NMS Plans

We encourage the public to submit comments on the following National Market System (NMS) plans 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
First Quarter

NMS File Number List for 2020

Additional Archives

NMS File Number List for 2020

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

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

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

File No. 4-631: National Market System Plan to Address Extraordinary Market Volatility

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Release No. Date Details
First Quarter
4-631
34-88122 Feb. 5, 2020 Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Address Extraordinary Market Volatility to Add the Long-Term Stock Exchange LLC as a Participant
Comments due: March 3, 2020
S7-24-89
34-88017 Jan. 23, 2020 Notice of Filing of the Forty-Fifth 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: February 18, 2020
SR-CTA-2019-02
34-88016 Jan. 23, 2020 Notice of Filing of the Thirty-First Substantive Amendment to the Second Restatement of the CTA Plan
Comments due: February 18, 2020
S7-24-89
34-87910 Jan. 8, 2020 Notice of Filing of the Forty-Seventh 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: February 4, 2020
Comments received are available for this proposal.
SR-CTA/CQ-2019-04
34-87909 Jan. 8, 2020 Notice of Filing of the Thirty-Third Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Fourth Substantive Amendment to the Restated CQ Plan
Comments due: February 4, 2020
Comments received are available for this proposal.
S7-24-89
34-87908 Jan. 8, 2020 Notice of Filing of the Forty-Fourth 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: February 4, 2020
Comments received are available for this proposal.
SR-CTA/CQ-2019-01
34-87907 Jan. 8, 2020 Notice of Filing of the Thirtieth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Second Substantive Amendment to the Restated CQ Plan
Comments due: February 4, 2020
Comments received are available for this proposal.
4-757
34-87906 Jan. 8, 2020 Notice of Proposed Order Directing the Exchanges and the Financial Industry Regulatory Authority to Submit a New National Market System Plan Regarding Consolidated Equity Market Data
Comments due: February 28, 2020
Comments received are available for this proposal.

File Number List for 2020

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

Release No. Date Details
SR-CTA-2019-02
34-88016 Jan. 23, 2020 Notice of Filing of the Thirty-First Substantive Amendment to the Second Restatement of the CTA Plan
Comments due: February 18, 2020
SR-CTA/CQ-2019-04
34-87909 Jan. 8, 2020 Notice of Filing of the Thirty-Third Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Fourth Substantive Amendment to the Restated CQ Plan
Comments due: February 4, 2020
Comments received are available for this proposal.
SR-CTA/CQ-2019-01
34-87907 Jan. 8, 2020 Notice of Filing of the Thirtieth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Second Substantive Amendment to the Restated CQ Plan
Comments due: February 4, 2020
Comments received are available for this proposal.

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

Release No. Date Details
S7-24-89
34-88017 Jan. 23, 2020 Notice of Filing of the Forty-Fifth 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: February 18, 2020
S7-24-89
34-87910 Jan. 8, 2020 Notice of Filing of the Forty-Seventh 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: February 4, 2020
Comments received are available for this proposal.
34-87908 Jan. 8, 2020 Notice of Filing of the Forty-Fourth 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: February 4, 2020
Comments received are available for this proposal.

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

Release No. Date Details
34-87906 Jan. 8, 2020 Notice of Proposed Order Directing the Exchanges and the Financial Industry Regulatory Authority to Submit a New National Market System Plan Regarding Consolidated Equity Market Data
Comments due: February 28, 2020
Comments received are available for this proposal.

File No. 4-631: National Market System Plan to Address Extraordinary Market Volatility

Release No. Date Details
4-631
34-88122 Feb. 5, 2020 Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Address Extraordinary Market Volatility to Add the Long-Term Stock Exchange LLC as a Participant
Comments due: March 3, 2020