amend ISE Rules 100(a)(5) which contains definitions, Rule 711, "Acceptance of Quotes
and Orders" and Rule 714, "Automatic Execution of Orders". |
Approved |
Yes |
10/17/2018 |
9/26/2018 |
SR-ISE-2018-79
Notice
& Approval
|
Proposal to conform the Exchange's By-Law provisions regarding the Chief
Regulatory Officer to those of its affiliate, Nasdaq PHLX LLC. |
Approved |
Yes |
10/16/2018 |
9/25/2018 |
SR-ISE-2018-76
Notice
& Approval
|
A proposal to amend the Exchange's Schedule of Fees to permit certain affiliated market participants
to aggregate volume and qualify for various pricing incentives |
Approved |
Yes |
10/2/2018 |
9/11/2018 |
SR-ISE-2018-72
Notice
& Approval
|
Proposal to amend the Schedule of Fees at Section II, entitled "Complex Orders
Fees and Rebates." |
Approved |
Yes |
9/10/2018 |
8/20/2018 |
SR-ISE-2018-70
Notice
& Approval
|
Proposal to revise ISE's Schedule of Fees to amend its Options Regulatory Fee. |
Approved |
Yes |
9/4/2018 |
8/13/2018 |
SR-ISE-2018-69
Notice
& Approval
|
Proposed rule change to amend the ISE Schedule of Fees to increase the Regular
Order Take Fee in SPY, QQQ, IWM, and VXX for Priority Customers; and not pay the "Customer to
Customer" Orders rebate for QCC and solicited orders between two Priority Customer |
Approved |
Yes |
9/4/2018 |
8/13/2018 |
SR-ISE-2018-66
Resubmission
Notice
& Approval
|
Proposed Rule Change to Clarify How the Exchange Currently Charges Crossing Orders in NQX |
Approved |
Yes |
9/7/2018 |
8/17/2018 |
SR-ISE-2018-65
Notice
& Approval
|
A proposed rule change to codify the definitions of the protocols that Members can
use to enter quotes and orders on the Exchange |
Approved |
Yes |
8/23/2018 |
8/2/2018 |
SR-ISE-2018-63
Notice
& Approval
|
A proposal to amend the Exchange's Schedule of Fees |
Approved |
Yes |
8/14/2018 |
7/24/2018 |
SR-ISE-2018-62
Notice
& Approval
|
A proposal to amend ISE Rule 723, entitled "Price Improvement Mechanism for
Crossing Transactions." |
Approved |
Yes |
8/10/2018 |
7/20/2018 |
SR-ISE-2018-61
Notice
& Approval
|
A proposal to amend the Exchange's Schedule of Fees. |
Approved |
Yes |
8/10/2018 |
7/20/2018 |
SR-ISE-2018-59
Resubmission
Notice
& Approval
|
Proposal to align ISE's existing investigatory and disciplinary processes and
related rules with the investigatory and disciplinary processes and associated rules of Nasdaq BX,
Inc |
Approved |
Yes |
|
7/31/2018 |
SR-ISE-2018-57
Notice
& Approval
|
Proposal to amend Exchange rules to extend through December 31, 2018 a pilot program to quote and to
trade certain options classes in penny increments ("Penny Pilot Program"). |
Approved |
Yes |
7/24/2018 |
7/3/2018 |
SR-ISE-2018-56
Resubmission
Notice
SEC
Extension
Amendment 1
Approval
|
Proposal to amend Exchange rules related to Complex Orders. |
Approved |
Yes |
7/30/2018 |
7/9/2018 |
SR-ISE-2018-55
Notice
& Approval
|
Proposal to adopt new order type protections, Butterfly and Box Spread protections, for Complex
Order strategy trades. |
Approved |
Yes |
7/16/2018 |
6/25/2018 |
SR-ISE-2018-54
Notice
& Approval
|
Proposal to relocate the Exchange's rules pertaining to co-location and direct
connectivity to the Exchange's new rulebook shell at new General 8, Sections 1 and 2. |
Approved |
Yes |
7/17/2018 |
6/26/2018 |
SR-ISE-2018-53
Notice
& Approval
|
Proposal to amend Rule 412, entitled "Position Limits" at Supplementary Material .01 and Rule 414,
entitled "Exercise Limits" at Supplementary Material .01, to amend position limits for options on
the SPDR® S&P 500® exchange-traded fund, which list and tr |
Approved |
Yes |
|
6/18/2018 |
SR-ISE-2018-52
Notice
& Approval
|
A proposal to increase certain route-out fees set forth in Section IV.F of the
Schedule of Fees |
Approved |
Yes |
7/11/2018 |
6/20/2018 |
SR-ISE-2018-51
Notice
& Approval
|
Proposal to amend the Schedule of Fees related to Complex Orders traded on the Exchange. |
Approved |
Yes |
7/11/2018 |
6/20/2018 |
SR-ISE-2018-50
Notice
& Approval
|
Proposed rule change to amend certain Market Maker fees for Regular Orders in
Non-Select Symbols and FX Options. |
Approved |
Yes |
7/9/2018 |
6/18/2018 |
SR-ISE-2018-48
Notice
& Approval
|
A proposal to amend and reorganize Chapter V of the ISE Schedule of Fees |
Approved |
Yes |
|
6/8/2018 |
SR-ISE-2018-47
Notice
& Approval
|
A proposal to memorialize its order and execution information into ISE Rule 718,
entitled "Data Feeds." |
Approved |
Yes |
6/21/2018 |
5/31/2018 |
SR-ISE-2018-46
Notice
& Approval
|
