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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
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2002
| 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
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http://www.sec.gov/rules/sro/nsx/nsxarchive/nsxarchive2006.shtml
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