National Market System Plans (NMS) Rulemaking
We encourage the public to submit comments on the following 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.
| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-80300 | Mar 23, 2017 | SR-CTA/CQ-2017-02 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of the Twenty-Second Charges Amendment to the Second Restatement of the CTA Plan and the Thirteenth Charges Amendment to the Restated CQ Plan View Received Comments |
| 34-80203 | Mar 10, 2017 | 4-631 | National Market System Plans (NMS) | Notice of Filing of the Thirteenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. View Received Comments See Also - Exhibit A, Rel. No. 34-80549, Rel. No. 34-80455, Rel. No. 34-79845 |
| 34-79897 | Jan 30, 2017 | 4-443 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add MIAX PEARL, LLC as a Plan Sp View Received Comments |
| 34-79896 | Jan 30, 2017 | 4-546 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add MIAX PEARL, LLC as a Participant View Received Comments |
| 34-79898 | Jan 30, 2017 | 4-698 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail To Add MIAX PEARL, LLC as a Participant View Received Comments See Also - Rel. No. 34-81189, Rel. No. 34-80930 |
| 34-79845 | Jan 19, 2017 | 4-631 | National Market System Plans (NMS) | Order Approving the Twelfth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. View Received Comments See Also - Rel. No. 34-80549, Rel. No. 34-80455, Rel. No. 34-80203 |
| 34-79422 | Nov 29, 2016 | 4-533 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add Investors Exchange, LLC as a Party Thereto View Received Comments |
| 34-79410 | Nov 28, 2016 | 4-631 | National Market System Plans (NMS) | Notice of Filing of the Twelfth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. View Received Comments |
| 34-79318 | Nov 15, 2016 | 4-698 | National Market System Plans (NMS) | Order Approving the National Market System Plan Governing the Consolidated Audit Trail View Received Comments See Also - Exhibit A, Exhibit B, Rel. No. 34-78441, Rel. No. 34-77724 |
| 34-79153 | Oct 25, 2016 | SR-OPRA-2016-02 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend OPRA's Non-Display Use Fees |