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 |
|---|---|---|---|---|
| 34-61226 | 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 |
| 34-60985 | Nov 10, 2009 | SR-CTA/CQ-2009-02 | National Market System Plans (NMS) | Notice of Filing of 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. 34-61226 |
| 34-60856 | Oct 21, 2009 | 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 BATS Exchange, Inc., as a Party Thereto View Received Comments |
| 34-60841 | Oct 20, 2009 | 4-546 | National Market System Plans (NMS) | Order Approving Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan View Received Comments See Also - Release No. 34-60507 |
| 34-60639 | Sep 9, 2009 | SR-CTA-2008-01 | National Market System Plans (NMS) | Order Approving the Eleventh Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan To Waive the Automatic Annual Increase in the Enterprise Cap for 2008 See Also - Release No. 34-60154 |
| 34-60582 | Aug 28, 2009 | 4-429 | National Market System Plans (NMS) | Order Approving Amendments To Withdraw From the Intermarket Options Linkage Plan Filed by Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc. View Received Comments See Also - Release No. 34-60360 |
| 34-60531 | Aug 19, 2009 | 4-443 | National Market System Plans (NMS) | Order Approving Amendment No. 3 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options View Received Comments See Also - Release No. 34-60365 |
| 34-60507 | Aug 14, 2009 | 4-546 | National Market System Plans (NMS) | Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan, and Notice of Filing of Such Amendment View Received Comments See Also - Release No. 34-60841 |
| 34-60405 | Jul 30, 2009 | 4-546 | National Market System Plans (NMS) | Order Approving the National Market System Plan Relating to Options Order Protection and Locked/Crossed Markets Submitted by the Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc. View Received Comments See Also - Release No. 34-59647 |
| 34-60365 | Jul 22, 2009 | 4-443 | National Market System Plans (NMS) | Notice of Filing of Amendment No. 3 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options View Received Comments See Also - Release No. 34-60531 |