A proposal to amend the Schedule of Fees related to Complex Orders traded on the Exchange. |
Approved |
Yes |
6/19/2018 |
5/29/2018 |
SR-ISE-2018-45
Notice
& Approval
|
A proposed rule change to amend Supplementary Material .03 to Rule 804 to enhance
anti-internalization functionality. |
Approved |
Yes |
6/13/2018 |
5/23/2018 |
SR-ISE-2018-44
Resubmission
Notice
& Approval
|
Proposal to amend Supplementary Material to Rule 706 to harmonize its sponsored access rules with
those of its affiliates |
Approved |
Yes |
6/11/2018 |
5/21/2018 |
SR-ISE-2018-42
Notice
& Approval
|
A proposal to amend the Exchanges Schedule of Fees |
Approved |
Yes |
6/12/2018 |
5/22/2018 |
SR-ISE-2018-40
Notice
& Approval
|
A proposed rule change to extend the delay for re-introduction of functionality which permits
concurrent complex order auctions in the same complex strategy by an additional one year |
Approved |
Yes |
5/22/2018 |
5/1/2018 |
SR-ISE-2018-39
Resubmission
Notice
& Approval
|
A proposal to amend ISE Rules 412, Position Limits, and 414, Exercise Limits, to
increase the position and exercise limits for options on the following exchange traded funds
("ETFs"): iShares China Large-Cap ETF ("FXI"), iShares MSCI EAFE ETF ("EFA"), iSh |
Approved |
Yes |
|
5/8/2018 |
SR-ISE-2018-38
Notice
& Approval
|
Proposal to amend the Exchange's Schedule of Fees to add pricing for P.M. settled options on
broad-based indexes with nonstandard expiration dates. |
Approved |
Yes |
5/29/2018 |
5/7/2018 |
SR-ISE-2018-37
Notice
& Approval
|
Proposal to amend ISE's Schedule of Fees at Section I, entitled "Regular Order
Fees and Rebates." |
Approved |
Yes |
5/22/2018 |
5/1/2018 |
SR-ISE-2018-36
Notice
& Approval
|
Proposed rule change to amend the Market Maker Plus program under the Schedule of Fees. |
Approved |
Yes |
5/22/2018 |
5/1/2018 |
SR-ISE-2018-35
Notice
& Approval
|
A proposal to incorporate by reference The Nasdaq Stock Market LLC rule at General
7, entitled "Consolidated Audit Trail Compliance" into ISE's General 7. |
Approved |
Yes |
|
4/26/2018 |
SR-ISE-2018-32
Notice
& Approval
|
A proposed rule change to codify within Rule 718, which rule is currently reserved, the data feeds
that are currently offered on ISE. |
Approved |
Yes |
|
4/19/2018 |
SR-ISE-2018-30
Notice
& Approval
|
A proposal to amend ISE Rules 700, Days and Hours of Business, at Section (c);
2008, Days and Hours of Business; and 2009, Terms of Index Option Contracts, Supplementary Material
.07, Nonstandard Expirations Pilot Program. |
Approved |
Yes |
|
4/12/2018 |
SR-ISE-2018-29
Notice
& Approval
|
Proposal to extend the delay for re-introduction of functionality which permits Market Makers to
enter quotes on certain symbols for complex strategies on the complex order book in their appointed
options classes by an additional one year. |
Approved |
Yes |
|
4/11/2018 |
SR-ISE-2018-28
Notice
& Approval
|
A proposal to amend the Exchange's Schedule of Fees to provide greater clarity as
to how the Exchange currently charges complex orders executed during an exposure auction pursuant to
Rule 722(b)(3)(iii) |
Approved |
Yes |
|
4/11/2018 |
SR-ISE-2018-27
Notice
& Approval
|
A proposal to amend the Exchange's Schedule of Fees to modify the rebates it provides to Members
that send unsolicited Crossing Orders to the Exchange. |
Approved |
Yes |
|
4/11/2018 |
SR-ISE-2018-24
Notice
& Approval
|
Proposal to amend Chapter VI.E of the Exchange's Schedule of Fees to harmonize it
with the rules and schedules of its sister exchanges. |
Approved |
Yes |
|
4/10/2018 |
SR-ISE-2018-21
Notice
& Approval
|
A proposed rule change to extend the delay for re-introduction of legging functionality for
Stock-Option Orders on INET by an additional year. |
Approved |
Yes |
4/24/2018 |
4/3/2018 |
SR-ISE-2018-20
Notice
& Approval
|
A proposed rule change to amend the Market Maker Plus program in the Schedule of
Fees. |
Approved |
Yes |
4/17/2018 |
3/27/2018 |
SR-ISE-2018-16
Notice
Amendment
1
SEC Extension
Approval
|
Proposed Rule Change to Introduce the ATR Protection for Orders that are Routed to Away Markets |
Approved |
Yes |
|
3/14/2018 |
SR-ISE-2018-15
Notice
& Approval
|
Proposal to amend the Exchange's Schedule of Fees to remove obsolete text and
amend the current rule text to provide a more accurate description of the Gateway Fees which are
currently offered on ISE. |
Approved |
Yes |
3/20/2018 |
2/27/2018 |
SR-ISE-2018-14
Notice
& Approval
|
A proposal to amend INET Port Fees at Section V, D to indicate those fees are not prorated. |
Approved |
