SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


NSX Rulemaking Archive: 2011

Chronological List
Fourth Quarter | Third Quarter |  Second Quarter | First Quarter

NSX File Number List for 2011

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NSX-2011-14
34-66071 Dec. 29, 2011 Order Granting Accelerated Approval to Proposed Rule Changes in Connection with the Proposed Acquisition of the National Stock Exchange, Inc. by CBOE Stock Exchange, LLC
Additional File No.:  SR-CBOE-2011-107
See also:  Notice: Rel. No. 34-65842

SR-NSX-2011-11
34-66065 Dec. 28, 2011 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due:  January 25, 2012
Rebuttal comments due:  February 8, 2012
Additional File Nos.:  SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also:  Order: Rel. No. 34-67090; Notice: Rel. No 34-66680; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65436
Comments received are available for this notice.

SR-NSX-2011-15
34-66007 Dec. 20, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due:  January 17, 2012

SR-NSX-2011-14
34-65842 Nov. 28, 2011 Notice of Filing of Proposed Rule Change Relating to the Proposed Rule Change in Connection with the Proposed Purchase and Sale of the National Stock Exchange, Inc. to CBOE Stock Exchange, Inc.
Comments due:  December 23, 2011
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-66071

SR-NSX-2011-13
34-65821 Nov. 23, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude All Rights and Warrants from the Definition of "Circuit Breaker Securities" and Providing the Appropriate Provisions for an Early Scheduled Close
Comments due:  December 21, 2011
Additional Materials:   Exhibit 5

SR-NSX-2011-012
34-65804 Nov. 22, 2011 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend NSX Rules to Conform with Section 957 of the Dodd-Frank Act Prohibiting Members Voting Uninstructed Shares on Certain Matters
Comments due:  December 20, 2011

SR-NSX-2011-11
34-65770 Nov. 17, 2011 Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also:  Order: Rel. No. 34-67090; Notice: Rel. No 34-66680; Order: Rel. No. 34-66065; and Notice: Rel. No. 34-65436
Comments received are available for this proposal.
Third Quarter

SR-NSX-2011-11
34-65436 Sep. 28, 2011 Notice of Filing of Proposed Rule Change to Revise the Current Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility
Comments due:  October 25, 2011
See also:  Order: Rel. No. 34-67090; Notice: Rel. No 34-66680; Order: Rel. No. 34-66065; and Notice: Rel. No. 34-65770
Comments received are available for this notice.

SR-NSX-2011-10
34-65114 Aug. 11, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Rule 11.19(c) Relating to Clearly Erroneous Transactions
Comments due:  September 8, 2011
Additional Materials:   Exhibit 5

SR-NSX-2011-08
34-65095 Aug. 10, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments due:  September 6, 2011
Additional Materials:   Exhibit 5

SR-NSX-2011-09
34-65067 Aug. 9, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend Pilot Program Regarding Clearly Erroneous Executions
Comments due:  September 6, 2011
Additional Materials:   Exhibit 5

SR-NSX-2011-07
34-64909 Jul. 18, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Rule 11.15 Consistent with the Implementation of the Adoption of Rule 15c3-5 under the Act
Comments due:  August 12, 2011
Second Quarter

SR-NSX-2011-06
34-64735 Jun. 23, 2011 Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.:  SR-BATS-2011-016, SR-BYX-2011-011, SR-BX-2011-025, SR-CBOE-2011-049, SR-CHX-2011-09, SR-EDGA-2011-15, SR-EDGX-2011-14, SR-FINRA-2011-023, SR-ISE-2011-028, SR-NASDAQ-2011-067, SR-NYSE-2011-21, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26, SR-Phlx-2011-64
See also:  Notice: Rel. No. 34-64425

SR-NSX-2011-06
34-64425 May 6, 2011 Notice of Filing of Proposed Rule Change to Amend its Rules to Extend a Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility To All NMS Stocks and to Make Conforming Changes to Market Maker Quoting Obligations
Comments due:  June 2, 2011
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-64735

SR-NSX-2011-05
34-64242 Apr. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend Pilot Program Regarding Clearly Erroneous Executions
Comments due:  May 4, 2011
Additional Materials:   Exhibit 5

SR-NSX-2011-04
34-64213 Apr. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend a Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments due:  May 3, 2011

SR-NSX-2011-02
34-64208 Apr. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NSX Fee and Rebate Schedule and NSX Rule 16.4
Comments due:  May 3, 2011
Additional Materials:   Exhibit 5
First Quarter

SR-NSX-2011-03
34-64158 Mar. 31, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enable the Use of a Replace Message to Modify the Display Quantity of a Reserve Order, and Certain Other Conforming Changes to Exchange Rules
Comments due:  April 27, 2011
Additional Materials:   Exhibit 5
Comments received are available for this notice.

