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NSX Rulemaking Archive: 2013

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

NSX File Number List for 2013

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NSX-2013-21
34-70890 Nov. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: December 12, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-20
34-70881 Nov. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.11 Regarding the Entry and Execution of Zero Display Reserve Orders Marked "Sell Short"
Comments due: December 11, 2013

SR-NSX-2013-19
34-70589 Oct. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.19 to Extend Pilot Program Regarding Clearly Erroneous Executions
Comments due: November 12, 2013
Additional Materials:  Exhibit 5
Third Quarter

SR-NSX-2013-18
34-70525 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: October 23, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-14
34-69941 Jul. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: August 2, 2013
Second Quarter

SR-NSX-2013-13
34-69874 Jun. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.11 to Automatically Prevent Entry of Zero Display Reserve Orders Marked "Sell Short."
Comments due: July 24, 2013

SR-NSX-2013-02
34-69519 May 6, 2013 Order Granting Approval of Proposed Rule Change to Adopt a New Order Type Called the "Auto-Ex Only" Order and Add New Definitions Regarding Automatic Execution Mode and Automatic Execution Orders
See also:  Notice: Rel. No. 34-69183, Notice: Rel. No. 34-68807

SR-NSX-2013-12
34-69296 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rule 11.24, Limit Up/Limit Down
Comments due: May 1, 2013
Additional Materials:  Exhibit 5
First Quarter

SR-NSX-2013-11
34-69213 Mar. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee and Rebate Schedule
Comments due: April 18, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-10
34-69212 Mar. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide the Ability to Prevent Zero Display Reserve Orders from Executing in a Locked Market
Comments due: April 18, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-02
34-69183 Mar. 19, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt a New Order Type Called the "Auto-Ex Only" Order
See also:  Order: Rel. No. 34-69519, Notice: Rel. No. 34-68807

SR-NSX-2013-09
34-69087 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Rules to Comply with the Requirements of the Plan to Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS
Comments due: April 4, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-08
34-69029 Mar. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee and Rebate Schedule
Comments due: March 29, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-07
34-69009 Feb. 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Order Type Called the Midpoint-Seeker Order and Amend Rule 11.3(c) Regarding Rounding of Sub-Penny Midpoint Executions
Comments due: March 28, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-05
34-68852 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.20B to Extend the Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments due: March 5, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-03
34-68824 Feb. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: March 4, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-02
34-68807 Feb. 1, 2013

Notice of Filing of a Proposed Rule Change to Adopt a New Order Type Called the "Auto-Ex Only" Order
Comments due: February 28, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69519, Notice: Rel. No. 34-69183
Comments received are available for this proposal.


SR-NSX-2013-06
34-68803 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.19 to Extend a Pilot Program Regarding Clearly Erroneous Executions
Comments due: February 28, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-04
34-68779 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Operative Date of Rule 11.20A Regarding Market-Wide Circuit Breakers Due to Extraordinary Market Volatility
Comments due: February 27, 2013

SR-NSX-2013-01
34-68684 Jan. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide for the Payment of Exchange Fees Through an Integrated Billing Process
Comments due: February 14, 2013
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
See also:  Notice: Rel. No. 34-68312, Notice: Rel. No. 34-68039

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


NSX File Number List for 2013
Release No. Date Details

SR-NSX-2013-21
34-70890 Nov. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: December 12, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-20
34-70881 Nov. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.11 Regarding the Entry and Execution of Zero Display Reserve Orders Marked "Sell Short"
Comments due: December 11, 2013

SR-NSX-2013-19
34-70589 Oct. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.19 to Extend Pilot Program Regarding Clearly Erroneous Executions
Comments due: November 12, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-18
34-70525 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: October 23, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-14
34-69941 Jul. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: August 2, 2013

SR-NSX-2013-13
34-69874 Jun. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.11 to Automatically Prevent Entry of Zero Display Reserve Orders Marked "Sell Short."
Comments due: July 24, 2013

SR-NSX-2013-12
34-69296 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rule 11.24, Limit Up/Limit Down
Comments due: May 1, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-11
34-69213 Mar. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee and Rebate Schedule
Comments due: April 18, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-10
34-69212 Mar. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide the Ability to Prevent Zero Display Reserve Orders from Executing in a Locked Market
Comments due: April 18, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-09
34-69087 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Rules to Comply with the Requirements of the Plan to Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS
Comments due: April 4, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-08
34-69029 Mar. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee and Rebate Schedule
Comments due: March 29, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-07
34-69009 Feb. 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Order Type Called the Midpoint-Seeker Order and Amend Rule 11.3(c) Regarding Rounding of Sub-Penny Midpoint Executions
Comments due: March 28, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-06
34-68803 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.19 to Extend a Pilot Program Regarding Clearly Erroneous Executions
Comments due: February 28, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-05
34-68852 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.20B to Extend the Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments due: March 5, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-04
34-68779 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Operative Date of Rule 11.20A Regarding Market-Wide Circuit Breakers Due to Extraordinary Market Volatility
Comments due: February 27, 2013

SR-NSX-2013-03
34-68824 Feb. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: March 4, 2013
Additional Materials:  Exhibit 5

SR-NSX-2013-02
34-69519 May 6, 2013 Order Granting Approval of Proposed Rule Change to Adopt a New Order Type Called the "Auto-Ex Only" Order and Add New Definitions Regarding Automatic Execution Mode and Automatic Execution Orders
34-69183 Mar. 19, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt a New Order Type Called the "Auto-Ex Only" Order
34-68807 Feb. 1, 2013 Notice of Filing of a Proposed Rule Change to Adopt a New Order Type Called the "Auto-Ex Only" Order
Comments due: February 28, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NSX-2013-01
34-68684 Jan. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide for the Payment of Exchange Fees Through an Integrated Billing Process
Comments due: February 14, 2013
Additional Materials:  Exhibit 5

 

http://www.sec.gov/rules/sro/nsx/nsxarchive/nsxarchive2013.shtml


Modified: 10/16/2014