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NMS Plans Archive: 2005

We encourage the public to submit comments on the following National Market System (NMS) plans during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

*  Chronological List
*  File Number Lists
*  Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ)
*  File No. 4-208: Intermarket Trading System
*  File No. 4-429: Plan for the Purpose of Creating and Operating an Intermarket Option Linkage
*  File No. S7-24-89: Nasdaq UTP Plan
*  Options Price Reporting Authority (OPRA)

Additional Archives

Chronological List
Release No. Date Details

SR-OPRA-2005-03
34-52901 Dec. 6, 2005 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Provide that Classes of Foreign Currency Options Newly Introduced for Trading on the Philadelphia Stock Exchange Be Treated as Equity/Index Options During a Temporary Period Ending on December 31, 2007
See also:  Notice: Release No. 34-52710

SR-OPRA-2005-04
34-52900 Dec. 6, 2005 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information ("OPRA Plan") to Amend Guideline No. 1 of the Best Bid and Offer Guidelines Adopted Pursuant to the OPRA Plan
See also:  Notice: Release No. 34-52714

S7-24-89
34-52886 Dec. 5, 2005 Solicitation of Comments and Order Granting Summary Effectiveness to Request to Extend the Operation of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the National Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc. and to Extend Certain Exemptive Relief
Comments due:  January 4, 2006
* Submit comments on S7-24-89

SR-OPRA-2005-04
34-52714 Nov. 1, 2005 Notice of Filing of Proposed Amendment to the Best Bid and Offer Guidelines Adopted Pursuant to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information
See also:  Order: Release No. 34-52900
Comments due:  November 28, 2005

SR-OPRA-2005-03
34-52710 Nov. 1, 2005 Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Provide that Classes of Foreign Currency Options Newly Introduced for Trading on the Philadelphia Stock Exchange Be Treated as Equity/Index Options During a Temporary Period Ending on December 31, 2007
See also:  Order: Release No. 34-52901
Comments due:  November 28, 2005

4-429
34-52656 Oct. 24, 2005 Order Approving Amendment No. 16 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Defi nition of Firm Customer Quote Size and Limitations on Sending Secondary P/A Orders

4-429
34-52413 Sep. 13, 2005 Order Approving Amendment No. 15 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to a “Trade and Ship” Exception to the Definition of “Trade-Through” and a “Book and Ship” Exception to the Locked Markets Provision

4-429
34-52401 Sep. 9, 2005 Notice of Filing of Joint Amendment No. 16 to the Intermarket Option Linkage Plan Relating to the Definition of Firm Customer Quote Size and Restrictions on Sending Certain Principal Acting as Agent Orders
Comments due:  October 7, 2005
* Submit comments on File No. 4-429

4-429
34-52350 Aug. 26, 2005 Order Approving Amendment No. 17 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Regarding Modifying the 80/20 Test for Determining Limitations on Principal Order Access to Linkage

4-429
34-52167 Jul. 29, 2005 Notice of Filing of Amendment No. 15 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to a “Trade and Ship” Exception to the Definition of “Trade-Through” and a “Book and Ship” Exception to the Locked Markets Provision
Comments due:  August 30, 2005
* Submit comments on File No. 4-429

SR-OPRA-2005-02
34-52146 Jul. 28, 2005 Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Revise the Manner in which OPRA’s Professional Subscribers Fee at the Enterprise Rate is Determined
Comments due:  August 24, 2005
* Submit comments on SR-OPRA-2005-02

4-429
34-52074 Jul. 20, 2005 Notice Filing of Amendment No. 17 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Regarding Modifying the 80/20 Test for Determining Limitations on Principal Order Access to Linkage
Comments due:  August 17, 2005
* Submit comments on SR-NMS-4-429

4-208
34-52001 Jul. 8, 2005 Order Approving the Twenty First Amendment to the ITS Plan Relating to the Recognition of the Automatic Generation of Outgoing ITS Commitments

4-208
34-51755 May 27, 2005 Notice of Filing of the Twenty First Amendment to the ITS Plan Relating to the Recognition of the Automatic Generation of Outgoing ITS Commitments
Comments due:  June 27, 2005
* Submit comments on 4-208

4-429
34-51721 May 19, 2005 Order Approving Joint Amendment No. 14 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Limitation in Liability for Filling Satisfaction Orders Sent Through the Linkage at the End of the Trading Day

SR-OPRA-2005-01
34-51716 May 19, 2005 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Clarify How the Requirements of the OPRA Plan Pertaining to Vendors Apply to Persons Who Redistribute OPRA Data Over the Internet

SR-OPRA-2005-01
34-51514 Apr. 8, 2005 Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Clarify How the Requirements of the OPRA Plan Pertaining to Vendors Apply to Persons Who Redistribute OPRA Data Over the Internet
Comments due:  May 6, 2005
* Submit comments on SR-OPRA-2005-01

SR-CTA/CQ-2004-01
34-51391 Mar. 17, 2005 Order Approving the Seventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Fifth Substantive Amendment to the Restated Consolidated Quotation Plan

S7-24-89
34-51304 Mar. 2, 2005 Notice of Filing and Immediate Effectiveness of Amendment No. 14 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due:  April 4, 2005
* Submit comments on S7-24-89

S7-24-89
34-51292 Mar. 2, 2005 Order Extending for One Year the Operation of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc., and to Extend Certain Exemptive Relief

4-429
34-51108 Jan. 31, 2005 Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 14 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Limitation in Liability for Filling Satisfaction Orders Sent Through the Linkage at the End of the Trading Day, and Notice of Filing of Such Amendment
Comments due:  February 28, 2005
* Submit comments on 4-429