Yes |
3/14/2018 |
2/21/2018 |
SR-ISE-2018-13
Notice
& Approval
|
Proposal to expand the Short Term Option Series Program to allow Monday
expirations for options listed pursuant to the Short Term Option Series Program, including options
on the SPDR S&P 500 ETF Trust. |
Approved |
Yes |
3/13/2018 |
2/20/2018 |
SR-ISE-2018-12
Notice
& Approval
|
A proposal to memorialize functionality which is designed to assist Members in the event that they
lose communication with their assigned Specialized Quote Feed, Financial Information eXchange, or
Ouch to Trade Options Ports. |
Approved |
Yes |
3/13/2018 |
2/20/2018 |
SR-ISE-2018-10
Notice
& Approval
|
A proposal to amend the Exchanges Schedule of Fees. |
Approved |
Yes |
3/5/2018 |
2/12/2018 |
SR-ISE-2018-09
Notice
& Approval
|
A proposed rule change to relocate the Consolidated Audit Trail Compliance Rules. |
Approved |
Yes |
2/23/2018 |
2/2/2018 |
SR-ISE-2018-07
Notice
& Approval
|
Proposal to amend the Schedule of Fees to assess fees for OTTO Port, CTI Port, FIX
Port, FIX Drop Port and Disaster Recovery Port connectivity. |
Approved |
Yes |
2/20/2018 |
1/29/2018 |
SR-ISE-2018-06
Notice
& Approval 1
|
A proposal to amend Rule 502 (Criteria for Underlying Securities) to modify the criteria for listing
an option on an underlying covered security. |
Approved |
Yes |
2/20/2018 |
1/29/2018 |
SR-ISE-2018-04
Notice
& Approval
|
Proposal to amend ISE Rule 805 to permit Market Makers to enter additional order
types in the options classes to which they are appointed. |
Approved |
Yes |
2/13/2018 |
1/23/2018 |
SR-ISE-2018-03
Notice
& Approval
|
A proposed rule change to amend Rule 714(b)(4) (Price Level Protection) to specify that the Price
Level Protection only applies when there is no away market best bid or offer. |
Approved |
Yes |
2/6/2018 |
1/16/2018 |
rulebook-rulefilings-ise-2017
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-ISE-2017-113
Notice
& Approval
|
Proposal to amend the Exchange's Schedule of Fees at Chapter VIII, Section J, to introduce a monthly
fee of $1,000 for unlimited internal and/or external distribution of the Nasdaq ISE Trade Feed. |
Approved |
Yes |
2/6/2018 |
1/16/2018 |
SR-ISE-2017-112
Notice
& Approval
|
A proposal to amend certain non-transaction fees in the Exchange's Schedule of
Fees. |
Approved |
Yes |
2/1/2018 |
1/11/2018 |
SR-ISE-2017-111
Notice
Approval
|
A proposal to establish a Nonstandard Expirations Pilot Program on a pilot basis, for an initial
period of twelve months from the date of approval of this proposed rule change. |
Approved |
Yes |
|
1/12/2018 |
SR-ISE-2017-108
Notice
& Approval
|
A proposed rule change to amend the Schedule of Fees to clarify the Market Maker
Plus program |
Approved |
Yes |
1/18/2018 |
12/28/2017 |
SR-ISE-2017-107
Notice
& Approval
|
Proposed rule change to extend the Exchange's Penny Pilot Program. |
Approved |
Yes |
1/16/2018 |
12/26/2017 |
SR-ISE-2017-106
Notice
Amendment
1
SEC Extension
Approval
|
A proposed rule change to permit the listing and trading of options based on 1/5
the value of the Nasdaq-100 Index (NQX index options) on a twelve month pilot basis. |
Approved |
Yes |
1/16/2018 |
12/26/2017 |
SR-ISE-2017-104
Notice
& Approval
|
Proposal to amend Rule 701 to specify the obligations of a Primary Market Maker when entering Valid
Width Quotes during the Opening Process. |
Approved |
Yes |
1/10/2018 |
12/20/2017 |
SR-ISE-2017-103
Notice
& Approval
|
Proposed rule change to amend its Schedule of Fees to amend the calculation of the
Member Order Routing Program. |
Approved |
Yes |
1/10/2018 |
12/20/2017 |
SR-ISE-2017-102
Notice
& Approval
|
Proposal to amend the structure of the ISE rulebook. |
Approved |
Yes |
12/26/2017 |
12/5/2017 |
SR-ISE-2017-100
Notice
& Approval
|
Proposal to remove Directed Order functionality on ISE. |
Approved |
Yes |
12/18/2017 |
11/27/2017 |
SR-ISE-2017-99
Notice
& Approval
|
Proposal to amend Rule 713 to delete Supplementary Material .02, which no longer is applicable. |
Approved |
Yes |
12/18/2017 |
11/27/2017 |
SR-ISE-2017-98
Notice
& Approval
|
A proposed rule change to amend the Schedule of Fees for regular orders in Select
Symbols |
Approved |
Yes |
12/19/2017 |
11/28/2017 |
SR-ISE-2017-96
Resubmission
Notice
& Approval
|
Proposal to amend Rule 1614 entitled Imposition of Fines for Minor Rule Violations |
Approved |
Yes |
11/27/2017 |
11/6/2017 |
SR-ISE-2017-95
Resubmission
Notice
& Approval
|
Proposal to amend the Exchange's Schedule of Fees to clarify the Crossing Fee Cap.
