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NMS Plans Archive: 2007

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
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
*  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
*  File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS
*  File No. 4-533: Proposed NMS Plan for the Selection and Reservation of Securities Symbols by NASDAQ, NASD, NSX and Phlx
*  File No. 4-534: Proposed NMS Plan for the Selection and Reservation of Securities Symbols by NYSEALTR, NYSE and NYSE Arca
*  File No. 4-546: Proposed Options Order Protection and Locked/Crossed Market Plan by NYSEALTR, BSE, CBOE, ISE, Nasdaq, NYSE Arca, and Phlx
*  Options Price Reporting Authority (OPRA)

Additional Archives

Chronological List
Release No. Date Details
Fourth Quarter

SR-OPRA-2007-04
34-56950 Dec. 12, 2007 Notice of Filing and Immediate Effectiveness of Proposed Amendment to Revise OPRA’s Fee Schedule
Comments due:  January 8, 2008
* Submit comments on SR-SR-OPRA-2007-04

SR-OPRA-2007-03
34-56949 Dec. 12, 2007 Notice of Filing and Order Approving on a Temporary Basis Not to Exceed 120 Days a Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information, as Modified by Amendment No. 1 Thereto, to Modify Various Provisions of the OPRA Plan and the OPRA Fee Schedule to Reflect the Elimination of Separate Fees for Access to Market Data Concerning Certain Foreign Currency Options
Comments due:  January 8, 2008
See also:  Order: Release No. 34-57230

4-546
4-546 Dec. 10, 2007 Amendment No. 1 to Proposed Options Order Protection and Locked/Crossed Market Plan by ISE and NYSE Arca

SR-OPRA-2007-05
34-56926 Dec. 7, 2007 Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Adopt New Form of Rider to OPRA’s Vendor Agreement for Use by Television Companies that Wish to Disseminate OPRA Data
Comments due:  January 3, 2008
See also:  Order: Release No. 34-57233

SR-CTA-2007-02
34-56904 Dec. 5, 2007 Notice of Filing of the Eleventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments due:  January 2, 2008
See also:  Order: Release No. 34-57113
* Submit comments on SR-CTA-2007-02

4-429
34-56893 Dec. 4, 2007 Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 25 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage, and Notice of Filing of Such Amendment
See also:   Release Nos. 34-57238, 34-56806, 34-56780, 34-56605, 34-56596, 34-55744 and 34-55436
Comments due:  January 2, 2008

4-429
34-56806 Nov. 16, 2007 Order Approving Joint Amendment No. 24 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Regarding Elimination of the Class Gate
See also:  Release Nos. 34-56780, 34-56605, 34-56596, 34-55744 and 34-55436

4-429
34-56780 Nov. 13, 2007 Order Approving Joint Amendment No. 23 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage to Permit the Use of Linkage Prior to the Opening of Trading
See also:  Release Nos. 34-56806, 34-56605, 34-56596, 34-55744 and 34-55436
Third Quarter

4-429
34-56605 Oct. 3, 2007 Notice of Filing of Joint Amendment No. 23 to the Intermarket Option Linkage Plan to Permit the Use of Linkage Prior to the Opening of Trading
Comments due:  November 2, 2007
See also:  Release Nos. 34-56893, 34-56806, 34-56780, 34-56596, 34-55744 and 34-55436

4-429
34-56596 Oct. 2, 2007 Notice of Filing of Joint Amendment No. 24 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Regarding Elimination of the Class Gate
Comments due:  November 2, 2007
See also:  Release Nos. 34-56893, 34-56806, 34-56780, 34-56605, 34-55744 and 34-55436

4-546
4-546 Sep. 18, 2007 Proposed Options Order Protection and Locked/Crossed Market Plan by ISE and NYSE Arca

SR-CTA-2007-01
34-56304 Aug. 22, 2007 Order Approving the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
See also:  Notice: Release No. 34-56134

4-534
4-534 Aug. 1, 2007 Amendment No. 1 to Proposed NMS Plan for the Selection and Reservation of Securities Symbols by Amex, NYSE and NYSE Arca

