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NMS Plans Archive: 2008

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. 4-429: Plan for the Purpose of Creating and Operating an Intermarket Option Linkage
*  File No. 4-443: Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
*  File No. S7-24-89: Nasdaq UTP Plan
*  File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS
*  Options Price Reporting Authority (OPRA)
*  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, CBOE, ISE, Nasdaq, NYSE Arca, and Phlx

Additional Archives

Chronological List
Release No. Date Details
Fourth Quarter

4-533
34-59187 Dec. 30, 2008 Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add NASDAQ OMX BX, Inc., as a Party Thereto
Comments due:  January 23, 2009
Comments received are available for this notice.

4-533
34-59162 Dec. 24, 2008 Notice of Filing and Immediate Effectiveness of Amendments to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add New York Stock Exchange LLC, NYSE Arca, Inc., NYSE Alternext US LLC and Chicago Board Options Exchange, Incorporated as Parties Thereto
Comments due:  January 23, 2009
Comments received are available for this notice.

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
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
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.

4-533
34-59024 Nov. 26, 2008 Notice of Filing and Immediate Effectiveness of an Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add the International Securities Exchange, LLC as a Party Thereto
Comments due:  December 29, 2008
Comments received are available for this notice.

4-546
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
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.

SR-OPRA-2008-04
34-58973 Nov. 18, 2008 Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Options Price Reporting Authority's Policies with Respect to Device-Based Fees
Comments due:  December 17, 2008

4-546
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.

4-533
34-58904 Nov. 6, 2008 Order Approving the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by the Chicago Stock Exchange, Inc., The Nasdaq Stock Market, Inc., National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.), National Stock Exchange, Inc., and Philadelphia Stock Exchange, Inc.

4-546
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.

S7-24-89
34-58863 Oct. 27, 2008 Notice of Filing and Immediate Effectiveness of Amendment No. 20 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, LLC., the Financial Industry Regulatory Authority, Inc., the National Stock Exchange, Inc., The NASDAQ Stock Market LLC, the New York Stock Exchange LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc.
Comments due:  November 24, 2008

SR-CTA/CQ-2008-04
34-58838 Oct. 23, 2008 Notice of Filing and Immediate Effectiveness of the Fourteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Tenth Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due:  November 19, 2008
Third Quarter

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
See also:  Order: Release No. 34-55207

4-443
34-58630 Sep. 24, 2008 Order Granting Permanent Approval to Amendment No. 2 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
See also:
Notice/Order: Release No. 34-58385
Order: Release No. 34-58205
Notice/Order: Release No. 34-57848
Notice: Release No. 34-57546

SR-CTA/CQ-2008-02
34-58585 Sep. 18, 2008 Order Approving the Twelfth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Eighth Substantive Amendment to the Restated Consolidated Quotation Plan
See also:  Notice: Release No. 34-58358

SR-OPRA-2008-02
34-58434 Aug. 27, 2008 Order Approving an Amendment, as Modified by Amendment No. 1 thereto, to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA's Vendor Agreement and Related Documents and to Adopt a New Policy
See also:  Notice: Release No. 34-58173

SR-OPRA-2008-03
34-58424 Aug. 26, 2008 Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Options Price Reporting Authority's Academic Waiver Policy
Comments due:  September 24, 2008

4-443
34-58385 Aug. 19, 2008 Notice of Filing and Order Approving on a Temporary Basis Amendment No. 2 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due:  September 16, 2008
See also:
Order: Release No. 34-58630
Order: Release No. 34-58205
Notice/Order: Release No. 34-57848
Notice: Release No. 34-57546

SR-CTA/CQ-2008-02
34-58358 Aug. 13, 2008 Notice of Filing of the Twelfth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Eighth Substantive Amendment to the Consolidated Quotation Plan
Comments due:  September 10, 2008
See also:  Order: Release No. 34-58585

4-443
34-58205 Jul. 22, 2008 Order Granting Permanent Approval to Amendment No. 1 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
See also:
Order: Release No. 34-58630
Notice/Order: Release No. 34-58385
Notice/Order: Release No. 34-57848
Notice: Release No. 34-57546

SR-OPRA-2008-02
34-58173 Jul. 16, 2008 Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information, as Modified by Amendment No. 1 thereto, to Amend OPRA's Vendor Agreement and Related Documents and Adopt a New Policy
Comments due:  August 12, 2008
See also:  Order: Release No. 34-58434
4-546 Jul. 8, 2008 Proposed Options Order Protection and Locked/Crossed Market Plan by BSE
Comments received are available for this notice.
Second Quarter