|
Approved |
Yes |
1/3/2018 |
12/13/2017 |
SR-ISE-2017-94
Notice
& Approval
|
Proposal to memorialize an optional Kill Switch protection. |
Approved |
Yes |
11/24/2017 |
11/2/2017 |
SR-ISE-2017-93
Notice
& Approval
|
Proposed rule change to amend the Exchange's provisions for excluding a day from
its volume calculations for purposes of determining volume based pricing, and to adopt language that
allows the Exchange to remove a day from Market Maker Plus tiers whenever |
Approved |
Yes |
11/21/2017 |
10/31/2017 |
SR-ISE-2017-91
Notice
& Approval
|
Proposal to amend the Exchange's Schedule of Fees to: (i) delete fees and descriptions thereof for
connectivity no longer used by the Exchange; and (ii) add new fees for co-location services, direct
circuit connections to the Exchange, connections to thir |
Approved |
Yes |
11/15/2017 |
10/25/2017 |
SR-ISE-2017-88
Notice
& Approval
|
A proposed rule change to amend the Schedule of Fees to increase the Crossing Fee
Cap for members that do not commit in advance to paying the full Crossing Fee Cap at the end of each
month. |
Approved |
Yes |
11/13/2017 |
10/20/2017 |
SR-ISE-2017-87
Notice
& Approval
|
Proposal to amend the Exchange's Schedule of Fees to assess fees for Specialized Quote Feed and SQF
Purge Ports that Market Makers utilize to connect to the Exchange. |
Approved |
Yes |
11/13/2017 |
10/20/2017 |
SR-ISE-2017-86
Notice
& Approval
|
Proposal to amend Rule 723 (Price Improvement Mechanism for Crossing Transactions)
and Rule 1614 (Imposition of Fines for Minor Rule Violations) to remove obsolete rule text. |
Approved |
Yes |
11/8/2017 |
10/18/2017 |
SR-ISE-2017-85
Notice
& Approval
|
Proposal to remove obsolete rule text from the Schedule of Fees at Chapter VII, Section C, entitled
"Options Regulatory Fee." |
Approved |
Yes |
10/31/2017 |
10/10/2017 |
SR-ISE-2017-84
Notice
& Approval
|
A proposed rule change to amend Rule 716(c) to more accurately describe the
allocation methodology used in the Block Order Mechanism |
Approved |
Yes |
10/26/2017 |
10/5/2017 |
SR-ISE-2017-83
Notice
& Approval
|
A proposal to make non-substantive, clarifying changes to ISE's Rulebook and Schedule of Fees. |
Approved |
Yes |
10/10/2017 |
9/18/2017 |
SR-ISE-2017-82
Notice
& Approval
|
Proposed rule change to eliminate third party developer fees from the Schedule of
Fees. |
Approved |
Yes |
10/11/2017 |
9/20/2017 |
SR-ISE-2017-81
Notice
& Approval
|
A proposed rule change to amend its Schedule of Fees to increase the Priority Customer taker fee for
regular orders in SPY |
Approved |
Yes |
10/10/2017 |
9/19/2017 |
SR-ISE-2017-80
Notice
& Approval
|
A proposal to delay the implementation of SR-ISE-2017-32, and to make
non-substantive, technical amendments to the new By-Laws filed as part of that rule change proposal.
