SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


NMS Plans Archive: 2006

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. 4-430: Decimal Trading in Subpennies
*  File No. S7-24-89: Nasdaq UTP Plan
*  File No. 4-516: Options Regulatory Surveillance Authority (ORSA)
*  File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS
*  File No. 4-524: NMS Linkage Plan by the NYSEALTR, BSE, CBOE, CHX, NASDAQ, NSE, NYSE and NYSE Arca
*  Options Price Reporting Authority (OPRA)

Additional Archives

Chronological List
Release No. Date Details
Fourth Quarter

S7-24-89
34-54988 Dec. 20, 2006 Solicitation of Comments and Order Granting Temporary 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 American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., the Nasdaq Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc., and to Request Permanent Approval of the Plan
Comments due:  January 18, 2007

S7-24-89
34-54936 Dec. 14, 2006 Notice of Filing and Effectiveness of Amendment No. 18 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 American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., the Nasdaq Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due:  January 10, 2007

SR-OPRA-2006-02
34-54870 Dec. 5, 2006 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 by Any of the Parties to the Plan Be Treated under the Provision "Special Temporary Provision for Newly Traded FCO Securities" During a Temporary Period Ending on December 31, 2007
Comments due:  December 28, 2006
See also:  Order: Rel. No. 34-55049

SR-CTA/CQ-2006-02
34-54588 Oct. 11, 2006 Notice of Filing and Immediate Effectiveness of the Tenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Seventh Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due:  November 8, 2006
Third Quarter

4-524
34-54551 Sep. 29, 2006 Order Approving NMS Linkage Plan Filed by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., The NASDAQ Stock Market LLC, National Stock Exchange, New York Stock Exchange LLC, NYSE Arca, Inc., and Philadelphia Stock Exchange, Inc.
See also:  Notice: Release No. 34-54239

4-518
34-54510 Sep. 26, 2006 Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 605 of Regulation NMS
Comments due:  November 1, 2006

S7-24-89
34-54426 Sep. 12, 2006 Notice of Filing and Effectiveness of Amendment No. 17 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 American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., The NASDAQ Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due:  October 10, 2006

4-518
34-54352 Aug. 23, 2006 Order Approving Amendment to Add The Nasdaq Stock Market LLC as Participant to Plan Establishing Procedures under Rule 605 of Regulation NMS See also:  Notice: Release No. 34-53691

4-429
34-54343 Aug. 21, 2006 Order Approving Joint Amendment No. 19 to the Intermarket Option Linkage Plan to Modify the Manner in which the Fee Applicable to New Participants Is Calculated See also:  Notice: Release No. 34-54001

4-524
34-54239 Jul. 28, 2006 Notice of Filing of the NMS Linkage Plan by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., The NASDAQ Stock Market LLC, National Stock Exchange, New York Stock Exchange LLC, and NYSE Arca, Inc.
Comments due:  August 25, 2006
* Submit comments on File No. 4-524
Second Quarter

SR-CTA/CQ-2006-01
34-54038 Jun. 23, 2006 Notice of Filing and Immediate Effectiveness of the Eighth and Ninth Substantive Amendments to the Second Restatement of the Consolidated Tape Association Plan and the Sixth Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due:  July 21, 2006

4-429
34-54001 Jun. 15, 2006 Notice of Filing of Joint Amendment No. 19 to the Intermarket Option Linkage Plan to Modify the Manner in which the Participation Fee Applicable to New Participants is Calculated
Comments due:  July 13, 2006

4-516
34-53940 Jun. 5, 2006 Order Approving Options Regulatory Surveillance Authority Plan by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, International Securities Exchange, Inc., Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.) and Philadelphia Stock Exchange, Inc.
See also:  Notice: Release No. 34-53589

4-208
34-53763 May 5, 2006 Notice of Filing and Immediate Effectiveness of the Twenty Third Amendment to the ITS Plan Relating to the Interaction of Chicago Stock Exchange, Inc. with ITS, the Change in Opening of Trading in a Halted Security, and the Change in Name from the New York Stock Exchange, Inc. to New York Stock Exchange LLC and from Pacific Exchange, Inc. to NYSE Arca, Inc.
Comments due:  June 2, 2006

SR-OPRA-2006-01
34-53753 May 2, 2006 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 OPRA’s Professional Subscriber Agreement and Its Direct Circuit Connection Rider and Indirect Circuit Connection Rider
Comments due:  May 31, 2006

4-208
34-53733 Apr. 27, 2006 Notice of Filing and Immediate Effectiveness of the Twenty Second Amendment to the ITS Plan Relating to the Change in Name from the Cincinnati Stock Exchange, Inc., to the National Stock Exchange and to the Admission of the NASDAQ Stock Market LLC as an ITS Participant
Comments due:  May 26, 2006

4-518
34-53691 Apr. 20, 2006 Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 605 of Regulation NMS
Comments due:  May 30, 2006

4-516
34-53589 Apr. 4, 2006 Notice of Filing of Options Regulatory Surveillance Authority Plan by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, International Securities Exchange, Inc., Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.) and Philadelphia Stock Exchange, Inc.
* ORSA Plan
Comments due:  May 1, 2006
See also:  Order: Release No. 34-53940
First Quarter

S7-24-89
34-53250 Feb. 7, 2006 Order Granting Approval of Category 1 Changes from Amendment No. 13 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.