SR-CTA/CQ-2004-01
34-51012 Jan. 10, 2005 Notice of Filing of the Seventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Fifth Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due:  February 9, 2005
* Submit comments on SR-CTA/CQ-2004-01

SR-OPRA-2004-06
34-50973 Jan. 6, 2005 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Guideline 2 of the Capacity Guidelines Adopted in Accordance with the Plan

File Number Lists

Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ)

Release No. Date Details

SR-CTA/CQ-2004-01
34-51391 Mar. 17, 2005 Order Approving the Seventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Fifth Substantive Amendment to the Restated Consolidated Quotation Plan
34-51012 Jan. 10, 2005 Notice of Filing of the Seventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Fifth Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due:  February 9, 2005
* Submit comments on SR-CTA/CQ-2004-01

File No. 4-208: Intermarket Trading System
Release No. Date Details
34-52001 Jul. 8, 2005 Order Approving the Twenty First Amendment to the ITS Plan Relating to the Recognition of the Automatic Generation of Outgoing ITS Commitments
34-51755 May 27, 2005 Notice of Filing of the Twenty First Amendment to the ITS Plan Relating to the Recognition of the Automatic Generation of Outgoing ITS Commitments
Comments due:  June 27, 2005

File No. 4-429: Plan for the Purpose of Creating and Operating an Intermarket Option Linkage
Release No. Date Details
34-52656 Oct. 24, 2005 Order Approving Amendment No. 16 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Definition of Firm Customer Quote Size and Limitations on Sending Secondary P/A Orders
34-52413 Sep. 13, 2005 Order Approving Amendment No. 15 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to a “Trade and Ship” Exception to the Definition of “Trade-Through” and a “Book and Ship” Exception to the Locked Markets Provision
34-52401 Sep. 9, 2005 Notice of Filing of Joint Amendment No. 16 to the Intermarket Option Linkage Plan Relating to the Definition of Firm Customer Quote Size and Restrictions on Sending Certain Principal Acting as Agent Orders
Comments due:  October 7, 2005
* Submit comments on File No. 4-429
34-52350 Aug. 26, 2005 Order Approving Amendment No. 17 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Regarding Modifying the 80/20 Test for Determining Limitations on Principal Order Access to Linkage
34-52167 Jul. 29, 2005 Notice of Filing of Amendment No. 15 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to a “Trade and Ship” Exception to the Definition of “Trade-Through” and a “Book and Ship” Exception to the Locked Markets Provision
Comments due:  August 30, 2005
34-52074 Jul. 20, 2005 Notice Filing of Amendment No. 17 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Regarding Modifying the 80/20 Test for Determining Limitations on Principal Order Access to Linkage
Comments due:  August 17, 2005
34-51721 May 19, 2005 Order Approving Joint Amendment No. 14 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Limitation in Liability for Filling Satisfaction Orders Sent Through the Linkage at the End of the Trading Day
34-51108 Jan. 31, 2005 Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 14 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Limitation in Liability for Filling Satisfaction Orders Sent Through the Linkage at the End of the Trading Day, and Notice of Filing of Such Amendment
Comments due:  February 28, 2005

File No. S7-24-89: Nasdaq UTP Plan
Release No. Date Details
34-52886 Dec. 5, 2005 Solicitation of Comments and Order Granting Summary Effectiveness to Request to Extend the Operation of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the National Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc. and to Extend Certain Exemptive Relief
Comments due:  January 4, 2006
* Submit comments on S7-24-89
34-51304 Mar. 2, 2005 Notice of Filing and Immediate Effectiveness of Amendment No. 14 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due:  April 4, 2005
* Submit comments on S7-24-89
34-51292 Mar. 2, 2005 Order Extending for One Year the Operation of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc., and to Extend Certain Exemptive Relief

Options Price Reporting Authority (OPRA)
Release No. Date Details

SR-OPRA-2005-04
34-52900 Dec. 6, 2005 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information ("OPRA Plan") to Amend Guideline No. 1 of the Best Bid and Offer Guidelines Adopted Pursuant to the OPRA Plan
34-52714 Nov. 1, 2005 Notice of Filing of Proposed Amendment to the Best Bid and Offer Guidelines Adopted Pursuant to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information
Comments due:  November 28, 2005

SR-OPRA-2005-03
34-52901 Dec. 6, 2005 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Provide that Classes of Foreign Currency Options Newly Introduced for Trading on the Philadelphia Stock Exchange Be Treated as Equity/Index Options During a Temporary Period Ending on December 31, 2007
34-52710 Nov. 1, 2005 Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Provide that Classes of Foreign Currency Options Newly Introduced for Trading on the Philadelphia Stock Exchange Be Treated as Equity/Index Options During a Temporary Period Ending on December 31, 2007
Comments due:  November 28, 2005

SR-OPRA-2005-02
34-52146 Jul. 28, 2005 Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Revise the Manner in which OPRA’s Professional Subscribers Fee at the Enterprise Rate is Determined
Comments due:  August 24, 2005

SR-OPRA-2005-01
34-51716 May 19, 2005 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Clarify How the Requirements of the OPRA Plan Pertaining to Vendors Apply to Persons Who Redistribute OPRA Data Over the Internet
34-51514 Apr. 8, 2005 Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Clarify How the Requirements of the OPRA Plan Pertaining to Vendors Apply to Persons Who Redistribute OPRA Data Over the Internet
Comments due:  May 6, 2005
* Submit comments on SR-OPRA-2005-01

SR-OPRA-2004-06
34-50973 Jan. 6, 2005 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Guideline 2 of the Capacity Guidelines Adopted in Accordance with the Plan

 

http://www.sec.gov/rules/sro/nms/nmsarchive/nms2005.shtml


Modified: 09/17/2010