SR-CTA-2007-01
34-56134 Jul. 25, 2007 Notice of Filing of the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments due:  August 22, 2007
See also:  Order: Release No. 34-56304

4-533 and 4-534
34-56037 Jul. 10, 2007 Notice of Filing of Proposed National Market System Plans for the Selection and Reservation of Securities Symbols
Comments due:  August 16, 2007
* Submit comments on File No. 4-533
* Submit comments on File No. 4-534
Second Quarter

4-429
34-55744 May 11, 2007 Order Approving Joint Amendment No. 22 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage
See also:  Release Nos. 34-56806, 34-56780, 34-56605, 34-56596 and 34-55436

S7-24-89
34-55647 Apr. 19, 2007 Order Granting Permanent Approval 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, Inc., the International Securities Exchange, LLC, 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.
See also:  Notice: Release No. 34-55192
Comments received are available for this notice.

4-533
4-533 Apr. 18, 2007 Proposed NMS Plan for the Selection and Reservation of Securities Symbols by NASDAQ, NASD, NSX and Phlx [Revised]
Comments received are available for this notice.
First Quarter

4-534
4-534 Mar. 22, 2007 Proposed NMS Plan for the Selection and Reservation of Securities Symbols by Amex, NYSE and NYSE Arca
Comments received are available for this notice.

4-533
4-533 Mar. 21, 2007 Proposed NMS Plan for the Selection and Reservation of Securities Symbols by NASDAQ, NASD, NSX and Phlx
Comments received are available for this notice.

SR-OPRA-2007-02
34-55455 Mar. 13, 2007 Notice of Filing and Immediate Effectiveness of Proposed Amendment to Revise OPRA’s Fee Schedule and its "Policies with Respect to Device-Based Fees"
Comments due:  April 11, 2007

SR-OPRA-2007-01
34-55454 Mar. 13, 2007 Notice of Filing and Immediate Effectiveness of Proposed Amendment to Adopt a Revised Form "Third Party Billing Agreement"
Comments due:  April 11, 2007

4-429
34-55436 Mar. 8, 2007 Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 22 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage, and Notice of Filing of Such Amendment
Comments due:  April 6, 2007
See also:  Release Nos. 34-56806, 34-56780, 34-56605, 34-56596 and 34-55744

4-208
34-55397 Mar. 5, 2007 Notice of Filing and Immediate Effectiveness of the Twenty Fourth Amendment to the ITS Plan Relating to the Elimination of the ITS
Plan

Comments due:  April 2, 2007

4-518
34-55207 Jan. 31, 2007 Order Approving Amendment to Add the International Securities Exchange LLC as Participant to National Market System Plan Establishing Procedures under Rule 605 of Regulation NMS

S7-24-89
34-55192 Jan. 29, 2007 Notice of Filing and Immediate Effectiveness of Amendment No. 19 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, LLC, 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:  February 27, 2007
See also:  Order: Release No. 34-55647
Comments received are available for this notice.

SR-OPRA-2006-02
34-55049 Jan. 5, 2007 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 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
See also:  Notice: Rel. No. 34-54870

File Number Lists

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

Release No. Date Details

SR-CTA-2007-02
34-56904 Dec. 5, 2007 Notice of Filing of the Eleventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments due:  January 2, 2008
See also:  Order: Release No. 34-57113
* Submit comments on SR-CTA-2007-02

SR-CTA-2007-01
34-56304 Aug. 22, 2007 Order Approving the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
34-56134 Jul. 25, 2007 Notice of Filing of the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments due:  August 22, 2007

File No. 4-208: Intermarket Trading System
Release No. Date Details

4-208
34-55397 Mar. 5, 2007 Notice of Filing and Immediate Effectiveness of the Twenty Fourth Amendment to the ITS Plan Relating to the Elimination of the ITS Plan
Comments due:  April 2, 2007

File No. 4-429: Plan for the Purpose of Creating and Operating an Intermarket Option Linkage
Release No. Date Details

