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NSX Rulemaking

We encourage the public to submit comments on the following National Stock Exchange (NSX; formerly Cincinnati Stock Exchange) filings 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

NSX File Number List for 2015

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-NSX-2015-04
34-75554 Jul. 30, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.21, Short Sales, to Describe the Exchange’s Implementation of Rule 201 of Regulation SHO Under the Securities Exchange Act of 1934 and Relocate Certain Text from Rule 11.11, Orders and Modifiers; and Amending Rule 13.2 to Incorporate By Reference Rules 200, 203 and 204 of Regulation SHO
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.

SR-NSX-2015-03
34-75355 Jul. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4.3, Record of Written Complaints
Comments due:  July 30, 2015
Additional Materials: Exhibit 5
Second Quarter

SR-NSX-2015-02
34-75098 Jun. 3, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide an Expedited Process for Former Equity Trading Permit Holders to Apply for Reinstatement and Register Associated Persons
Comments due: June 30, 2015
Additional Materials: Exhibit 5A, Exhibit 5B
First Quarter

SR-NSX-2015-01
34-74597 Mar. 27, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the Amended and Restated Certificate of Incorporation of National Stock Exchange Holdings, Inc., the Exchange's Parent Corporation, and the Amended and Restated Certificate of Incorporation of the Exchange
Additional Materials:  Exhibit 5A and Exhibit 5B
Comments due: April 23, 2015

SR-NSX-2014-017
34-74270 Feb. 13, 2015 Order Granting Approval of Proposed Rule Change in Connection with a Proposed Transaction in Which National Stock Exchange Holdings, Inc. Will Acquire Ownership of the Exchange from the CBOE Stock Exchange, LLC
See also: Notice: Rel. No. 34-73944


NSX File Number List for 2015
Release No. Date Details

SR-NSX-2015-04
34-75554 Jul. 30, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.21, Short Sales, to Describe the Exchange’s Implementation of Rule 201 of Regulation SHO Under the Securities Exchange Act of 1934 and Relocate Certain Text from Rule 11.11, Orders and Modifiers; and Amending Rule 13.2 to Incorporate By Reference Rules 200, 203 and 204 of Regulation SHO
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.

SR-NSX-2015-03
34-75355 Jul. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4.3, Record of Written Complaints
Comments due:  July 30, 2015
Additional Materials: Exhibit 5

SR-NSX-2015-02
34-75098 Jun. 3, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide an Expedited Process for Former Equity Trading Permit Holders to Apply for Reinstatement and Register Associated Persons
Comments due: June 30, 2015
Additional Materials: Exhibit 5A, Exhibit 5B

SR-NSX-2015-01
34-74597 Mar. 27, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the Amended and Restated Certificate of Incorporation of National Stock Exchange Holdings, Inc., the Exchange's Parent Corporation, and the Amended and Restated Certificate of Incorporation of the Exchange
Additional Materials:  Exhibit 5A and Exhibit 5B
Comments due: April 23, 2015

 

http://www.sec.gov/rules/sro/nsx.shtml


Modified: 08/27/2015