Investors Exchange LLC (“IEX Exchange” or the “Exchange”) is a national securities exchange subject to regulation and oversight by the Securities and Exchange Commission (“SEC”) as a self-regulatory organization (“SRO”). As an SRO, the Exchange is responsible for enforcing its own and its members’ compliance with Exchange rules and applicable federal securities requirements.
This document provides an overview of IEX Exchange’s internal regulatory independence and confidentiality policy (the “Policy”). As set forth in the Policy, IEX Exchange’s regulatory group (“IEX Regulation”) is independent of the business and commercial interests of IEX Exchange and its affiliates in its decision-making and operations. IEX Regulation is comprised of the Chief Regulatory Officer (“CRO”) of the Exchange and employees who report to the CRO directly or indirectly. The CRO reports to the independent Regulatory Oversight Committee of the Exchange’s board of directors.