4-429
34-56893 Dec. 4, 2007 Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 25 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage, and Notice of Filing of Such Amendment
Comments due:  January 2, 2008
Order: Release No. 34-57238
34-56806 Nov. 16, 2007 Order Approving Joint Amendment No. 24 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Regarding Elimination of the Class Gate
34-56780 Nov. 13, 2007 Order Approving Joint Amendment No. 23 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage to Permit the Use of Linkage Prior to the Opening of Trading
34-56605 Oct. 3, 2007 Notice of Filing of Joint Amendment No. 23 to the Intermarket Option Linkage Plan to Permit the Use of Linkage Prior to the Opening of Trading
Comments due:  November 2, 2007
34-56596 Oct. 2, 2007 Notice of Filing of Joint Amendment No. 24 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Regarding Elimination of the Class Gate
Comments due:  November 2, 2007
34-55744 May 11, 2007 Order Approving Joint Amendment No. 22 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage
34-55436 Mar. 8, 2007 Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 22 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage, and Notice of Filing of Such Amendment
Comments due:  April 6, 2007

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

S7-24-89
34-55647 Apr. 19, 2007 Order Granting Permanent Approval 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, Inc., the International Securities Exchange, LLC, 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 received are available for this notice.
34-55192 Jan. 29, 2007 Notice of Filing and Immediate Effectiveness of Amendment No. 19 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, LLC, 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:  February 27, 2007
Comments received are available for this notice.

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

4-518
34-59361 Feb. 5, 2009 Order Approving Amendment to Add the BATS Exchange, Inc. as Participant to National Market System Plan Establishing Procedures under Rule 605 of Regulation NMS

4-518
34-58695 Sep. 30, 2008 Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 605 of Regulation NMS
Comments due:  November 7, 2008

4-518
34-55207 Jan. 31, 2007 Order Approving Amendment to Add the International Securities Exchange LLC as Participant to National Market System Plan Establishing Procedures under Rule 605 of Regulation NMS
File No.:  4-518

File No. 4-533: Proposed NMS Plan for the Selection and Reservation of Securities Symbols by NASDAQ, NASD, NSX and Phlx
Release No. Date Details

4-533
34-56037 Jul. 10, 2007 Notice of Filing of Proposed National Market System Plans for the Selection and Reservation of Securities Symbols
Comments due:  August 16, 2007
* Submit comments on File No. 4-533
* Submit comments on File No. 4-534
4-533 Apr. 18, 2007 Proposed NMS Plan for the Selection and Reservation of Securities Symbols by NASDAQ, NASD, NSX and Phlx [Revised]
Comments received are available for this notice.
4-533 Mar. 21, 2007 Proposed NMS Plan for the Selection and Reservation of Securities Symbols by NASDAQ, NASD, NSX and Phlx
Comments received are available for this notice.

File No. 4-534: Proposed NMS Plan for the Selection and Reservation of Securities Symbols by NYSEALTR, NYSE and NYSE Arca
Release No. Date Details

4-534
4-534 Aug. 1, 2007 Amendment No. 1 to Proposed NMS Plan for the Selection and Reservation of Securities Symbols by Amex, NYSE and NYSE Arca
34-56037 Jul. 10, 2007 Notice of Filing of Proposed National Market System Plans for the Selection and Reservation of Securities Symbols
Comments due:  August 16, 2007
* Submit comments on File No. 4-533
* Submit comments on File No. 4-534
4-534 Mar. 22, 2007 Proposed NMS Plan for the Selection and Reservation of Securities Symbols by Amex, NYSE and NYSE Arca
Comments received are available for this notice.

