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NSX Rulemaking Archive: 2012

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

NSX File Number List for 2012

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NSX-2012-24
34-68392 Dec. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: January 4, 2013

SR-NSX-2012-25
34-68391 Dec. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: January 4, 2013

SR-NSX-2012-22
34-68317 Nov. 29, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a New Order Type Called the Double Play Order
Comments due: December 26, 2012
Additional Materials: Exhibit 5

SR-NSX-2012-15
34-68312 Nov. 28, 2012 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1
See also: Order: Rel. No. 34-68662, Notice: Rel. No. 34-68039

SR-NSX-2012-23
34-68281 Nov. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Operation of the Exchange's Depth-of-Book Feed
Comments due: December 19, 2012

SR-NSX-2012-21
34-68228 Nov. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: December 11, 2012
Additional Materials: Exhibit 5

SR-NSX-2012-19
34-68226 Nov. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: December 11, 2012
Additional Materials: Exhibit 5

SR-NSX-2012-20
34-68215 Nov. 13, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: December 10, 2012
Additional Materials: Exhibit 5

SR-NSX-2012-18
34-68206 Nov. 9, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: December 7, 2012
Additional Materials: Exhibit 5

SR-NSX-2012-17
34-68175 Nov. 7, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: December 5, 2012

SR-NSX-2012-16
34-68056 Oct. 16 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Clarify the Handling of Zero Displayed Reserve Orders during Crossed Markets and to add a Definition of a Primary Peg Order
Comments due:  November 13, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-15
34-68039 Oct. 11, 2012 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Amending NSX Rule 15.5 to Comply with the Requirements of Exchange Act Rule 10C-1
Comments due:  November 7, 2012
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-68662, Notice: Rel. No. 34-68312
Third Quarter

SR-NSX-2012-14
34-67816 Sep. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Purpose of, and Statutory Basis for, the September 4, 2012 Changes to the NSX Fee and Rebate Schedule
Comments due:  October 5, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-13
34-67681 Aug. 17, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to add Rule 3.21 regarding Telephone Solicitation
Comments due:  September 13, 2012

SR-NSX-2012-12
34-67647 Aug. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Text of NSX Rule 11.15 to Clarify the Manner in which Certain Orders are Routed by the Exchange to Other Market Centers
Comments due:  September 7, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-10
34-67577 Aug. 2, 2012 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:  August 29, 2012

SR-NSX-2012-11
34-67576 Aug. 2, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend Pilot Program Regarding Clearly Erroneous Executions
Comments due:  August 29, 2012
Additional Materials:   Exhibit 5
Second Quarter

SR-NSX-2012-09
34-67319 Jun. 29, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NSX Fee and Rebate Schedule
Comments due:  July 26, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-08
34-67127 Jun. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to temporarily suspend the requirements of NSX Rule 2.5 and related NSX ETP Holder application rules and procedures in order to approve Apex Clearing Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. ("Apex Clearing") as an NSX ETP Holder
Comments due:  July 2, 2012

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
See also:  Notice: Rel. No. 34-66680; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65436

SR-NSX-2012-07
34-66958 May 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Purpose of, and Statutory Basis for, the May 1, 2012 Changes to the NSX Fee and Rebate Schedule.
Comments due:  June 6, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-05
34-66923 May 4, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules Regarding Routing of Limit Orders
Comments due:  May 31, 2012
Additional Materials:   Exhibit 5
First Quarter

SR-NSX-2011-11
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
See also:  Order: Rel. No. 34-67090; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65436

SR-NSX-2012-04
34-66511 Mar. 5, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NSX Fee and Rebate Schedule
Comments due:  March 30, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-03
34-66243 Jan. 26, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Effectuate an Amendment to Its Amended and Restated Certificate of Incorporation to Include a Reference to Section 242 of the General Corporation Law of the State of Delaware
Comments due:  February 22, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-01
34-66229 Jan. 24, 2012 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:  February 21, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-02
34-66221 Jan. 24, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend Pilot Program Regarding Clearly Erroneous Executions
Comments due:  February 21, 2012
Additional Materials:   Exhibit 5