|
Approved |
Yes |
10/5/2017 |
9/14/2017 |
SR-ISE-2017-79
Notice
& Approval
|
A proposal to amend Supplementary Material .14 of Rule 504, entitled Series of Options Contracts
Open for Trading. |
Approved |
Yes |
9/11/2017 |
8/21/2017 |
SR-ISE-2017-78
Resubmission 1
Resubmission 2
Notice
& Approval
|
Proposal to amend ISE Rule 701, entitled "Opening." |
Approved |
Yes |
9/14/2017 |
8/24/2017 |
SR-ISE-2017-77
Notice
& Approval
|
A proposed rule change to amend its Schedule of Fees to (1) eliminate Priority Customer complex
order rebates for all net zero complex orders without any associated average daily volume
requirement, and (2) reduce the maker fee charged to Market Makers an |
Approved |
Yes |
9/5/2017 |
8/14/2017 |
SR-ISE-2017-76
Notice
& Approval
|
A proposal to amend Rule 720, Nullification and Adjustment of Options Transactions
including Obvious Errors. |
Approved |
Yes |
9/1/2017 |
8/11/2017 |
SR-ISE-2017-75
Notice
& Approval
|
Proposal to extend the implementation date set forth in Rule 723(b) from July 15, 2017 to August 15,
2017. |
Approved |
Yes |
8/22/2017 |
8/1/2017 |
SR-ISE-2017-73
Notice
& Approval
|
A proposed rule change to amend the schedule of fees relating to connectivity fees
for market makers. |
Approved |
Yes |
8/22/2017 |
8/1/2017 |
SR-ISE-2017-72
Notice
& Approval
|
Proposal to amend Exchange's rules to extend the pilot program that eliminated position and exercise
limits for physically-settled options on the SPY Pilot Program. |
Approved |
Yes |
8/3/2017 |
7/13/2017 |
SR-ISE-2017-71
Resubmission
Notice
& Approval
|
Proposal to revise ISE's Schedule of Fees to: (i) make adjustments to the amount
of the Options Regulatory Fee; (ii) more closely reflect the manner in which ISE assesses and
collects its ORF; and (iii) remove rule text related to the timing when the Exch |
Approved |
Yes |
9/5/2017 |
8/14/2017 |
SR-ISE-2017-69
Notice
& Approval
|
A proposed rule change to amend the Schedule of Fees to indicate the treatment of various symbols
which are migrating to INET technology in July 2017 |
Approved |
Yes |
8/10/2017 |
7/20/2017 |
SR-ISE-2017-67
Notice
& Approval
|
Proposal to correct a lettering issue with the ISE Rulebook. |
Approved |
Yes |
8/10/2017 |
7/20/2017 |
SR-ISE-2017-66
Notice
& Approval
|
Proposed rule change to amend the Schedule of Fees to eliminate fees and rebates for trades executed
on June 30, 2017 in INET Launch Symbols. |
Approved |
Yes |
8/8/2017 |
7/18/2017 |
SR-ISE-2017-65
Notice
& Approval
|
Proposed rule change to amend the Schedule of Fees to make changes to the Priority
Customer taker fees for regular orders in Select Symbols. |
Approved |
Yes |
8/4/2017 |
7/14/2017 |
SR-ISE-2017-63
Notice
& Approval
|
A proposed rule change to amend the Schedule of Fees to eliminate fees and rebates for trades in
iKang Healthcare Group Inc ("KANG") executed on June 27 - 30, 2017. |
Approved |
Yes |
8/4/2017 |
7/14/2017 |
SR-ISE-2017-62
Notice
& Approval
|
Proposed rule change to: (1) establish ports and gateways that members use to
connect to the Exchange with the migration of the Exchange's trading system to the Nasdaq INET
architecture, and (2) amend the Schedule of Fees to adopt fees for those ports and |
Approved |
Yes |
8/3/2017 |
7/13/2017 |
SR-ISE-2017-59
Notice
& Approval
|
A proposed rule change to amend Section III of the Schedule of Fees to eliminate FX Option fees and
rebates for trades executed on June 12 - 30, 2017. |
Approved |
Yes |
7/19/2017 |
6/28/2017 |
SR-ISE-2017-58
Notice
& Approval
|
Proposal to amend ISE Rule 715(b)(3) to specify an exception to the manner in
which Immediate-or-Cancel Orders will be handled by the System when entered through the Specialized
Quote Feed protocol. |
Approved |
Yes |
7/24/2017 |
7/3/2017 |
SR-ISE-2017-54
Notice
& Approval
|
A proposal to apply the Non-Priority Customer license surcharge set forth in Section IV.B of the
Schedule of Fees to orders that are routed to away markets. |
Approved |
Yes |
7/21/2017 |
6/30/2017 |
SR-ISE-2017-52
Notice
SEC
Extension
Amendment 1
Approval
|
Proposal to adopt Rule 912 (Consolidated Audit Trail - Fee Dispute Resolution) to