File No. 4-546: Proposed Options Order Protection and Locked/Crossed Market Plan by BSE, CBOE, ISE, Nasdaq, NYSE Arca, NYSEALTR, and Phlx
Release No. Date Details

4-546
4-546 Dec. 4, 2008 Amendment No. 1 to Proposed Options Order Protection and Locked/Crossed Market Plan by Nasdaq
Comments received are available for this notice.
4-546 Dec. 3, 2008 Amendment No. 1 to Proposed Options Order Protection and Locked/Crossed Market Plan by Phlx
Comments received are available for this notice.
4-546 Dec. 1, 2008 Amendment No. 1 to Proposed Options Order Protection and Locked/Crossed Market Plan by BSE
Comments received are available for this notice.
4-546 Nov. 25, 2008 Amendment No. 1 to Proposed Options Order Protection and Locked/Crossed Market Plan by NYSE Alternext (f/k/a Amex)
Comments received are available for this notice.
4-546 Nov. 21, 2008 Amendment No. 1 to Proposed Options Order Protection and Locked/Crossed Market Plan by CBOE
Comments received are available for this notice.
4-546 Nov. 7, 2008 Amendment No. 3 to Proposed Options Order Protection and Locked/Crossed Market Plan by ISE
Comments received are available for this notice.
4-546 Oct. 30, 2008 Amendment No. 3 to Proposed Options Order Protection and Locked/Crossed Market Plan by NYSE Arca
Comments received are available for this notice.
4-546 Jul. 8, 2008 Proposed Options Order Protection and Locked/Crossed Market Plan by BSE
Comments received are available for this notice.
4-546 Jun. 17, 2008 Proposed Options Order Protection and Locked/Crossed Market Plan by Amex
4-546 Jun. 17, 2008 Proposed Options Order Protection and Locked/Crossed Market Plan by Phlx
4-546 May 7, 2008 Proposed Options Order Protection and Locked/Crossed Market Plan by Nasdaq
4-546 Apr. 29, 2008 Proposed Options Order Protection and Locked/Crossed Market Plan by CBOE
4-546 Apr. 16, 2008 Amendment No. 2 to Proposed Options Order Protection and Locked/Crossed Market Plan by ISE and NYSE Arca
4-546 Dec. 10, 2007 Amendment No. 1 to Proposed Options Order Protection and Locked/Crossed Market Plan by ISE and NYSE Arca
4-546 Sep. 18, 2007 Proposed Options Order Protection and Locked/Crossed Market Plan by ISE and NYSE Arca

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

SR-OPRA-2007-05
34-56926 Dec. 7, 2007 Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Adopt New Form of Rider to OPRA’s Vendor Agreement for Use by Television Companies that Wish to Disseminate OPRA Data
Comments due:  January 3, 2008
See also:  Order: Release No. 34-57233

SR-OPRA-2007-04
34-56950 Dec. 12, 2007 Notice of Filing and Immediate Effectiveness of Proposed Amendment to Revise OPRA’s Fee Schedule
Comments due:  January 8, 2008
* Submit comments on SR-SR-OPRA-2007-04

SR-OPRA-2007-03
34-56949 Dec. 12, 2007 Notice of Filing and Order Approving on a Temporary Basis Not to Exceed 120 Days a Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information, as Modified by Amendment No. 1 Thereto, to Modify Various Provisions of the OPRA Plan and the OPRA Fee Schedule to Reflect the Elimination of Separate Fees for Access to Market Data Concerning Certain Foreign Currency Options
Comments due:  January 8, 2008
See also:  Order: Release No. 34-57230

SR-OPRA-2007-02
34-55455 Mar. 13, 2007 Notice of Filing and Immediate Effectiveness of Proposed Amendment to Revise OPRA’s Fee Schedule and its "Policies with Respect to Device-Based Fees"
Comments due:  April 11, 2007

SR-OPRA-2007-01
34-55454 Mar. 13, 2007 Notice of Filing and Immediate Effectiveness of Proposed Amendment to Adopt a Revised Form "Third Party Billing Agreement"
Comments due:  April 11, 2007

SR-OPRA-2006-02
34-55049 Jan. 5, 2007 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 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
See also:  Notice: Rel. No. 34-54870

 

http://www.sec.gov/rules/sro/nms/nmsarchive/nms2007.shtml


Modified: 07/17/2012