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NMS Plans Archive: 2004

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
*  File Number Lists
*  File No. 4-429: Plan for the Purpose of Creating and Operating an Intermarket Option Linkage
*  File No. S7-24-89: Nasdaq UTP Plan
*  Options Price Reporting Authority (OPRA)

Additional Archives

Chronological List
Release No. Date Details

S7-24-89
34-50855 Dec. 14, 2004 Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc.; Solicitation of Comments and Order Granting Summary Effectiveness to Request to Extend Operation and to Extend Certain Exemptive Relief
Comments due:  January 11, 2005
* Submit comments on S7-24-89

SR-OPRA-2004-05
34-50789 Dec. 3, 2004 Notice of Filing and Immediate Effectiveness of Amendment to OPRA Plan to Revise Two Fees Charged by OPRA to Professional Subscribers to OPRA's Basic Service
Comments due:  December 27, 2004
* Submit comments on SR-OPRA-2004-05

SR-OPRA-2004-06
34-50785 Dec. 2, 2004 Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Guideline 2 of the Capacity Guidelines Adopted in Accordance with the Plan
Comments due:  December 27, 2004
* Submit comments on SR-OPRA-2004-06

4-429
34-50561 Oct. 19, 2004 Order Approving Joint Amendment No. 13 to the Options Intermarket Linkage Plan Regarding Natural Size

4-429
34-50211 Aug. 18, 2004 Notice of Filing of Amendment No. 13 To The Options Intermarket Linkage Plan
Comments due:  September 14, 2004
Comments received electronically are available for this notice.
* Submit comments on 4-429

SR-OPRA-2004-02
34-50147 Aug. 4, 2004 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information and Amendment No. 1 Thereto to Eliminate from the Plan References to the Fee Exemption Pilot Currently Provided for in the Plan

SR-OPRA-2004-04
34-50110 Jul. 28, 2004 Notice of Filing and Immediate Effectiveness of Amendment to OPRA Plan Regarding the Temporary Waiver of Charges by OPRA Relating to the Dynamic Throttle
Comments due:  August 24, 2004
* Submit comments on SR-OPRA-2004-04

SR-OPRA-2004-03
34-50067 Jul. 22, 2004 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Revise Guideline 1 of the Capacity Guidelines to Confirm that it Is within the Authority of the Independent System Capacity Advisor to Make Determinations Concerning the Establishment, Modification or Removal of Output Throttles from the OPRA System

SR-OPRA-2004-02
34-49958 Jul. 1, 2004 Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information and Amendment No. 1 Thereto to Eliminate from the Plan References to the Fee Exemption Pilot Currently Provided for in the Plan
Comments due:  July 23, 2004
* Submit comments on SR-OPRA-2004-02

SR-OPRA-2004-03
34-49871 Jun. 16, 2004 Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Revise Guideline 1 of the Capacity Guidelines to Confirm That it Is Within the Authority of the Independent System Capacity Advisor to Make Determinations Concerning the Establishment, Modification or Removal of Output Throttles from the OPRA System
Comments due:  July 8, 2004
* Submit comments on SR-OPRA-2004-03

SR-OPRA-2004-01
34-49382 Mar. 9, 2004 Notice of Filing and Immediate Effectiveness of Amendment to OPRA Plan Regarding Device-Based and Enterprise Rate Professional Subscriber Fees Charged by OPRA in respect of its Basic Service and its FCO Service
Comments due:  21 days after publication in the Federal Register
Comments received are available for this notice.
* Submit comments on SR-OPRA-2004-01

File Number Lists

File No. 4-429: Plan for the Purpose of Creating and Operating an Intermarket Option Linkage
Release No. Date Details
34-50561 Oct. 19, 2004 Order Approving Joint Amendment No. 13 to the Options Intermarket Linkage Plan Regarding Natural Size
34-50211 Aug. 18, 2004 Notice of Filing of Amendment No. 13 To The Options Intermarket Linkage Plan
Comments due:  September 14, 2004
Comments received electronically are available for this notice.
34-49969 Jul. 2, 2004 Order Approving Joint Amendment No. 11 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Processing of Satisfaction Orders
File No.: 4-429
34-49885 Jun. 17, 2004 Order Approving Joint Amendment No. 10 to the Plan for the Purpose of Creating and Operating an Intermarket Options Linkage Relating to the Handling of Principal Acting as Agent Orders
File No.: 4-429
34-49863 Jun. 15, 2004 Order Approving Joint Amendment No. 12 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Limitation in Liability for Filling Satisfaction Orders Sent Through the Linkage at the End of the Trading Day
File No.: 4-429
34-49692 May 12, 2004 Notice of Filing of Joint Amendment No. 12 to the Options Intermarket Linkage Plan Relating to the Limitation in Liability for Filling Satisfaction Orders Sent Through the Linkage at the End of the Trading Day
Comments due:  June 9, 2004
34-49691 May 12, 2004 Notice of Filing of Joint Amendment No. 11 to the Options Intermarket Linkage Plan Relating to the Handling of Satisfaction Orders
Comments due:  June 9, 2004
34-49689 May 12, 2004 Notice of Filing of Amendment No. 10 to the Plan of the Purpose of Creating and Operating an Intermarket Options Linkage Regarding the Handling of Principal Acting as Agent Orders
Comments due:  June 9, 2004

