National Market System (NMS) Plans 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.

Chronological List
Second Quarter |  First Quarter

Additional Archives

National Market System (NMS) Plans File Number List for 2022

File No. 4-533: National Market System Plan for the Selection and Reservation of Securities Symbols

File No. 4-698: National Market System Plan Governing the Consolidated Audit Trail

File No. 4-757: New National Market System Plan Regarding Consolidated Equity Market Data

File No. S7-24-89: Nasdaq UTP Plan

Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ)

Chronological List for 2022

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Release No. Date Details
Second Quarter
4-698
34-95031 Jun. 3, 2022 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 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
Comments due: 21 days after publication in the Federal Register
4-533
34-95040 Jun. 3, 2022 Order Approving Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by The Nasdaq Stock Market LLC, BOX Exchange LLC, Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., CBOE EDGX Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., MEMX LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
4-698
34-94984 May 25, 2022 Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: 21 days after publication in the Federal Register
S7-24-89
34-94954 May 19, 2022 Notice of Designation of a Longer Period for Commission Action on 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
S7-24-89
34-94953 May 19, 2022 Notice of Designation of a Longer Period for Commission Action on the Fifty-Second 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
SR-CTA/CQ-2021-03
34-94952 May 19, 2022 Notice of Designation of a Longer Period for Commission Action on the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan
SR-CTA/CQ-2021-02
34-94951 May 19, 2022 Notice of Designation of a Longer Period for Commission Action on the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Eighth Substantive Amendment to the Restated CQ Plan
First Quarter
4-533
34-94351 Mar. 2, 2022 Notice of Filing of Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols
See also: Appendix A - Symbology Plan
Comments due: March 29, 2022
Comments received are available for this proposal.
SR-CTA/CQ-2021-02
34-94310 Feb. 24, 2022 Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Eighth Substantive Amendment to the Restated CQ Plan
Comments due: March 23, 2022
Rebuttal comments due: April 6, 2022
Comments received are available for this proposal.
SR-CTA/CQ-2021-03
34-94309 Feb. 24, 2022 Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan
Comments due: March 23, 2022
Rebuttal comments due: April 6, 2022
S7-24-89
34-94308 Feb. 24, 2022 Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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: March 23, 2022
Rebuttal comments due: April 6, 2022
Comments received are available for this proposal.
S7-24-89
34-94307 Feb. 24, 2022 Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Fifty-Second 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: March 23, 2022
Rebuttal comments due: April 6, 2022
Comments received are available for this proposal.

File Number List for 2022

Release No. Date Details
4-698
34-95031 Jun. 3, 2022 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 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
Comments due: 21 days after publication in the Federal Register
34-94984 May 25, 2022 Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: 21 days after publication in the Federal Register
4-533
34-95040 Jun. 3, 2022 Order Approving Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by The Nasdaq Stock Market LLC, BOX Exchange LLC, Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., CBOE EDGX Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., MEMX LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
34-94351 Mar. 2, 2022 Notice of Filing of Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols
See also: Appendix A - Symbology Plan
Comments due: March 29, 2022
Comments received are available for this proposal.
S7-24-89
34-94954 May 19, 2022 Notice of Designation of a Longer Period for Commission Action on 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
34-94953 May 19, 2022 Notice of Designation of a Longer Period for Commission Action on the Fifty-Second 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
34-94308 Feb. 24, 2022 Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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: March 23, 2022
Rebuttal comments due: April 6, 2022
Comments received are available for this proposal.
34-94307 Feb. 24, 2022 Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Fifty-Second 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: March 23, 2022
Rebuttal comments due: April 6, 2022
Comments received are available for this proposal.