establish the procedures for resolving potential disputes related to CAT Fees charged to Industry
Members. |
Approved |
Yes |
7/14/2017 |
6/23/2017 |
SR-ISE-2017-51
Notice
& Approval
|
Proposal to remove Chapter 21, entitled "ISE Stock Exchange, LLC Trading Rules," from the ISE
Rulebook. |
Approved |
Yes |
7/5/2017 |
6/13/2017 |
SR-ISE-2017-49
Notice
& Approval
|
To amend its Schedule of Fees to (1) reduce the Priority Customer taker fee for
regular orders in SPY to $0.35 per contract, and (2) lower the threshold of net zero complex
contracts from 2,000 .contracts to 1,000 contracts. |
Approved |
Yes |
7/11/2017 |
6/20/2017 |
SR-ISE-2017-48
Notice
& Approval
|
A proposed rule change to amend its rules to extend a pilot program to quote and to trade certain
options classes in penny increments ("Penny Pilot Program"). |
Approved |
Yes |
6/27/2017 |
6/6/2017 |
SR-ISE-2017-47
Notice
& Approval
|
A proposed rule change to amend its Schedule of Fees to decrease rebates for
members that participate in the Member Order Routing Program. |
Approved |
Yes |
6/20/2017 |
5/30/2017 |
SR-ISE-2017-44
Notice
& Approval
|
Proposed rule change to delay the implementation of QCC with Stock Order functionality with the
migration to Nasdaq INET. |
Approved |
Yes |
6/14/2017 |
5/24/2017 |
SR-ISE-2017-42
Resubmission
Notice
& Approval
|
Proposal to amend Rule 804, entitled "Market Maker Quotations." |
Approved |
Yes |
7/11/2017 |
6/20/2017 |
SR-ISE-2017-41
Resubmission
Notice
& Approval
|
Proposal to amend the trading hours of Foreign Currency Index options and lower quoting obligations
for the Primary Market Maker |
Approved |
Yes |
6/20/2017 |
5/30/2017 |
SR-ISE-2017-39
Notice
& Approval
|
A proposed rule change to amend the Schedule of Fees to modify fees charged and
rebates provided for orders executed in the Price Improvement Mechanism. |
Approved |
Yes |
6/12/2017 |
5/22/2017 |
SR-ISE-2017-37
Notice
& Approval
|
Proposal to designate that no symbol will be eligible for Market Maker quotes in the complex order
book as symbols migrate to Nasdaq INET technology. |
Approved |
Yes |
6/1/2017 |
5/11/2017 |
SR-ISE-2017-35
Notice
& Approval
|
A proposal to amend the Exchange's Schedule of Fees to amend pricing related to
options overlying NDX and MNX. |
Approved |
Yes |
6/6/2017 |
5/16/2017 |
SR-ISE-2017-34
Resubmission
Notice
& Approval
|
Proposal to amend ISE Rule 804(h) regarding quote mitigation. |
Approved |
Yes |
5/26/2017 |
5/5/2017 |
SR-ISE-2017-33
Notice
& Approval
|
Proposed rule change to delay implementation of simultaneous complex order
auctions in connection with a system migration to Nasdaq INET technology. |
Approved |
Yes |
5/22/2017 |
5/1/2017 |
SR-ISE-2017-32
Notice
SEC
Extension
Amendment 1
Approval
|
In connection with the Merger, the Exchange proposes to adopt new organizational documents that set
forth a corporate governance framework and related processes that are substantially similar in all
material respects to those of the Nasdaq Exchanges. |
Approved |
Yes |
5/23/2017 |
5/2/2017 |
SR-ISE-2017-31
Notice
& Approval
|
A proposed rule change to amend Supplementary Material .03 to Rule 713 to change
the allocation entitlement for Preferred PMMs. |
Approved |
Yes |
5/9/2017 |
4/18/2017 |
SR-ISE-2017-30
Notice
& Approval
|
Proposal to amend Rule 720, entitled "Nullification and Adjustment of Options Transactions including
Obvious Errors," by adding a new Supplementary Material .05. |
Approved |
Yes |
5/8/2017 |
4/17/2017 |
SR-ISE-2017-28
Notice
& Approval
|
Proposal to delay the implementation of functionality associated with Stock-Option
Orders on ISE. |
Approved |
Yes |
4/21/2017 |
3/31/2017 |
SR-ISE-2017-27
Notice
& Approval
|
Proposal to request the decommission of Tick-Worse functionality and amend Rule 713, relating to the
priority of split price transactions. |
Approved |
Yes |
4/13/2017 |
3/23/2017 |
SR-ISE-2017-25
Resubmission
Notice
& Approval
|
Proposal to amend the Exchange's Second Amended and Restated Constitution, Third
Amended and Restated LLC Agreement, Rule Book, and Fee Schedule to rename itself Nasdaq ISE, LLC.