S7-24-89
34-53131 Jan. 17, 2006 Notice of Filing and Immediate Effectiveness of Amendment Nos. 15 and 16 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 National Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due:  February 14, 2006

File Number Lists

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

Release No. Date Details

SR-CTA/CQ-2006-02
34-54588 Oct. 11, 2006 Notice of Filing and Immediate Effectiveness of the Tenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Seventh Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due:  November 8, 2006

SR-CTA/CQ-2006-01
34-54038 Jun. 23, 2006 Notice of Filing and Immediate Effectiveness of the Eighth and Ninth Substantive Amendments to the Second Restatement of the Consolidated Tape Association Plan and the Sixth Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due:  July 21, 2006

File No. 4-208: Intermarket Trading System
Release No. Date Details
34-53763 May 5, 2006 Notice of Filing and Immediate Effectiveness of the Twenty Third Amendment to the ITS Plan Relating to the Interaction of Chicago Stock Exchange, Inc. with ITS, the Change in Opening of Trading in a Halted Security, and the Change in Name from the New York Stock Exchange, Inc. to New York Stock Exchange LLC and from Pacific Exchange, Inc. to NYSE Arca, Inc.
Comments due:  June 2, 2006
34-53733 Apr. 27, 2006 Notice of Filing and Immediate Effectiveness of the Twenty Second Amendment to the ITS Plan Relating to the Change in Name from the Cincinnati Stock Exchange, Inc., to the National Stock Exchange and to the Admission of the NASDAQ Stock Market LLC as an ITS Participant
Comments due:  May 26, 2006

File No. 4-429: Plan for the Purpose of Creating and Operating an Intermarket Option Linkage
Release No. Date Details
34-54343 Aug. 21, 2006 Order Approving Joint Amendment No. 19 to the Intermarket Option Linkage Plan to Modify the Manner in which the Fee Applicable to New Participants Is Calculated
34-54001 Jun. 15, 2006 Notice of Filing of Joint Amendment No. 19 to the Intermarket Option Linkage Plan to Modify the Manner in which the Participation Fee Applicable to New Participants is Calculated
Comments due:  July 13, 2006

File No. 4-430: Decimal Trading in Subpennies
Release No. Date Details
No proposals were posted to web.

File No. S7-24-89: Nasdaq UTP Plan
Release No. Date Details

S7-24-89
34-54988 Dec. 20, 2006 Solicitation of Comments and Order Granting Temporary 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 American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., the Nasdaq Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc., and to Request Permanent Approval of the Plan
Comments due:  January 18, 2007

S7-24-89
34-54936 Dec. 14, 2006 Notice of Filing and Effectiveness of Amendment No. 18 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 American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., the Nasdaq Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due:  January 10, 2007
34-54426 Sep. 12, 2006 Notice of Filing and Effectiveness of Amendment No. 17 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 American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., The NASDAQ Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due:  October 10, 2006
34-53250 Feb. 7, 2006 Order Granting Approval of Category 1 Changes from Amendment No. 13 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.
34-53131 Jan. 17, 2006 Notice of Filing and Immediate Effectiveness of Amendment Nos. 15 and 16 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 National Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due:  February 14, 2006

File No. 4-516: Options Regulatory Surveillance Authority (ORSA)
Release No. Date Details

File No. 4-516
34-53940 Jun. 5, 2006 Order Approving Options Regulatory Surveillance Authority Plan by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, International Securities Exchange, Inc., Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.) and Philadelphia Stock Exchange, Inc.
See also:  Notice: Release No. 34-53589
34-53589 Apr. 4, 2006 Notice of Filing of Options Regulatory Surveillance Authority Plan by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, International Securities Exchange, Inc., Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.) and Philadelphia Stock Exchange, Inc.
Comments due:  May 1, 2006
* ORSA Plan

File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS
Release No. Date Details

4-518
34-54510 Sep. 26, 2006 Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 605 of Regulation NMS
Comments due:  November 1, 2006
34-54352 Aug. 23, 2006 Order Approving Amendment to Add The Nasdaq Stock Market LLC as Participant to Plan Establishing Procedures under Rule 605 of Regulation NMS
34-53691 Apr. 20, 2006 Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 605 of Regulation NMS
Comments due:  May 30, 2006

File No. 4-524: NMS Linkage Plan by the NYSEALTR, BSE, CBOE, CHX, NASDAQ, NSE, NYSE and NYSE Arca
Release No. Date Details

4-524
34-54551 Sep. 29, 2006 Order Approving NMS Linkage Plan Filed by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., The NASDAQ Stock Market LLC, National Stock Exchange, New York Stock Exchange LLC, NYSE Arca, Inc., and Philadelphia Stock Exchange, Inc.
34-54239 Jul. 28, 2006 Notice of Filing of the NMS Linkage Plan by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., The NASDAQ Stock Market LLC, National Stock Exchange, New York Stock Exchange LLC, and NYSE Arca, Inc.
Comments due:  August 25, 2006

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

SR-OPRA-2006-02
34-54870 Dec. 5, 2006 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 by Any of the Parties to the Plan Be Treated under the Provision "Special Temporary Provision for Newly Traded FCO Securities" During a Temporary Period Ending on December 31, 2007
Comments due:  December 29, 2006
See also:  Order: Rel. No. 34-55049

SR-OPRA-2006-01
34-53753 May 2, 2006 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 OPRA’s Professional Subscriber Agreement and Its Direct Circuit Connection Rider and Indirect Circuit Connection Rider
Comments due:  May 31, 2006

 

http://www.sec.gov/rules/sro/nms/nmsarchive/nms2006.shtml


Modified: 09/17/2010