|
|
 |
NSX Rulemaking Archive: 2014
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 2014
Additional Archives
2017 | 2016 |
2015 |
2014 |
2013 |
2012 |
2011 |
2010 |
2009 |
2008 |
2007 |
2006 |
2005 |
2004 |
2003 |
2002
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NSX-2014-017 |
| 34-73944 |
Dec. 24, 2014 |
Notice of Filing of Proposed Rule Change in Connection with a Proposed Transaction in Which National Stock Exchange Holdings, Inc. Will Acquire Ownership of the Exchange from the CBOE Stock Exchange, LLC
Comments due: January 23, 2015
Additional Materials: Exhibit 5A, Exhibit 5B, Exhibit 5C, and Exhibit 5D
See also: Notice: Rel. No. 34-74270
|
| Third Quarter |
SR-NSX-2014-16 |
| 34-72914 |
Aug. 26, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 15.5 to Provide Additional Clarity and Precision, Correct Certain Citations, and Align the Rule with the Rules of Other Exchanges With Respect to the Original and Continued Listing Standards for Issuers' Compensation Committees
Comments due: September 23, 2014
Additional Materials: Exhibit 5
|
| Second Quarter |
SR-NSX-2014-08 |
| 34-72434 |
Jun. 19, 2014 |
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NYSE-2014-22, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
See also: Notice: Rel. No. 34-72046
|
SR-NSX-2014-15 |
| 34-72227 |
May 22, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Requirements Pertaining to Sponsored Access Under Rules 11.9 and 11.17
Comments due: June 19, 2014
Additional Materials: Exhibit 5
|
SR-NSX-2014-13 |
| 34-72215 |
May 21, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.1 to Shorten the Operating Hours for the Post-Regular Trading Hours Trading Session
Comments due: June 18, 2014
Additional Materials: Exhibit 5
|
SR-NSX-2014-14 |
| 34-72107 |
May 6, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Cease Trading on Its Trading System
Comments due: June 2, 2014
Additional Materials: Exhibit 5
|
SR-NSX-2014-12 |
| 34-72106 |
May 6, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule to Change Certain Fees Applicable to Liquidity Providers, Eliminate a Rebate and Adopt a Fee for Removing Liquidity, and Reducing a Fee for Routed Orders, All With Respect to Securities Priced at $1.00 or Greater
Comments due: June 2, 2014
Additional Materials: Exhibit 5
|
SR-NSX-2014-08 |
| 34-72046 |
Apr. 30, 2014 |
Notice of Filing of Proposed Rule Change to Amend Exchange Rule 11.19 entitled "Clearly Erroneous Executions" to Add Provisions Regarding Executions Based on Incorrect or Grossly Misinterpreted Issuance Information and Executions Occurring After a Trading Halt Has Been Declared
Comments due: May 27, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72434
|
SR-NSX-2014-11 |
| 34-71983 |
Apr. 21, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee and Rebate Schedule With Respect to Securities Priced at $1.00 or Greater.