|
Approved |
Yes |
4/25/2017 |
4/4/2017 |
SR-ISE-2017-24
Notice
& Approval
|
Proposal to Amend Schedule of Fees to allow members to opt in to MORP for specific sessions rather
than on a member-wide basis. |
Approved |
Yes |
4/13/2017 |
3/23/2017 |
SR-ISE-2017-23
Notice
& Approval
|
A proposal to amend the Exchange's Schedule of Fees to: (i) eliminate the Priority
Customer complex order rebate for orders in the NASDAQ 100 Index option ("NDX") and in the Mini
Nasdaq 100 Index option ("MNX"); (ii) increase the Non-Priority Customer Lic |
Approved |
Yes |
4/11/2017 |
3/21/2017 |
SR-ISE-2017-22
Notice
& Approval
|
A proposed rule change to amend its Schedule of Fees to change the definition of net zero complex
order for purposes of determining eligibility for Priority Customer complex order rebates. |
Approved |
Yes |
4/7/2017 |
3/17/2017 |
SR-ISE-2017-20
Notice
& Approval
|
Proposal to correct a typographical error in ISE Rule 413. |
Approved |
Yes |
4/5/2017 |
3/15/2017 |
SR-ISE-2017-18
Notice
& Approval
|
Proposal to amend Rule 705 to harmonize Exchange liability caps and related reimbursement
requirements with those of NASDAQ BX, Inc., NASDAQ PHLX LLC and The NASDAQ Stock Market LLC. |
Approved |
Yes |
4/6/2017 |
3/16/2017 |
SR-ISE-2017-17
Notice
& Approval
|
A proposed rule change to amend the Schedule of Fees to modify the Qualified
Contingent Cross ("QCC") and Solicitation rebate tiers. |
Approved |
Yes |
4/5/2017 |
3/15/2017 |
SR-ISE-2017-16
Notice
& Approval
|
Proposal to amend the Exchange's Schedule of Fees, to make changes to the Market Maker Plus program,
Priority Customer regular order taker fees in Select Symbols, Priority Customer complex order
rebates in Select Symbols and Non-Select Symbols, and the |
Approved |
Yes |
4/5/2017 |
3/15/2017 |
SR-ISE-2017-15
Notice
& Approval
|
Proposal to delay the implementation of the Directed Orders functionality on ISE.
|
Approved |
Yes |
3/22/2017 |
3/1/2017 |
SR-ISE-2017-12
Notice
& Approval
|
Proposal to amend Rule 715 (Types of Orders) and Rule 721 (Crossing Orders) to codify its Qualified
Contingent Cross with Stock Order functionality. |
Approved |
Yes |
3/21/2017 |
2/28/2017 |
SR-ISE-2017-10
Notice
& Approval
|
A proposed rule change to amend the Exchange's Schedule of Fees to increase, for
all symbols other than FX Option Symbols, the fees applicable to Professional Customers for the
initiating or contra side of Qualified Contingent Cross orders or orders exe |
Approved |
Yes |
3/20/2017 |
2/27/2017 |
SR-ISE-2017-08
Notice
Amendment
1
Approval
|
Proposal to adopt Chapter 9 to implement the compliance rule regarding the National Market System
Plan Governing the Consolidated Audit Trail. |
Approved |
Yes |
3/2/2017 |
2/9/2017 |
SR-ISE-2017-03
Resubmission 1
Resubmission 2
Resubmission 3
Notice
Amendment
1
Approval
|
A proposal to amend various rules in connection with a system migration to Nasdaq
INET technology. |
Approved |
Yes |
3/20/2017 |
2/27/2017 |
SR-ISE-2017-02
Notice
Amendment
1
Approval
|
A proposal to amend the ISE opening process in connection with a technology migration to a Nasdaq,
Inc. supported architecture. |
Approved |
Yes |
2/23/2017 |
2/2/2017 |
SR-ISE-2017-01
Notice
& Approval
|
Proposal to amend the Exchange's fee schedule to eliminate the per contract fee
applicable to Professional Customers for the initiating or contra side of Qualified Contingent
Cross. |
Approved |
Yes |
2/14/2017 |
1/24/2017 |
rulebook-rulefilings-ise-2016
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-ISE-2016-32
Notice
& Approval
|
A proposal to amend its rules to extend a pilot program to quote and to trade certain options
classes in penny increments ("Penny Pilot"). |
Approved |
Yes |
1/30/2017 |
1/9/2017 |
SR-ISE-2016-31
Resubmission
Notice
Approval
|
Proposal to amend the Supplementary Material to ISE Rule 1901, titled "Order
Protection" in connection with a system migration to Nasdaq INET technology. |
Approved |
Yes |
1/20/2017 |
12/30/2016 |
SR-ISE-2016-30
Notice
& Approval
|
Proposal to amend ISE Rule 803 at Supplementary Information .02 in connection with business
continuity and disaster recovery plans testing requirements for certain Members in connection with
Regulation Systems Compliance and Integrity ("Reg SCI"). |
Approved |
Yes |
1/17/2017 |
12/27/2016 |
SR-ISE-2016-29
Notice
Approval
|
A proposal to amend ISE Rule 723, to make permanent the Price Improvement
Mechanism ("PIM") pilot and to change the requirements for providing price improvement for Agency
Orders of less than 50 option contracts. |
Approved |
Yes |
1/6/2017 |
12/16/2016 |
SR-ISE-2016-28
Notice
& Approval
|
A proposal to remove direct debit for market data products. |
Approved |
Yes |
1/11/2016 |
12/21/2016 |
SR-ISE-2016-27
Resubmission
Amendment
1
Notice
Approval
|
A Proposal to receive inbound orders and route outbound orders in options routed
through Nasdaq Execution Services, LLC (ISE replatform routing). |
Approved |
Yes |
1/19/2017 |
12/29/2016 |
SR-ISE-2016-26
Notice
Approval
|
Amend Rules 716 (Block Trades) and 723 (Price Improvement Mechanism for Crossing Transactions) to
reduce the response times in the Block Order Mechanism, Facilitation Mechanism, Solicited Order
Mechanism, and Price Improvement Mechanism. |
Approved |
Yes |
12/16/2016 |
11/25/2016 |
SR-ISE-2016-25
Notice
& Approval
|
Amend the Schedule of Fees to make changes to (1) the Market Maker Plus program in
SPY and QQQ, (2) Priority Customer taker fees in Select Symbols, and (3) the fee cap for strategy
orders. |
Approved |
Yes |
11/10/2016 |
10/20/2016 |
SR-ISE-2016-24
Amendment
1
Resubmission
Notice
& Approval
|
A proposal to adopt a new Rule 213 entitled, "Collection of Exchange Fees and Other Claims" to
require Members to provide a clearing account number at the National Securities Clearing
Corporation. |
Approved |
Yes |
10/27/2016 |
10/6/2016 |
SR-ISE-2016-23
Resubmission
Notice
& Approval
|
Proposal to amend a current billing practice with respect to billing disputes.
