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NSX Rulemaking Archive: 2006

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

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

NSX File Number List for 2006

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NSX-2006-13
34-54829 Nov. 29, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Implement a Fee Schedule Under NSX Rule 16.1(a) and 16.1(c) for Transactions Executed Through NSX BLADE
Comments due:  December 27, 2006

SR-NSX-2006-15
34-54808 Nov. 21, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Rule Regarding Third-Party Routing Services in Respect of Orders Entered into NSX BLADE
Comments due:  December 20, 2006

SR-NSX-2006-14
34-54753 Nov. 14, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Implement a Fee Schedule Under NSX Rule 16.1(a) and 16.1(c) for Transactions Executed Through NSTS and to Modify a Fee Schedule for ITS Transactions
Comments due:  December 13, 2006

SR-NSX-2006-12
34-54692 Nov. 2, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement a Fee Schedule Under Rule 16.1(a) and 16.1(c) for Transactions Executed Through the Intermarket Trading System Plan and/or the Plan for the Purpose of Creating and Operating an Intermarket Communications Linkage
Comments due:  November 30, 2006
Third Quarter

SR-NSX-2006-11
34-54548 Sep. 29, 2006 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes Relating to Exchange to Exchange Billing Under the Linkage Plan
Other File Nos.: SR-Amex-2006-85; SR-BSE-2006-41; SR-CBOE-2006-80; SR-CHX-2006-28; SR-NASDAQ-2006-038; SR-NYSEArca-2006-69; SR-Phlx-2006-58
Comments due:  October 27, 2006

SR-NSX-2006-06
34-54539 Sep. 28, 2006 Order Approving Proposed Rule Change to Allow the Primary Market Print Protection Rule to be Applied on an Optional Basis
See also:  Notice: Rel. No. 34-54018

SR-NSX-2006-08
34-54391 Aug. 31, 2006 Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 Thereto to Amend Its Trading Rules to Provide for a Price-Time Priority Market and Other Related Changes
Comments due:  September 28, 2006
See also:  Notice: Rel. No. 34-54044
Comments received are available for this notice.

SR-NSX-2006-10
34-54194 Jul. 24, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a new Chapter XVI of the NSX Rules Relating to Dues, Fees, Assessments, Charges, and Market Data Rebate Programs
Comments due:  August 21, 2006

SR-NSX-2006-09
34-54180 Jul. 20, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend Its Fee Schedule Contained in Exchange Rule 11.10(A) to Include a Quotation Fee
Comments due:  August 16, 2006
Second Quarter

SR-NSX-2006-08
34-54044 Jun. 26, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend Its Trading Rules to Provide for a Strict Price-Time Priority Market and Other Related Changes
Comments due:  July 27, 2006
See also:  Order: Rel. No. 34-54391
Comments received are available for this notice.

SR-NSX-2006-06
34-54018 Jun. 20, 2006 Notice of Filing of Proposed Rule Change to Allow the Primary Market Print Protection Rule to be Applied on an Optional Basis
Comments due:  July 18, 2006
See also:  Order: Rel. No. 34-54539

SR-NSX-2006-03
34-53963 Jun. 8, 2006 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Demutualization of the National Stock Exchange
See also:  Notice: Rel. No. 34-53721
Comments received are available for this notice.

SR-NSX-2006-05
34-53861 May 24, 2006 Order Granting Approval to Proposed Rule Change to Prohibit Tape Shredding
See also:  Notice: Rel. No. 34-53663

SR-NSX-2006-07
34-53860 May 24, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Exchange's Tape B Market Data Revenue Sharing Program and to Establish a Tape C Market Data Revenue Sharing Program
Comments due:  June 22, 2006

SR-NSX-2006-03
34-53721 Apr. 25, 2006 Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Demutualization of the National Stock Exchange
Comments due:  May 24, 2006
Additional Materials: Exhibit 5
See also:  Order: Rel. No. 34-53963
Comments received are available for this notice.

SR-NSX-2005-09
34-53702 Apr. 21, 2006 Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 1 and 2 Thereto to Amend Exchange Delisting Rules to Conform to Recent Amendments to Commission Rules Regarding Removal from Listing and Withdrawal from Registration
Comments due:  May 22, 2006
See also:  Notice: Rel. No. 34-53508

SR-NSX-2006-05
34-53663 Apr. 17, 2006 Notice of Filing of Proposed Rule Change to Prohibit Tape Shredding
Comments due:  May 15, 2006
See also:  Order: Rel. No. 34-53861
First Quarter

SR-NSX-2005-09
34-53508 Mar. 17, 2006 Notice of Filing of Proposed Rule Change to Amend Exchange Delisting Rules to Conform to Recent Amendments to Commission Rules Regarding Removal from Listing and Withdrawal from Registration
Comments due:  April 12, 2006
See also:  Order: Rel. No. 34-53702

SR-NSX-2006-02
34-53195 Jan. 30, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 11.3 to Allow for Sub-Penny Quoting in Certain Securities
Comments due:  February 28, 2006