Comments due: May 16, 2014
Additional Materials: Exhibit 5
|
| First Quarter |
SR-NSX-2014-07 |
|
34-71797 |
Mar. 25, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Related to Rule 11.19, Titled "Clearly Erroneous Executions"
Comments due: April 21, 2014
Additional Materials:
Exhibit 5
|
SR-NSX-2014-06 |
|
34-71662 |
Mar. 7, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule to Reduce a Fee for Orders Routed to Other Trading Centers
Comments due: April 3, 2014
Additional Materials:
Exhibit 5
|
SR-NSX-2014-05 |
|
34-71641 |
Mar. 4, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee and Rebate Schedule to Adopt a New Pricing Model and Make Other Conforming Changes
Comments due: March 31, 2014
Additional Materials:
Exhibit 5
|
SR-NSX-2014-01 |
|
34-71332 |
Jan. 16, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule With Respect to the Order Delivery Mode of Interaction With the Exchange
Comments due: February 13, 2014
Additional Materials:
Exhibit 5
|
| NSX File Number List for 2014 |
| Release No. |
Date |
Details |
SR-NSX-2014-017 |
| 34-74270 |
Feb. 13, 2015 |
Order Granting Approval of Proposed Rule Change in Connection with a Proposed Transaction in Which National Stock Exchange Holdings, Inc. Will Acquire Ownership of the Exchange from the CBOE Stock Exchange, LLC
|
| 34-73944 |
Dec. 24, 2014 |
Notice of Filing of Proposed Rule Change in Connection with a Proposed Transaction in Which National Stock Exchange Holdings, Inc. Will Acquire Ownership of the Exchange from the CBOE Stock Exchange, LLC
Comments due: January 23, 2015
Additional Materials: Exhibit 5A, Exhibit 5B, Exhibit 5C, and Exhibit 5D
|
SR-NSX-2014-16 |
| 34-72914 |
Aug. 26, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 15.5 to Provide Additional Clarity and Precision, Correct Certain Citations, and Align the Rule with the Rules of Other Exchanges With Respect to the Original and Continued Listing Standards for Issuers' Compensation Committees
Comments due: September 23, 2014
Additional Materials: Exhibit 5
|
SR-NSX-2014-15 |
| 34-72227 |
May 22, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Requirements Pertaining to Sponsored Access Under Rules 11.9 and 11.17
Comments due: June 19, 2014
Additional Materials: Exhibit 5
|
SR-NSX-2014-14 |
| 34-72107 |
May 6, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Cease Trading on Its Trading System
Comments due: June 2, 2014
Additional Materials: Exhibit 5
|
SR-NSX-2014-13 |
| 34-72215 |
May 21, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.1 to Shorten the Operating Hours for the Post-Regular Trading Hours Trading Session
Comments due: June 18, 2014
Additional Materials: Exhibit 5
|
SR-NSX-2014-12 |
| 34-72106 |
May 6, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule to Change Certain Fees Applicable to Liquidity Providers, Eliminate a Rebate and Adopt a Fee for Removing Liquidity, and Reducing a Fee for Routed Orders, All With Respect to Securities Priced at $1.00 or Greater
Comments due: June 2, 2014
Additional Materials: Exhibit 5
|
SR-NSX-2014-11 |
| 34-71983 |
Apr. 21, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee and Rebate Schedule With Respect to Securities Priced at $1.00 or Greater.
Comments due: May 16, 2014
Additional Materials: Exhibit 5
|
SR-NSX-2014-08 |
| 34-72434 |
Jun. 19, 2014 |
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NYSE-2014-22, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
|
| 34-72046 |
Apr. 30, 2014 |
Notice of Filing of Proposed Rule Change to Amend Exchange Rule 11.19 entitled "Clearly Erroneous Executions" to Add Provisions Regarding Executions Based on Incorrect or Grossly Misinterpreted Issuance Information and Executions Occurring After a Trading Halt Has Been Declared
Comments due: May 27, 2014
Additional Materials: Exhibit 5
|
SR-NSX-2014-07 |
|
34-71797 |
Mar. 25, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Related to Rule 11.19, Titled "Clearly Erroneous Executions"
Comments due: April 21, 2014
Additional Materials:
Exhibit 5
|
SR-NSX-2014-06 |
|
34-71662 |
Mar. 7, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule to Reduce a Fee for Orders Routed to Other Trading Centers
Comments due: April 3, 2014
Additional Materials:
Exhibit 5
|
SR-NSX-2014-05 |
|
34-71641 |
Mar. 4, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee and Rebate Schedule to Adopt a New Pricing Model and Make Other Conforming Changes
Comments due: March 31, 2014
Additional Materials:
Exhibit 5
|
SR-NSX-2014-01 |
|
34-71332 |
Jan. 16, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule With Respect to the Order Delivery Mode of Interaction With the Exchange
Comments due: February 13, 2014
Additional Materials:
Exhibit 5
|
http://www.sec.gov/rules/sro/nsx/nsxarchive/nsxarchive2014.shtml
|