NSX File Number List for 2012
Release No. Date Details

SR-NSX-2012-27
34-68612 Jan. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: February 5, 2013

SR-NSX-2012-25
34-68391 Dec. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: January 4, 2013

SR-NSX-2012-24
34-68392 Dec. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: January 4, 2013

SR-NSX-2012-23
34-68281 Nov. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Operation of the Exchange's Depth-of-Book Feed
Comments due: December 19, 2012

SR-NSX-2012-22
34-68317 Nov. 29, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a New Order Type Called the Double Play Order
Comments due: December 26, 2012
Additional Materials: Exhibit 5

SR-NSX-2012-21
34-68228 Nov. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: December 11, 2012
Additional Materials: Exhibit 5

SR-NSX-2012-20
34-68215 Nov. 13, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: December 10, 2012
Additional Materials: Exhibit 5

SR-NSX-2012-19
34-68226 Nov. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: December 11, 2012
Additional Materials: Exhibit 5

SR-NSX-2012-18
34-68206 Nov. 9, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: December 7, 2012
Additional Materials: Exhibit 5

SR-NSX-2012-17
34-68175 Nov. 7, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: December 5, 2012

SR-NSX-2012-16
34-68056 Oct. 16 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Clarify the Handling of Zero Displayed Reserve Orders during Crossed Markets and to add a Definition of a Primary Peg Order
Comments due:  November 13, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-15
34-68662 Jan. 15, 2013 Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 to Amend the Listing Rules for Compensation Committees to Comply with Rule 10C-1 under the Act
34-68312 Nov. 28, 2012 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1
34-68039 Oct. 11, 2012 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Amending NSX Rule 15.5 to Comply with the Requirements of Exchange Act Rule 10C-1
Comments due:  November 7, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-14
34-67816 Sep. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Purpose of, and Statutory Basis for, the September 4, 2012 Changes to the NSX Fee and Rebate Schedule
Comments due:  October 5, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-13
34-67681 Aug. 17, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to add Rule 3.21 regarding Telephone Solicitation
Comments due:  September 13, 2012

SR-NSX-2012-12
34-67647 Aug. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Text of NSX Rule 11.15 to Clarify the Manner in which Certain Orders are Routed by the Exchange to Other Market Centers
Comments due:  September 7, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-11
34-67576 Aug. 2, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend Pilot Program Regarding Clearly Erroneous Executions
Comments due:  August 29, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-10
34-67577 Aug. 2, 2012 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:  August 29, 2012

SR-NSX-2012-09
34-67319 Jun. 29, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NSX Fee and Rebate Schedule
Comments due:  July 26, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-08
34-67127 Jun. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to temporarily suspend the requirements of NSX Rule 2.5 and related NSX ETP Holder application rules and procedures in order to approve Apex Clearing Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. ("Apex Clearing") as an NSX ETP Holder
Comments due:  July 2, 2012

SR-NSX-2012-07
34-66958 May 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Purpose of, and Statutory Basis for, the May 1, 2012 Changes to the NSX Fee and Rebate Schedule.
Comments due:  June 6, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-05
34-66923 May 4, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules Regarding Routing of Limit Orders
Comments due:  May 31, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-04
34-66511 Mar. 5, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NSX Fee and Rebate Schedule
Comments due:  March 30, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-03
34-66243 Jan. 26, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Effectuate an Amendment to Its Amended and Restated Certificate of Incorporation to Include a Reference to Section 242 of the General Corporation Law of the State of Delaware
Comments due:  February 22, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-02
34-66221 Jan. 24, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend Pilot Program Regarding Clearly Erroneous Executions
Comments due:  February 21, 2012
Additional Materials:   Exhibit 5

SR-NSX-2012-01
34-66229 Jan. 24, 2012 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:  February 21, 2012
Additional Materials:   Exhibit 5

 

http://www.sec.gov/rules/sro/nsx/nsxarchive/nsxarchive2012.shtml


Modified: 03/22/2013