File No. S7-24-89: Nasdaq UTP Plan
Release No. Date Details
34-50855 Dec. 14, 2004 Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc.; Solicitation of Comments and Order Granting Summary Effectiveness to Request to Extend Operation and to Extend Certain Exemptive Relief
Comments due:  January 11, 2005
34-50375 Sep. 14, 2004 Order Granting Approval of Amendment No. 13C 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; Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc.
File No.: S7-24-89
34-49669A May 28, 2004 Notice of Filing and Summary Effectiveness of Amendment No.13C to the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis; Submitted by the National Association of Securities Dealers, Inc., the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., the Pacific Exchange, Inc., the American Stock Exchange LLC, and the Philadelphia Stock Exchange, Inc.
File No.: S7-24-89
See Also: 34-49669
* Submit comments on S7-24-89
34-49711 May 14, 2004 Order Granting Approval of Amendment No. 13A of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the National Association of Securities Dealers, Inc., the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., the Pacific Exchange, Inc., the American Stock Exchange LLC, and the Philadelphia Stock Exchange, Inc.
File No.: S7-24-89
34-49669 May 7, 2004 Notice of Filing and Summary Effectiveness of Amendment No.13C to the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis; Submitted by the National Association of Securities Dealers, Inc., the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., the Pacific Exchange, Inc., the American Stock Exchange LLC, and the Philadelphia Stock Exchange, Inc.
File No.: S7-24-89
See Also: 34-49669A
Comments due:  June 8, 2004

Options Price Reporting Authority (OPRA)
Release No. Date Details

SR-OPRA-2004-06
34-50785 Dec. 2, 2004 Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Guideline 2 of the Capacity Guidelines Adopted in Accordance with the Plan
Comments due:  December 27, 2004
* Submit comments on SR-OPRA-2004-06

SR-OPRA-2004-05
34-50789 Dec. 3, 2004 Notice of Filing and Immediate Effectiveness of Amendment to OPRA Plan to Revise Two Fees Charged by OPRA to Professional Subscribers to OPRA's Basic Service
Comments due:  December 27, 2004
* Submit comments on SR-OPRA-2004-05
34-50561 Oct. 19, 2004 Order Approving Joint Amendment No. 13 to the Options Intermarket Linkage Plan Regarding Natural Size

SR-OPRA-2004-04
34-50110 Jul. 28, 2004 Notice of Filing and Immediate Effectiveness of Amendment to OPRA Plan Regarding the Temporary Waiver of Charges by OPRA Relating to the Dynamic Throttle
Comments due:  August 24, 2004
* Submit comments on SR-OPRA-2004-04

SR-OPRA-2004-03
34-50067 Jul. 22, 2004 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Revise Guideline 1 of the Capacity Guidelines to Confirm that it Is within the Authority of the Independent System Capacity Advisor to Make Determinations Concerning the Establishment, Modification or Removal of Output Throttles from the OPRA System
34-49871 Jun. 16, 2004 Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Revise Guideline 1 of the Capacity Guidelines to Confirm That it Is Within the Authority of the Independent System Capacity Advisor to Make Determinations Concerning the Establishment, Modification or Removal of Output Throttles from the OPRA System
Comments due:  July 8, 2004
* Submit comments on SR-OPRA-2004-03

SR-OPRA-2004-02
34-50147 Aug. 4, 2004 Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information and Amendment No. 1 Thereto to Eliminate from the Plan References to the Fee Exemption Pilot Currently Provided for in the Plan
34-49958 Jul. 1, 2004 Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information and Amendment No. 1 Thereto to Eliminate from the Plan References to the Fee Exemption Pilot Currently Provided for in the Plan
Comments due:  July 23, 2004
* Submit comments on SR-OPRA-2004-02

SR-OPRA-2004-01
34-49382 Mar. 9, 2004 Notice of Filing and Immediate Effectiveness of Amendment to OPRA Plan Regarding Device-Based and Enterprise Rate Professional Subscriber Fees Charged by OPRA in respect of its Basic Service and its FCO Service
Comments due:  21 days after publication in the Federal Register
Comments received are available for this notice.
* Submit comments on SR-OPRA-2004-01

 

http://www.sec.gov/rules/sro/nms/nmsarchive/nms2004.shtml


Modified: 09/17/2010