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NSX Rulemaking Archive: 2012
Chronological List
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
NSX File Number List for 2012
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| 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
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http://www.sec.gov/rules/sro/nsx/nsxarchive/nsxarchive2012.shtml
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