4-546
4-546 Jun. 17, 2008 Proposed Options Order Protection and Locked/Crossed Market Plan by Amex

4-546
4-546 Jun. 17, 2008 Proposed Options Order Protection and Locked/Crossed Market Plan by Phlx

SR-OPRA-2008-01
34-57878 May 28, 2008 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Adopt New Form of Vendor Affiliate Agreement
See also:  Notice: Release No. 34-57530

4-443
34-57848 May 22, 2008 Notice of Filing and Order Approving on a Temporary Basis Amendment No. 1 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due:  June 19, 2008
See also:
Order: Release No. 34-58630
Notice/Order: Release No. 34-58385
Order: Release No. 34-58205
Notice: Release No. 34-57546

4-546
4-546 May 7, 2008 Proposed Options Order Protection and Locked/Crossed Market Plan by Nasdaq

4-546
4-546 Apr. 29, 2008 Proposed Options Order Protection and Locked/Crossed Market Plan by CBOE

4-546
4-546 Apr. 16, 2008 Amendment No. 2 to Proposed Options Order Protection and Locked/Crossed Market Plan by ISE and NYSE Arca
First Quarter

4-443
34-57546 Mar. 21, 2008 Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures to Facilitate the Listing and Trading of Standarized Options to Add the Nasdaq Stock Market LLC as a Sponsor
Comments due:  April 17, 2008
See also:
Order: Release No. 34-58630
Notice/Order: Release No. 34-58385
Order: Release No. 34-58205
Notice/Order: Release No. 34-57848

4-429
34-57545 Mar. 21, 2008 Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Creating and Operating an Options Intermarket Linkage to Add the Nasdaq Stock Market LLC as a Participant
Comments due:  April 17, 2008

SR-OPRA-2008-01
34-57530 Mar. 19, 2008 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 “Vendor Affiliate Agreement”
Comments due:  April 16, 2008
See also:  Notice: Release No. 34-57878

4-429
34-57238 Jan. 30, 2008 Order Approving 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
See also:  Notice: Release No. 34-56893

SR-OPRA-2007-05
34-57233 Jan. 30, 2008 Order Approving an 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
See also:  Notice: Release No. 34-56926

SR-OPRA-2007-03
34-57230 Jan. 29, 2008 Order Granting Permanent Approval to an 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 Foreign Currency Options
See also:  Notice/Temporary Order: Release No. 34-56949

4-534
34-57171 Jan. 18, 2008 Notice of Filing of Amendment No. 1 to the Proposed National Market System Plan for the Selection and Reservation of Securities Symbols
Comments due:  February 15, 2008
Comments received are available for this notice.
* Submit comments on 4-534

SR-CTA-2007-02
34-57113 Jan. 8, 2008 Order Approving the Eleventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan
See also:  Notice: Release No. 34-56904

SR-CTA/CQ-2007-03
34-57107 Jan. 7, 2008 Notice of Filing and Immediate Effectiveness of the Tenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Sixth Charges Amendment to the Restated Consolidated Quotation Plan
Comments due:  February 4, 2008

File Number Lists

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

Release No. Date Details

SR-CTA/CQ-2008-05
34-59552 Mar. 10, 2009 Order Approving the Thirteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Ninth Substantive Amendment to the Restated Consolidated Quotation Plan
34-59230 Jan. 12, 2009 Notice of Filing of the Thirteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Ninth Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due:  February 11, 2009

SR-CTA/CQ-2008-04
34-58838 Oct. 23, 2008 Notice of Filing and Immediate Effectiveness of the Fourteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Tenth Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due:  November 19, 2008

SR-CTA/CQ-2008-02
34-58585 Sep. 18, 2008 Order Approving the Twelfth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Eighth Substantive Amendment to the Restated Consolidated Quotation Plan
34-58358 Aug. 13, 2008 Notice of Filing of the Twelfth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Eighth Substantive Amendment to the Consolidated Quotation Plan
Comments due:  September 10, 2008

SR-CTA-2008-01
34-60639 Sep. 9, 2009 Order Approving the Eleventh Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan to Waive the Automatic Annual Increase in the Enterprise Cap for 2008
34-60154 Jun. 19, 2009 Notice of Filing of the Eleventh Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan to Waive the Automatic Annual Increase in the Enterprise Cap for 2008
Comments due:  July 20, 2009

