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 |
|---|---|---|---|---|
| 34-67210 | Jun 15, 2012 | SR-OPRA-2012-03 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan To Revise the Definition of the Term "Nonprofessional" See Also - Release No. 34-67589 |
| 34-67091 | May 31, 2012 | 4-631 | National Market System Plans (NMS) | Joint Industry Plans; Order Approving, on a Pilot Basis, the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX 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 - Release No. 34-65410, Release No. 34-64547 |
| 34-66969 | May 11, 2012 | 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 the BOX Options Exchange LLC as a Participant View Received Comments |
| 34-66975 | May 11, 2012 | 4-551 | National Market System Plans (NMS) | Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE Amex LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, the BOX Options Exchange LLC, NASDAQ OMX BX, Inc. and the NASDAQ OMX PHLX, Inc. Concerning Options-Related Market Surveillance View Received Comments |
| 34-66974 | May 11, 2012 | S7-966 | National Market System Plans (NMS) | Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the BATS Exchange, Inc., BOX Options Exchange, LLC, the Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, NYSE Amex LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Concerning Options-Related Sales Practice Matters |
| 34-66957 | May 10, 2012 | 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 BOX Options Exchange LLC as a Party Thereto View Received Comments |
| 34-66952 | May 9, 2012 | 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 To Facilitate the Listing and Trading of Standardized Options To Add BOX Options Exchange LLC as a Sponsor View Received Comments |
| 34-66564 | Mar 9, 2012 | SR-OPRA-2012-02 | 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 Fee Schedule |
| 34-65866 | Dec 2, 2011 | S7-24-89 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Amendment No. 26 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc. View Received Comments |
| 34-65796 | Nov 21, 2011 | SR-OPRA-2011-05 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan To Adopt a Policy Named "Policy With Respect to Disaster Recovery Facilities" |