SR-NSX-2006-01
34-53174 Jan. 24, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee Schedule Contained in Exchange Rule 11.10(A) to Decrease the Monthly Transaction Fee Cap
Comments due:  February 21, 2006

SR-NSX-2005-10
34-53091 Jan. 10, 2006 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change to Establish Certain Fees with Respect to Transactions Executed through the Intermarket Trading System
Comments due:  February 8, 2006


NSX File Number List for 2006
Release No. Date Details

SR-NSX-2006-17
34-55041 Jan. 4, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify a Fee Schedule for Transactions Executed through NSX BLADESM and To Modify a Fee Schedule for ITS Transactions
Comments due:  February 1, 2007

SR-NSX-2006-16
34-55799 May 22, 2007 Order Approving Proposed Rule Change Regarding the Annual Certification of Compliance and Supervisory Processes
34-55631 Apr. 13, 2007 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Regarding the Annual Certification of Compliance and Supervisory Processes
Comments due:  May 10, 2007

SR-NSX-2006-15
34-54808 Nov. 21, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Rule Regarding Third-Party Routing Services in Respect of Orders Entered into NSX BLADE
Comments due:  December 20, 2006

SR-NSX-2006-14
34-54753 Nov. 14, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Implement a Fee Schedule Under NSX Rule 16.1(a) and 16.1(c) for Transactions Executed Through NSTS and to Modify a Fee Schedule for ITS Transactions
Comments due:  December 13, 2006

SR-NSX-2006-13
34-54829 Nov. 29, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Implement a Fee Schedule Under NSX Rule 16.1(a) and 16.1(c) for Transactions Executed Through NSX BLADE
Comments due:  December 27, 2006

SR-NSX-2006-12
34-54692 Nov. 2, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement a Fee Schedule Under Rule 16.1(a) and 16.1(c) for Transactions Executed Through the Intermarket Trading System Plan and/or the Plan for the Purpose of Creating and Operating an Intermarket Communications Linkage
Comments due:  November 30, 2006

SR-NSX-2006-11
34-54548 Sep. 29, 2006 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes Relating to Exchange to Exchange Billing Under the Linkage Plan
Other File Nos.: SR-Amex-2006-85; SR-BSE-2006-41; SR-CBOE-2006-80; SR-CHX-2006-28; SR-NASDAQ-2006-038; SR-NYSEArca-2006-69; SR-Phlx-2006-58
Comments due:  October 27, 2006

SR-NSX-2006-10
34-54194 Jul. 24, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a new Chapter XVI of the NSX Rules Relating to Dues, Fees, Assessments, Charges, and Market Data Rebate Programs
Comments due:  August 21, 2006

SR-NSX-2006-09
34-54180 Jul. 20, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend Its Fee Schedule Contained in Exchange Rule 11.10(A) to Include a Quotation Fee
Comments due:  August 16, 2006

SR-NSX-2006-08
34-54391 Aug. 31, 2006 Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 Thereto to Amend Its Trading Rules to Provide for a Price-Time Priority Market and Other Related Changes
Comments due:  September 28, 2006
34-54044 Jun. 26, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend Its Trading Rules to Provide for a Strict Price-Time Priority Market and Other Related Changes
Comments due:  July 27, 2006
Comments received are available for this notice.

SR-NSX-2006-07
34-53860 May 24, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Exchange's Tape B Market Data Revenue Sharing Program and to Establish a Tape C Market Data Revenue Sharing Program
Comments due:  June 22, 2006

SR-NSX-2006-06
34-54539 Sep. 28, 2006 Order Approving Proposed Rule Change to Allow the Primary Market Print Protection Rule to be Applied on an Optional Basis
34-54018 Jun. 20, 2006 Notice of Filing of Proposed Rule Change to Allow the Primary Market Print Protection Rule to be Applied on an Optional Basis
Comments due:  July 18, 2006

SR-NSX-2006-05
34-53861 May 24, 2006 Order Granting Approval to Proposed Rule Change to Prohibit Tape Shredding
34-53663 Apr. 17, 2006 Notice of Filing of Proposed Rule Change to Prohibit Tape Shredding
Comments due:  May 15, 2006

SR-NSX-2006-03
34-53963 Jun. 8, 2006 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Demutualization of the National Stock Exchange
34-53721 Apr. 25, 2006 Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Demutualization of the National Stock Exchange
Comments due:  May 24, 2006
Additional Materials: Exhibit 5
Comments received are available for this notice.

SR-NSX-2006-02
34-53195 Jan. 30, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 11.3 to Allow for Sub-Penny Quoting in Certain Securities
Comments due:  February 28, 2006

SR-NSX-2006-01
34-53174 Jan. 24, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee Schedule Contained in Exchange Rule 11.10(A) to Decrease the Monthly Transaction Fee Cap
Comments due:  February 21, 2006

 

http://www.sec.gov/rules/sro/nsx/nsxarchive/nsxarchive2006.shtml


Modified: 10/16/2014