SR-CTA/CQ-2007-03
34-57107 Jan. 7, 2008 Notice of Filing and Immediate Effectiveness of the Tenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Sixth Charges Amendment to the Restated Consolidated Quotation Plan
Comments due:  February 4, 2008

SR-CTA-2007-02
34-57113 Jan. 8, 2008 Order Approving the Eleventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan
See also:  Notice: Release No. 34-56904

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

4-429
34-57545 Mar. 21, 2008 Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Creating and Operating an Options Intermarket Linkage to Add the Nasdaq Stock Market LLC as a Participant
Comments due:  April 17, 2008
34-57238 Jan. 30, 2008 Order Approving 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
See also:  Notice: Release No. 34-56893

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

S7-24-89
34-58863 Oct. 27, 2008 Notice of Filing and Immediate Effectiveness of Amendment No. 20 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, LLC., the Financial Industry Regulatory Authority, Inc., the National Stock Exchange, Inc., The NASDAQ Stock Market LLC, the New York Stock Exchange LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc.
Comments due:  November 24, 2008

File No. 4-443: Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Release No. Date Details

4-443
34-58630 Sep. 24, 2008 Order Granting Permanent Approval to Amendment No. 2 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
34-58385 Aug. 19, 2008 Notice of Filing and Order Approving on a Temporary Basis Amendment No. 2 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due:  September 16, 2008
34-58205 Jul. 22, 2008 Order Granting Permanent Approval to Amendment No. 1 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
34-57848 May 22, 2008 Notice of Filing and Order Approving on a Temporary Basis Amendment No. 1 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due:  June 19, 2008
34-57546 Mar. 21, 2008 Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures to Facilitate the Listing and Trading of Standarized Options to Add the Nasdaq Stock Market LLC as a Sponsor
Comments due:  April 17, 2008

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
34-59187 Dec. 30, 2008 Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add NASDAQ OMX BX, Inc., as a Party Thereto
Comments due:  January 23, 2009
Comments received are available for this notice.
34-59162 Dec. 24, 2008 Notice of Filing and Immediate Effectiveness of Amendments to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add New York Stock Exchange LLC, NYSE Arca, Inc., NYSE Alternext US LLC and Chicago Board Options Exchange, Incorporated as Parties Thereto
Comments due:  January 23, 2009
Comments received are available for this notice.
34-59024 Nov. 26, 2008 Notice of Filing and Immediate Effectiveness of an Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add the International Securities Exchange, LLC as a Party Thereto
Comments due:  December 29, 2008
Comments received are available for this notice.
34-58904 Nov. 6, 2008 Order Approving the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by the Chicago Stock Exchange, Inc., The Nasdaq Stock Market, Inc., National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.), National Stock Exchange, Inc., and Philadelphia Stock Exchange, Inc.

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

4-534
34-57171 Jan. 18, 2008 Notice of Filing of Amendment No. 1 to the Proposed National Market System Plan for the Selection and Reservation of Securities Symbols
Comments due:  February 15, 2008
Comments received are available for this notice.
* Submit comments on 4-534

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

SR-OPRA-2008-04
34-58973 Nov. 18, 2008 Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Options Price Reporting Authority's Policies with Respect to Device-Based Fees
Comments due:  December 17, 2008

SR-OPRA-2008-03
34-58424 Aug. 26, 2008 Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Options Price Reporting Authority's Academic Waiver Policy
Comments due:  September 24, 2008

SR-OPRA-2008-02
34-58434 Aug. 27, 2008 Order Approving an Amendment, as Modified by Amendment No. 1 thereto, to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA's Vendor Agreement and Related Documents and to Adopt a New Policy
34-58173 Jul. 16, 2008 Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information, as Modified by Amendment No. 1 thereto, to Amend OPRA's Vendor Agreement and Related Documents and Adopt a New Policy
Comments due:  August 12, 2008

SR-OPRA-2008-01
34-57878 May 28, 2008 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Adopt New Form of Vendor Affiliate Agreement
34-57530 Mar. 19, 2008 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 “Vendor Affiliate Agreement”
Comments due:  April 16, 2008

SR-OPRA-2007-05
34-57233 Jan. 30, 2008 Order Approving an 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
See also:  Notice: Release No. 34-56926

SR-OPRA-2007-03
34-57230 Jan. 29, 2008 Order Granting Permanent Approval to an 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 Foreign Currency Options
See also:  Notice/Temporary Order: Release No. 34-56949

 

http://www.sec.gov/rules/sro/nms/nmsarchive/nms2008.shtml


Modified: 07/17/2012