|
Approved |
Yes |
11/3/2016 |
10/13/2016 |
SR-ISE-2016-22
Notice
Amendment
1
Approval
|
A proposed rule change with respect to amendments of the By-Laws of its parent corporation, Nasdaq,
Inc., to implement proxy access. |
Approved |
Yes |
10/26/2016 |
10/5/2016 |
SR-ISE-2016-21
Resubmission
Notice
& Approval
|
A proposal to adopt a new rule to clearly prohibit disruptive quoting and trading
activity and allow the exchange prompt action. |
Approved |
Yes |
10/20/2016 |
9/29/2016 |
SR-ISE-2016-19
Notice
& Approval
|
A proposal to amend Exchange Rule 100(a)(37C) (Definitions) to add specificity to the definition of
a Professional with respect to the manner in which the volume threshold will be calculated. |
Approved |
Yes |
10/5/2016 |
9/14/2016 |
SR-ISE-2016-18
Resubmission
Notice
& Approval
|
Proposal to expand the Short Term Option Series Program to allow Wednesday
expirations for SPY options. |
Approved |
Yes |
9/23/2016 |
9/2/2016 |
SR-ISE-2016-17
Notice
& Approval
|
Proposed rule change to extend the PIM pilot. |
Approved |
Yes |
8/11/2016 |
7/21/2016 |
SR-ISE-2016-16
Notice
& Approval
|
Proposed Rule Change to Extend the SPY Pilot Program |
Approved |
Yes |
8/8/2016 |
7/18/2016 |
SR-ISE-2016-15
Notice
& Approval
|
Proposal to extend the penny pilot. |
Approved |
Yes |
7/28/2016 |
7/7/2016 |
SR-ISE-2016-14
Notice
& Approval
|
Proposed Rule Change to Amend the Schedule of Fees |
Approved |
Yes |
6/22/2016 |
6/1/2016 |
SR-ISE-2016-13
Notice
& Approval
|
Proposed Rule Change to Amend the Schedule of Fees |
Approved |
Yes |
6/8/2016 |
5/18/2016 |
SR-ISE-2016-11
Notice
Approval
|
Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect
Parent |
Approved |
Yes |
6/6/2016 |
5/16/2016 |
SR-ISE-2016-10
Notice
& Approval
|
Proposed Rule Change to Amend the Schedule of Fees |
Approved |
Yes |
5/27/2016 |
5/6/2016 |
SR-ISE-2016-09
Notice
& Approval
|
Proposed Rule Change to Amend the Schedule of Fees |
Approved |
Yes |
5/9/2016 |
4/18/2016 |
SR-ISE-2016-08
Notice
Approval
|
Proposed Rule Change Related to Market Wide Risk Protection |
Approved |
Yes |
4/27/2016 |
4/6/2016 |
SR-ISE-2016-07
Notice
& Approval
|
Proposed Rule Change to Eliminate the Strict Concentration Limits on Primary
Market Makers |
Approved |
Yes |
4/15/2016 |
3/25/2016 |
SR-ISE-2016-06
Notice
& Approval
|
Proposed Rule Change to Limit Mandatory Participation in Scheduled Functional and Performance
Testing Under Regulation SCI to Only Those Primary Market Makers That Meet Specified Criteria |
Approved |
Yes |
4/5/2016 |
3/15/2016 |
SR-ISE-2016-05
Notice
& Approval
|
Proposed Rule Change to Correct the Text of ISE Rule 313 |
Approved |
Yes |
3/18/2016 |
2/26/2016 |
SR-ISE-2016-04
Notice
& Approval
|
Proposed Rule Change to Amend the Schedule of Fees |
Approved |
Yes |
2/24/2016 |
2/3/2016 |
SR-ISE-2016-03
Notice
& Approval
|
Proposed Rule Change to Amend the Schedule of Fees |
Approved |
Yes |
2/17/2016 |
1/27/2016 |
SR-ISE-2016-02
Notice
& Approval
|
Proposed Rule Change Relating to Back-Up Primary Market Makers |
Approved |
Yes |
2/16/2016 |
1/26/2016 |
rulebook-rulefilings-ise-2015
|