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 |
|---|---|---|---|---|
| 34-97193 | Mar 24, 2023 | 4-698 | National Market System Plans (NMS) | Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail Comments Due: October 21, 2025 View Received Comments Submit a Comment on 4-698
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| 34-97151 | Mar 15, 2023 | 4-698 | National Market System Plans (NMS) | Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail Comments Due: October 21, 2025 View Received Comments |
| 34-96725 | Jan 20, 2023 | 4-698 | National Market System Plans (NMS) | Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail, as Modified by Partial Amendment No. 1 Comments Due: October 21, 2025 View Received Comments |
| 34-96568 | Dec 22, 2022 | 4-698 | National Market System Plans (NMS) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail Comments Due: October 21, 2025 View Received Comments |
| 34-96394 | Nov 28, 2022 | 4-698 | National Market System Plans (NMS) | Notice of Filing of Partial Amendment No. 1 to an Amendment to the National Market System Plan Governing the Consolidated Audit Trail Comments Due: October 21, 2025 View Received Comments |
| 34-96382 | Nov 23, 2022 | 4-698 | National Market System Plans (NMS) | Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail Comments Due: October 21, 2025 View Received Comments |
| 34-96102 | Oct 19, 2022 | 4-698 | National Market System Plans (NMS) | Notice of Withdrawal of Amendment to the National Market System Plan Governing the Consolidated Audit Trail Comments Due: October 21, 2025 View Received Comments |
| 34-95874 | Sep 22, 2022 | 4-698 | National Market System Plans (NMS) | Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Comments Due: October 21, 2025 View Received Comments |
| 34-95848 | Sep 21, 2022 | S7-24-89 | National Market System Plans (NMS) | Order Disapproving the Fifty-First Amendment 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 Comments Due: October 21, 2025 |
| 34-95851 | Sep 21, 2022 | SR-CTA/CQ-2021-03 | National Market System Plans (NMS) | Order Disapproving the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |