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NMS Plans Archive: 2012

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
Third Quarter |  Second Quarter |  First Quarter
  File Number Lists
*  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. 4-533: Proposed NMS Plan for the Selection and Reservation of Securities Symbols to Add BOX Options Exchange LLC as a Party Thereto
*  File No. 4-546: Proposed Options Order Protection and Locked/Crossed Market Plan to Add the BOX Options Exchange LLC as a Participant
*  File No. 4-631: National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc.
*  Options Price Reporting Authority (OPRA)

Additional Archives

Chronological List
Release No. Date Details
Third Quarter

SR-OPRA-2012-05
34-67791 Sep. 6, 2012 Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Section 3.1 of the OPRA Plan
Comments due:  October 3, 2012

SR-OPRA-2012-04
34-67648 Aug. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Implement a New Fee for "Non-Display Applications"
Comments due:  September 7, 2012

SR-OPRA-2012-03
34-67589 Aug. 2, 2012 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Revise the Definition of the Term "Nonprofessional"
See also:   Notice: Release No. 34-67210

4-443
34-67327 Jun. 29, 2012 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 NASDAQ OMX BX, Inc. as a Sponsor
Comments due:  July 27, 2012
Second Quarter

SR-OPRA-2012-03
34-67210 Jun. 15, 2012 Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan to Revise the Definition of the Term "Nonprofessional"
Comments due:  July 13, 2012
See also:   Notice: Release No. 34-67589

4-631
34-67091 May 31, 2012 Order Approving, on a Pilot Basis, the National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. (Corrected version - date on page 44)
See also:   Notice: Release No. 34-65410 and Notice: Release No. 34-64547

4-546
34-66969 May 11, 2012 Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the BOX Options Exchange LLC as a Participant
Comments due:  June 7, 2012

4-533
34-66957 May 10, 2012 Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add BOX Options Exchange LLC as a Party Thereto
Comments due:  June 6, 2012

4-443
34-66952 May 9, 2012 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 BOX Options Exchange LLC as a Sponsor
Comments due:  June 5, 2012
First Quarter

SR-OPRA-2012-02
34-66564 Mar. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA's Fee Schedule
Comments due:  April 6, 2012

File Number Lists

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
34-67327 Jun. 29, 2012 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 NASDAQ OMX BX, Inc. as a Sponsor
Comments due:  July 27, 2012

4-443
34-66952 May 9, 2012 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 BOX Options Exchange LLC as a Sponsor
Comments due:  June 5, 2012

File No. 4-533: Proposed NMS Plan for the Selection and Reservation of Securities Symbols to Add BOX Options Exchange LLC as a Party Thereto
Release No. Date Details

4-533
34-66957 May 10, 2012 Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add BOX Options Exchange LLC as a Party Thereto
Comments due:  June 6, 2012

File No. 4-546: Proposed Options Order Protection and Locked/Crossed Market Plan to Add the BOX Options Exchange LLC as a Participant
Release No. Date Details

4-546
34-66969 May 11, 2012 Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the BOX Options Exchange LLC as a Participant
Comments due:  June 7, 2012

File No. 4-631: National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc.
Release No. Date Details

4-631
34-67091 May 31, 2012 Order Approving, on a Pilot Basis, the National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. (Corrected version - date on page 44)
See also:   Notice: Release No. 34-65410 and Notice: Release No. 34-64547

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

SR-OPRA-2012-07
34-69453 Apr. 25, 2013 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Section 3.5 of the OPRA Plan
34-68655 Jan. 15, 2013 Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Section 3.5 of the OPRA Plan
Comments due: February 12, 2013

SR-OPRA-2012-05
34-67791 Sep. 6, 2012 Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Section 3.1 of the OPRA Plan
Comments due:  October 3, 2012

SR-OPRA-2012-04
34-67648 Aug. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Implement a New Fee for "Non-Display Applications"
Comments due:  September 7, 2012

SR-OPRA-2012-03
34-67589 Aug. 2, 2012 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Revise the Definition of the Term "Nonprofessional"
34-67210 Jun. 15, 2012 Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan to Revise the Definition of the Term "Nonprofessional"
Comments due:  July 13, 2012

SR-OPRA-2012-02
34-66564 Mar. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA's Fee Schedule
Comments due:  April 6, 2012

 

http://www.sec.gov/rules/sro/nms/nmsarchive/nms2012.shtml


Modified: 04/15/2014