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 |
|---|---|---|---|---|
| 34-62823 | Sep 1, 2010 | 4-51 | National Market System Plans (NMS) | Order Approving Amendment To Add EDGA Exchange, Inc. and EDGX Exchange, Inc. as Participants to National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS |
| 34-62573 | Jul 26, 2010 | 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 EDGA Exchange, Inc. and EDGX Exchange, Inc., Each as a Party Thereto View Received Comments |
| 34-62289 | Jun 14, 2010 | SR-CTA/CQ-2009-03 | National Market System Plans (NMS) | Order Approving the Fifteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Eleventh Substantive Amendment to the Restated Consolidated Quotation Plan See Also - Release No. 34-61457 |
| 34-62021 | Apr 30, 2010 | S7-24-89 | National Market System Plans (NMS) | Notice of Filing of Amendment No. 21 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., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc View Received Comments |
| 34-61824 | Apr 1, 2010 | 4-518 | National Market System Plans (NMS) | Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures Under Rule 605 of Regulation NMS |
| 34-61546 | Feb 19, 2010 | 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 BATS Exchange, Inc. as a Participant View Received Comments |
| 34-61528 | Feb 17, 2010 | 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 BATS Exchange, Inc. as a Sponsor View Received Comments See Also - Release No. 34-63162 |
| 34-61457 | Feb 1, 2010 | SR-CTA/CQ-2009-03 | National Market System Plans (NMS) | Notice of Filing of the Fifteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Eleventh Substantive Amendment to the Restated Consolidated Quotation Plan See Also - Release No. 34-62289 |
| 34-61367 | Jan 15, 2010 | SR-OPRA-2009-01 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Proposed Amendment To Revise the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Serve as the Operating Agreement for OPRA LLC See Also - Exhibit A |
| 34-61226 | Dec 22, 2009 | SR-CTA/CQ-2009-02 | National Market System Plans (NMS) | Order Approving the Thirteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Seventh Charges Amendment to the Restated Consolidated Quotation Plan See Also - Release No. 34-60985 |