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NMS Plans Archive: 2009

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. 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. 4-546: 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

SR-CTA/CQ-2009-02
34-61226 Dec. 22, 2009 Order Approving the Thirteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Seventh Charges Amendment to the Restated Consolidated Quotation Plan
See also:   Notice: Release No. 34-60985

SR-CTA/CQ-2009-02
34-60985 Nov. 10, 2009 Notice of Filing of the Thirteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Seventh Charges Amendment to the Restated Consolidated Quotation Plan
Comments due:  December 10, 2009
See also:   Order: Release No. 34-61226

4-533
34-60856 Oct. 21, 2009 Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add BATS Exchange, Inc., as a Party Thereto
Comments due:  November 17, 2009

4-546
34-60841 Oct. 20, 2009 Order Approving Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan
See also:   Notice: Release No. 34-60507
Third Quarter

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
See also:   Notice: Release No. 34-60154

4-429
34-60582 Aug. 28, 2009 Order Approving Amendments to Withdraw from the Intermarket Options Linkage Plan filed by Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc.
See also:   Notice: Release No. 34-60360

4-443
34-60531 Aug. 19, 2009 Order Approving Amendment No. 3 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
See also:   Notice: Release No. 34-60365

4-546
34-60507 Aug. 14, 2009 Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan, and Notice of Filing of Such Amendment
Comments due:  September 14, 2009
See also:   Order: Release No. 34-60841

4-546
34-60405 Jul. 30, 2009 Order Approving the National Market System Plan Relating to Options Order Protection and Locked/Crossed Markets Submitted by the Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc.
See also:   Notice: Release No. 34-59647

4-443
34-60365 Jul. 22, 2009 Notice of Filing of Amendment No. 3 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due:  August 18, 2009
See also:   Order: Release No. 34-60531

4-429
34-60360 Jul. 21, 2009 Notice of Filing of Amendments to the Intermarket Options Linkage Plan to Withdraw from the Plan
Comments due:  August 18, 2009
See also:   Order: Release No. 34-60582

SR-CTA-2009-01
34-60320 Jul. 16, 2009 Notice of Filing and Immediate Effectiveness of the Twelfth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments due:  August 17, 2009
Second Quarter

SR-CTA-2008-01
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
See also:   Order: Release No. 34-60639
First Quarter

4-546
34-59647 Mar. 30, 2009 Notice of Filing of Proposed Options Order Protection and Locked/Crossed Market Plan
Comments due:  21 days after publication in the Federal Register
Comments received are available for this notice.
See also:   Order: Release No. 34-60405

4-533
34-59574 Mar. 13, 2009 Notice of Filing and Immediate Effectiveness of Amendment No. 2 to the National Market System Plan for the Selection and Reservation of Securities Symbols to Modify Certain Effective Dates in Plan, Submitted by NASDAQ OMX BX, 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 Alternext US LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc.
Comments due:  April 10, 2009

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
See also:   Notice: Release No. 34-59230

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

SR-CTA/CQ-2008-05
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
See also:   Order: Release No. 34-59552

4-533
34-59225 Jan. 9, 2009 Notice of Filing and Immediate Effectiveness of Amendment No. 1 to the National Market System Plan for the Selection and Reservation of Securities Symbols to Modify Certain Effective Dates in Plan, Submitted by NASDAQ OMX BX, 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 Alternext Exchange US LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc.
Comments due:  February 6, 2009

File Number Lists

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

Release No. Date Details

SR-CTA/CQ-2009-03
34-62289 Jun. 14, 2010 Order Approving the Fifteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Eleventh Substantive Amendment to the Restated Consolidated Quotation Plan
34-61457 Feb. 1, 2010 Notice of Filing of the Fifteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Eleventh Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due:  March 1, 2010

SR-CTA/CQ-2009-02
34-61226 Dec. 22, 2009 Order Approving the Thirteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Seventh Charges Amendment to the Restated Consolidated Quotation Plan
34-60985 Nov. 10, 2009 Notice of Filing of the Thirteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Seventh Charges Amendment to the Restated Consolidated Quotation Plan
Comments due:  December 10, 2009

SR-CTA-2009-01
34-60320 Jul. 16, 2009 Notice of Filing and Immediate Effectiveness of the Twelfth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments due:  August 17, 2009

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

4-429
34-60582 Aug. 28, 2009 Order Approving Amendments to Withdraw from the Intermarket Options Linkage Plan filed by Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc.
34-60360 Jul. 21, 2009 Notice of Filing of Amendments to the Intermarket Options Linkage Plan to Withdraw from the Plan
Comments due:  August 18, 2009

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
34-60531 Aug. 19, 2009 Order Approving Amendment No. 3 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
34-60365 Jul. 22, 2009 Notice of Filing of Amendment No. 3 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due:  August 18, 2009

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
34-60856 Oct. 21, 2009 Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add BATS Exchange, Inc., as a Party Thereto
Comments due:  November 17, 2009

4-533
34-59574 Mar. 13, 2009 Notice of Filing and Immediate Effectiveness of Amendment No. 2 to the National Market System Plan for the Selection and Reservation of Securities Symbols to Modify Certain Effective Dates in Plan, Submitted by NASDAQ OMX BX, 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 Alternext US LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc.
Comments due:  April 10, 2009

4-533
34-59225 Jan. 9, 2009 Notice of Filing and Immediate Effectiveness of Amendment No. 1 to the National Market System Plan for the Selection and Reservation of Securities Symbols to Modify Certain Effective Dates in Plan, Submitted by NASDAQ OMX BX, 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 Alternext Exchange US LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc.
Comments due:  February 6, 2009

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

4-546
34-60841 Oct. 20, 2009 Order Approving Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan
34-60507 Aug. 14, 2009 Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan, and Notice of Filing of Such Amendment
Comments due:  September 14, 2009
34-60405 Jul. 30, 2009 Order Approving the National Market System Plan Relating to Options Order Protection and Locked/Crossed Markets Submitted by the Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc.
34-59647 Mar. 30, 2009 Notice of Filing of Proposed Options Order Protection and Locked/Crossed Market Plan
Comments due:  21 days after publication in the Federal Register
Comments received are available for this notice.

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

SR-OPRA-2009-01
34-61367 Jan. 15, 2010 Notice of Filing and Immediate Effectiveness of Proposed Amendment to Revise the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Serve as the Operating Agreement for OPRA LLC
Comments due:  February 12, 2010
Additional Materials:   Exhibit A

 

http://www.sec.gov/rules/sro/nms/nmsarchive/nms2009.shtml


Modified: 06/23/2014