SR-NSX-2011-01
34-63832 Feb. 3, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand Use of Self Trade Prevention Order Modifiers
Comments due:  March 3, 2011
Additional Materials:   Exhibit 5


NSX File Number List for 2011
Release No. Date Details

SR-NSX-2011-15
34-66007 Dec. 20, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due:  January 17, 2012

SR-NSX-2011-14
34-66071 Dec. 29, 2011 Order Granting Accelerated Approval to Proposed Rule Changes in Connection with the Proposed Acquisition of the National Stock Exchange, Inc. by CBOE Stock Exchange, LLC
Additional File No.:  SR-CBOE-2011-107
34-65842 Nov. 28, 2011 Notice of Filing of Proposed Rule Change Relating to the Proposed Rule Change in Connection with the Proposed Purchase and Sale of the National Stock Exchange, Inc. to CBOE Stock Exchange, Inc.
Comments due:  December 23, 2011
Additional Materials:   Exhibit 5

SR-NSX-2011-13
34-65821 Nov. 23, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude All Rights and Warrants from the Definition of "Circuit Breaker Securities" and Providing the Appropriate Provisions for an Early Scheduled Close
Comments due:  December 21, 2011
Additional Materials:   Exhibit 5

SR-NSX-2011-012
34-65804 Nov. 22, 2011 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend NSX Rules to Conform with Section 957 of the Dodd-Frank Act Prohibiting Members Voting Uninstructed Shares on Certain Matters
Comments due:  December 20, 2011

SR-NSX-2011-11
34-67090 May 31, 2012 Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments due:  June 27, 2012
34-66680 Mar. 29, 2012 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
34-66065 Dec. 28, 2011 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
34-65770 Nov. 17, 2011 Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due:  January 25, 2012
Rebuttal comments due:  February 8, 2012
Additional File Nos.:  SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
34-65436 Sep. 28, 2011 Notice of Filing of Proposed Rule Change to Revise the Current Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility
Comments due:  October 25, 2011
Comments received are available for this notice.
* Submit comments on SR-NSX-2011-11

SR-NSX-2011-10
34-65114 Aug. 11, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Rule 11.19(c) Relating to Clearly Erroneous Transactions
Comments due:  September 8, 2011
Additional Materials:   Exhibit 5

SR-NSX-2011-09
34-65067 Aug. 9, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend Pilot Program Regarding Clearly Erroneous Executions
Comments due:  September 6, 2011
Additional Materials:   Exhibit 5

SR-NSX-2011-08
34-65095 Aug. 10, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments due:  September 6, 2011
Additional Materials:   Exhibit 5

SR-NSX-2011-07
34-64909 Jul. 18, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Rule 11.15 Consistent with the Implementation of the Adoption of Rule 15c3-5 under the Act
Comments due:  August 12, 2011

SR-NSX-2011-06
34-64735 Jun. 23, 2011 Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.:  SR-BATS-2011-016, SR-BYX-2011-011, SR-BX-2011-025, SR-CBOE-2011-049, SR-CHX-2011-09, SR-EDGA-2011-15, SR-EDGX-2011-14, SR-FINRA-2011-023, SR-ISE-2011-028, SR-NASDAQ-2011-067, SR-NYSE-2011-21, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26, SR-Phlx-2011-64
34-64425 May 6, 2011 Notice of Filing of Proposed Rule Change to Amend its Rules to Extend a Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility To All NMS Stocks and to Make Conforming Changes to Market Maker Quoting Obligations
Comments due:  June 2, 2011
Additional Materials:   Exhibit 5

SR-NSX-2011-05
34-64242 Apr. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend Pilot Program Regarding Clearly Erroneous Executions
Comments due:  May 4, 2011
Additional Materials:   Exhibit 5

SR-NSX-2011-04
34-64213 Apr. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend a Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments due:  May 3, 2011

SR-NSX-2011-03
34-64158 Mar. 31, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enable the Use of a Replace Message to Modify the Display Quantity of a Reserve Order, and Certain Other Conforming Changes to Exchange Rules
Comments due:  April 27, 2011
Additional Materials:   Exhibit 5
Comments received are available for this notice.

SR-NSX-2011-02
34-64208 Apr. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NSX Fee and Rebate Schedule and NSX Rule 16.4
Comments due:  May 3, 2011
Additional Materials:   Exhibit 5

SR-NSX-2011-01
34-63832 Feb. 3, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand Use of Self Trade Prevention Order Modifiers
Comments due:  March 3, 2011
Additional Materials:   Exhibit 5

 

http://www.sec.gov/rules/sro/nsx/nsxarchive/nsxarchive2011.shtml


Modified: 07/19/2012