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NMS Plans Archive: 2010

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. 4-443: 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
*  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
*  Options Price Reporting Authority (OPRA)

Additional Archives

Chronological List
Release No. Date Details
Fourth Quarter

SR-OPRA-2010-04
34-63400 Nov. 30, 2010 Notice of Filing and Immediate Effectiveness of Proposed Amendment to Revise Section 4.04 of the Data Recipient Interface Specification and Section 4.15 of the Participant Interface Specification and Make Conforming Changes to Appendix D
Comments due:  December 28, 2010
Comments received are available for this notice.

SR-OPRA-2010-03
34-63273 Nov. 8, 2010 Notice of Filing and Immediate Effectiveness of Proposed Amendment to Revise the Device-Based Professional Subscriber Fees Charged by OPRA for its Basic Service
Comments due:  December 3, 2010

SR-CTA/CQ-2010-04
34-63193 Oct. 27, 2010 Notice of Filing and Immediate Effectiveness of the Seventeenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Thirteenth Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due:  November 23, 2010

4-443
34-63162 Oct. 22, 2010 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 Standardized Options to Add C2 Options Exchange, Incorporated as a Sponsor
Comments due:  November 18, 2010
See also:  Notice: Release No. 34-61528

4-546
34-63119 Oct. 15, 2010 Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the C2 Options Exchange, Incorporated as a Participant
Comments due:  21 days after publication in the Federal Register
* Submit comments on 4-546

SR-OPRA-2010-01
34-63106 Oct. 14, 2010 Notice of Filing and Immediate Effectiveness of Proposed Amendment to Identify the Securities Industry Automation Corporation as OPRA's Independent System Capacity Advisor
Comments due:  November 10, 2010
Third Quarter

SR-CTA-2010-02
34-62966 Sep. 21, 2010 Notice of Filing and Immediate Effectiveness of the Fifteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments due:  October 19, 2010

S7-24-89
34-62965 Sep. 21, 2010 Notice of Filing and Immediate Effectiveness of Amendment No. 22 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 BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc.
Comments due:  October 19, 2010

SR-CTA/CQ-2010-03
34-62912 Sep. 14, 2010 Notice of Filing and Immediate Effectiveness of the Sixteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Twelfth Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due:  October 12, 2010

SR-CTA-2010-01
34-62906 Sep. 14, 2010 Notice of Filing and Immediate Effectiveness of the Fourteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments due:  October 12, 2010

4-518
34-62896 Sep. 13, 2010 Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 605 of Regulation NMS
Comments due:  30 days after publication in the Federal Register
See also:  Order: Release No. 34-63719

4-518
34-62823 Sep. 1, 2010 Order Approving Amendment to Add EDGA Exchange, Inc. and EDGX Exchange, Inc. as Participants to National Market System Plan Establishing Procedures under Rule 605 of Regulation NMS

4-533
34-62573 Jul. 26, 2010 Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add EDGA Exchange, Inc. and EDGX Exchange, Inc., each as a Party Thereto
Comments due:  21 days after publication in the Federal Register
Comments received are available for this notice.
Second Quarter

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
See also:  Notice: Release No. 34-61457

S7-24-89
34-62021 Apr. 30, 2010 Notice of Filing of Amendment No. 21 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 BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc.
Comments due:  June 3, 2010
Comments received are available for this notice.
* Submit comments on S7-24-89

4-518
34-61824 Apr. 1, 2010 Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 605 of Regulation NMS
Comments due:  May 10, 2010
First Quarter

4-546
34-61546 Feb. 19, 2010 Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the BATS Exchange, Inc. as a Participant
Comments due:  March 18, 2010

4-443
34-61528 Feb. 17, 2010 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 Standardized Options to Add BATS Exchange, Inc. as a Sponsor
Comments due:  March 17, 2010
See also:  Notice: Release No. 34-63162

SR-CTA/CQ-2009-03
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
See also:  Order: Release No. 34-62289

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

File Number Lists

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

Release No. Date Details

SR-CTA/CQ-2010-04
34-63193 Oct. 27, 2010 Notice of Filing and Immediate Effectiveness of the Seventeenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Thirteenth Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due:  November 23, 2010

SR-CTA/CQ-2010-03
34-62912 Sep. 14, 2010 Notice of Filing and Immediate Effectiveness of the Sixteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Twelfth Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due:  October 12, 2010

SR-CTA-2010-02
34-62966 Sep. 21, 2010 Notice of Filing and Immediate Effectiveness of the Fifteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments due:  October 19, 2010

SR-CTA-2010-01
34-62906 Sep. 14, 2010 Notice of Filing and Immediate Effectiveness of the Fourteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments due:  October 12, 2010

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
34-63162 Oct. 22, 2010 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 Standardized Options to Add C2 Options Exchange, Incorporated as a Sponsor
Comments due:  November 18, 2010
34-61528 Feb. 17, 2010 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 Standardized Options to Add BATS Exchange, Inc. as a Sponsor
Comments due:  March 17, 2010

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

S7-24-89
34-62965 Sep. 21, 2010 Notice of Filing and Immediate Effectiveness of Amendment No. 22 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 BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc.
Comments due:  October 19, 2010

S7-24-89
34-62021 Apr. 30, 2010 Notice of Filing of Amendment No. 21 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 BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc.
Comments due:  June 3, 2010
Comments received are available for this notice.
* Submit comments on S7-24-89

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

4-518
34-62896 Sep. 13, 2010 Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 605 of Regulation NMS
Comments due:  30 days after publication in the Federal Register
See also:  Order: Release No. 34-63719

4-518
34-62896 Sep. 13, 2010 Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 605 of Regulation NMS
Comments due:  30 days after publication in the Federal Register

4-518
34-62823 Sep. 1, 2010 Order Approving Amendment to Add EDGA Exchange, Inc. and EDGX Exchange, Inc. as Participants to National Market System Plan Establishing Procedures under Rule 605 of Regulation NMS

4-518
34-61824 Apr. 1, 2010 Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 605 of Regulation NMS
Comments due:  May 10, 2010

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
34-62573 Jul. 26, 2010 Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add EDGA Exchange, Inc. and EDGX Exchange, Inc., each as a Party Thereto
Comments due:  21 days after publication in the Federal Register
Comments received are available for this notice.

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
34-63119 Oct. 15, 2010 Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the C2 Options Exchange, Incorporated as a Participant
Comments due:  21 days after publication in the Federal Register
* Submit comments on 4-546

4-546
34-61546 Feb. 19, 2010 Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the BATS Exchange, Inc. as a Participant
Comments due:  March 18, 2010

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

SR-OPRA-2010-04
34-63400 Nov. 30, 2010 Notice of Filing and Immediate Effectiveness of Proposed Amendment to Revise Section 4.04 of the Data Recipient Interface Specification and Section 4.15 of the Participant Interface Specification and Make Conforming Changes to Appendix D
Comments due:  December 28, 2010
Comments received are available for this notice.

SR-OPRA-2010-03
34-63273 Nov. 8, 2010 Notice of Filing and Immediate Effectiveness of Proposed Amendment to Revise the Device-Based Professional Subscriber Fees Charged by OPRA for its Basic Service
Comments due:  December 3, 2010

SR-OPRA-2010-01
34-63106 Oct. 14, 2010 Notice of Filing and Immediate Effectiveness of Proposed Amendment to Identify the Securities Industry Automation Corporation as OPRA's Independent System Capacity Advisor
Comments due:  November 10, 2010

 

http://www.sec.gov/rules/sro/nms/nmsarchive/nms2010.shtml


Modified: 05/10/2012