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.
Self-Regulatory Organization Rulemaking Table
|
File Number
|
SRO Organization
|
Details
|
||
|---|---|---|---|---|
| Release Number:34-99023 | SEC Issue Date:Nov 27, 2023 | File Number:4-698 | SRO Organization:National Market System Plans (NMS) |
Details: Order Granting an Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Recordkeeping Requirements for Industry Test Data, as Required by Rule 17a-1 Under th |
| Release Number:34-99001 | SEC Issue Date:Nov 21, 2023 | File Number:4-698 | SRO Organization:National Market System Plans (NMS) |
Details: Notice of Withdrawal of Amendment to the National Market System Plan Governing the Consolidated Audit Trail |
| Release Number:34-98928 | SEC Issue Date:Nov 14, 2023 | File Number:4-631 | SRO Organization:National Market System Plans (NMS) |
Details: Notice of Filing of the Twenty-Third Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regula View Received Comments |
| Release Number:34-98514 | SEC Issue Date:Sep 25, 2023 | File Number:SR-OPRA-2023-01 | SRO Organization:National Market System Plans (NMS) |
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Amendment to Modify the Options Price Reporting Authority's Fee Schedule Regarding Caps on the Amounts of Certain Port Fees Comments Due: October 20, 2023. Rebuttal comments should be submitted by November 3, 2023. |
| Release Number:34-98388 | SEC Issue Date:Sep 14, 2023 | File Number:4-443 | SRO Organization:National Market System Plans (NMS) |
Details: 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 MEMX LLC as a Plan Sponsor Comments Due: October 11, 2023 |
| Release Number:34-98290 | SEC Issue Date:Sep 6, 2023 | File Number:4-698 | SRO Organization:National Market System Plans (NMS) |
Details: Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments See Also - Fact Sheet, Press Release |
| Release Number:34-98303 | SEC Issue Date:Sep 6, 2023 | File Number:4-546 | SRO Organization:National Market System Plans (NMS) |
Details: Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add MEMX, LLC, as a Participant Comments Due: October 3, 2023 Submit a Comment on 4-546
|
| Release Number:34-98165 | SEC Issue Date:Aug 18, 2023 | File Number:4-698 | SRO Organization:National Market System Plans (NMS) |
Details: Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail Comments Due: September 14, 2023 View Received Comments |
| Release Number:34-98012 | SEC Issue Date:Jul 27, 2023 | File Number:SR-OPRA-2023-01 | SRO Organization:National Market System Plans (NMS) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Amendment to Modify the OPRA Fee Schedule Regarding Caps on Certain Port Fees Comments Due: August 23, 2023 |
| Release Number:34-97750 | SEC Issue Date:Jun 16, 2023 | File Number:SR– NYSEArca–2023–42, 4-698 | SRO Organization:National Market System Plans (NMS) |
Details: 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: July 14, 2023 View Received Comments |