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NMS Plans Archive: 2001

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 web site.

Note: Only selected Self-Regulatory Organization rule proposals were posted to the SEC web site prior to 2004. To obtain copies of releases not appearing on the web site, please refer to How to Request Public Documents.

*  Chronological List
*  File Number Lists
*  File No. 4-430: Decimal Trading in Subpennies
*  File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS

Additional Archives

Chronological List
Release No. Date Details

34-45166 Dec. 18, 2001 Order Approving Amendment to Add Chicago Board Options Exchange, Inc. as Participant to Joint-SRO Plan Under Rule 11Ac1-5

SR-OPRA-2002-03
34-44846 Sept. 25, 2001 American Stock Exchange LLC; Boston Stock Exchange, Inc.; Chicago Board Options Exchange, Inc.; Chicago Stock Exchange, Inc.; Cincinnati Stock Exchange; International Securities Exchange, LLC; National Association of Securities Dealers, Inc.; New York Stock Exchange, Inc.; Pacific Exchange, Inc.; and Philadelphia Stock Exchange, Inc. (Order Extending the Deadline to Submit Rule Filings)
File No.: 4-430

34-44703 Aug. 15, 2001 Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 11Ac1-5

34-44177 Apr. 12, 2001 Order Approving Plan Establishing Procedures under Rule 11Ac1-5 by the American Stock Exchange, Boston Stock Exchange, Chicago Stock Exchange, Cincinnati Stock Exchange, National Association of Securities Dealers, New York Stock Exchange, Pacific Exchange, and Philadelphia Stock Exchange
Comments due:  21 days after publication in the Federal Register

34-43992 Feb. 21, 2001 Notice of Filing of Proposed Plan Establishing Procedures under Rule 11Ac1-5 by the American Stock Exchange, Boston Stock Exchange, Chicago Stock Exchange, Cincinnati Stock Exchange, National Association of Securities Dealers, New York Stock Exchange, Pacific Exchange, and Philadelphia Stock Exchange

File Number Lists

File No. 4-430: Decimal Trading in Subpennies
Release No. Date Details
34-44846 Sept. 25, 2001 Order Extending the Deadline for the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, the International Securities Exchange, LLC, the National Association of Securities Dealers, Inc., the New York Stock Exchange, Inc., the Pacific Exchange, Inc., and the Philadelphia Stock Exchange, Inc. to Submit Rule Filings Concerning the Implementation of Decimal Pricing in Equity Securities and Options Pursuant to Section 11A(a)(3)(B) of the Securities Exchange Act of 1934
File No.: 4-430

File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS
Release No. Date Details
34-45166 Dec. 18, 2001 Order Approving Amendment to Add Chicago Board Options Exchange, Inc. as Participant to Joint-SRO Plan Under Rule 11Ac1-5
34-44703 Aug. 15, 2001 Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 11Ac1-5
34-44177 Apr. 12, 2001 Order Approving Plan Establishing Procedures under Rule 11Ac1-5 by the American Stock Exchange, Boston Stock Exchange, Chicago Stock Exchange, Cincinnati Stock Exchange, National Association of Securities Dealers, New York Stock Exchange, Pacific Exchange, and Philadelphia Stock Exchange
Comments due:  21 days after publication in the Federal Register
34-43992 Feb. 21, 2001 Notice of Filing of Proposed Plan Establishing Procedures under Rule 11Ac1-5 by the American Stock Exchange, Boston Stock Exchange, Chicago Stock Exchange, Cincinnati Stock Exchange, National Association of Securities Dealers, New York Stock Exchange, Pacific Exchange, and Philadelphia Stock Exchange

 

http://www.sec.gov/rules/sro/nms/nmsarchive/nms2001.shtml


Modified: 10/16/2014