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NSX Rulemaking Archive: 2015
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 2015
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-2015-07 |
| 34-76736 |
Dec. 22, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee and Rebate Schedule Pursuant to Exchange Rule 16.1
Comments due: January 19, 2016
Additional Materials: Exhibit 5
|
SR-NSX-2015-05 |
| 34-76640 |
Dec. 14, 2015 |
Order Approving a Proposed Rule Change to Modify and Eliminate Certain Rules and to Enable Trading Activity to Resume on the Exchange
See also: Notice: Rel. No. 34-76390
|
SR-NSX-2015-06 |
| 34-76497 |
Nov. 20, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 2.13, Mandatory Participation in Testing of Backup Systems
Comments due: December 14, 2015
Additional Materials: Exhibit 5
|
SR-NSX-2015-05 |
| 34-76390 |
Nov. 9, 2015 |
Notice of Filing of Proposed Rule Change Amending Rule 11.1, Hours of Trading, To Rescind Interpretations and Policies .01, “Cessation of Trading Operations on NSX;” Adopting Rule 11.25 Relating to Use of Market Data Feeds; Amending NSX Rule 11.13 Relating to the Order Delivery Mode of Order Interaction; Amending NSX Rule 11.11 to Remove Certain Order Types and Correct Technical Deficiencies in the Numbering of Certain Sections of the Rule; and Amending Rule 11.12, Cross Message and Making Conforming Amendments to NSX Rules 11.11(c) and 16.2
Comments due: December 4, 2015
See also: Order: Rel. No. 34-76640
Additional Materials: Exhibit 5
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| Third Quarter |
SR-NSX-2015-04 |
| 34-75554 |
Jul. 30, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.21, Short Sales, to Describe the Exchange’s Implementation of Rule 201 of Regulation SHO Under the Securities Exchange Act of 1934 and Relocate Certain Text from Rule 11.11, Orders and Modifiers; and Amending Rule 13.2 to Incorporate By Reference Rules 200, 203 and 204 of Regulation SHO
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.
|
SR-NSX-2015-03 |
| 34-75355 |
Jul. 2, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4.3, Record of Written Complaints
Comments due: July 30, 2015
Additional Materials: Exhibit 5
|
| Second Quarter |
SR-NSX-2015-02 |
| 34-75098 |
Jun. 3, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide an Expedited Process for Former Equity Trading Permit Holders to Apply for Reinstatement and Register Associated Persons
Comments due: June 30, 2015
Additional Materials: Exhibit 5A, Exhibit 5B
|
| First Quarter |
SR-NSX-2015-01 |
| 34-74597 |
Mar. 27, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the Amended and Restated Certificate of Incorporation of National Stock Exchange Holdings, Inc., the Exchange's Parent Corporation, and the Amended and Restated Certificate of Incorporation of the Exchange
Additional Materials: Exhibit 5A and Exhibit 5B
Comments due: April 23, 2015
|
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
See also: Notice: Rel. No. 34-73944
|
| NSX File Number List for 2015 |
| Release No. |
Date |
Details |
SR-NSX-2015-07 |
| 34-76736 |
Dec. 22, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee and Rebate Schedule Pursuant to Exchange Rule 16.1
Comments due: January 19, 2016
Additional Materials: Exhibit 5
|
SR-NSX-2015-06 |
| 34-76497 |
Nov. 20, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 2.13, Mandatory Participation in Testing of Backup Systems
Comments due: December 14, 2015
Additional Materials: Exhibit 5
|
SR-NSX-2015-05 |
| 34-76640 |
Dec. 14, 2015 |
Order Approving a Proposed Rule Change to Modify and Eliminate Certain Rules and to Enable Trading Activity to Resume on the Exchange |
| 34-76390 |
Nov. 9, 2015 |
Notice of Filing of Proposed Rule Change Amending Rule 11.1, Hours of Trading, To Rescind Interpretations and Policies .01, “Cessation of Trading Operations on NSX;” Adopting Rule 11.25 Relating to Use of Market Data Feeds; Amending NSX Rule 11.13 Relating to the Order Delivery Mode of Order Interaction; Amending NSX Rule 11.11 to Remove Certain Order Types and Correct Technical Deficiencies in the Numbering of Certain Sections of the Rule; and Amending Rule 11.12, Cross Message and Making Conforming Amendments to NSX Rules 11.11(c) and 16.2
Comments due: December 4, 2015
Additional Materials: Exhibit 5
|
SR-NSX-2015-04 |
| 34-75554 |
Jul. 30, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.21, Short Sales, to Describe the Exchange’s Implementation of Rule 201 of Regulation SHO Under the Securities Exchange Act of 1934 and Relocate Certain Text from Rule 11.11, Orders and Modifiers; and Amending Rule 13.2 to Incorporate By Reference Rules 200, 203 and 204 of Regulation SHO
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.
|
SR-NSX-2015-03 |
| 34-75355 |
Jul. 2, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4.3, Record of Written Complaints
Comments due: July 30, 2015
Additional Materials: Exhibit 5
|
SR-NSX-2015-02 |
| 34-75098 |
Jun. 3, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide an Expedited Process for Former Equity Trading Permit Holders to Apply for Reinstatement and Register Associated Persons
Comments due: June 30, 2015
Additional Materials: Exhibit 5A, Exhibit 5B
|
SR-NSX-2015-01 |
| 34-74597 |
Mar. 27, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the Amended and Restated Certificate of Incorporation of National Stock Exchange Holdings, Inc., the Exchange's Parent Corporation, and the Amended and Restated Certificate of Incorporation of the Exchange
Additional Materials: Exhibit 5A and Exhibit 5B
Comments due: April 23, 2015
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http://www.sec.gov/rules/sro/nsx/nsxarchive/nsxarchive2015.shtml
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