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NSX Rulemaking

We encourage the public to submit comments on the following National Stock Exchange (NSX; formerly Cincinnati Stock Exchange) 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
Third Quarter |  Second Quarter |  First Quarter

NSX File Number List for 2016

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-NSX-2016-13
34-78987 Sep. 29, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rules 11.11 and 11.26 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NSX-2016-12
34-78960 Sep. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.26 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NSX-2016-11
34-78931 Sep. 26, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee and Rebate Schedule to Create a Liquidity-Adding Volume Threshold to Benefit from the Current Liquidity Taking Fee in Securities Priced $1.00 or Greater
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NSX-2016-04
34-78761 Sep. 2, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.18 to Address the Exchange's Liability for System Failures; Amend Rule 2.11 to Provide for an Error Account Maintained by the Exchange's Routing Broker; Adopt Rule 11.11(e) to Allow Cancellation of Orders When a System Failure Occurs; Amend Rule 1.5 to Reposition the Definition of a Trading Center; and Make Other Non-Substantive and Conforming Changes
Comments due:  September 29, 2016
Additional Materials: Exhibit 5

SR-NSX-2016-07
34-78676 Aug. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Regarding Qualification, Registration and Continuing Education for Persons Associated with Equity Trading Permit Holders, to Add Definitions, Amend Definitions, and to Make Technical, Non-Substantive and Conforming Amendments to Rules.
Comments due:  September 21, 2016
Additional Materials: Exhibit 5

SR-NSX-2016-06
34-78403 Jul. 25, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to NSX Rule 11.25(a), Stating It Will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes
Comments due: August 19, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-NSX-2016-05
34-78391 Jul. 21, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.26 to Implement the Quoting and Trading Provisions of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: August 17, 2016
Additional Materials: Exhibit 5
Second Quarter

SR-NSX-2016-03
34-78048 Jun. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule to Adopt a Market Data Revenue Sharing Program
Comments due: July 8, 2016
Additional Materials: Exhibit 5
First Quarter

SR-NSX-2016-01
34-77483 Mar. 31, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 11.26 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 27, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter


NSX File Number List for 2016
Release No. Date Details

SR-NSX-2016-13
34-78987 Sep. 29, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rules 11.11 and 11.26 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NSX-2016-12
34-78960 Sep. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.26 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NSX-2016-11
34-78931 Sep. 26, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee and Rebate Schedule to Create a Liquidity-Adding Volume Threshold to Benefit from the Current Liquidity Taking Fee in Securities Priced $1.00 or Greater
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NSX-2016-07
34-78676 Aug. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Regarding Qualification, Registration and Continuing Education for Persons Associated with Equity Trading Permit Holders, to Add Definitions, Amend Definitions, and to Make Technical, Non-Substantive and Conforming Amendments to Rules.
Comments due:  September 21, 2016
Additional Materials: Exhibit 5

SR-NSX-2016-06
34-78403 Jul. 25, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to NSX Rule 11.25(a), Stating It Will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes
Comments due: August 19, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-NSX-2016-05
34-78391 Jul. 21, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.26 to Implement the Quoting and Trading Provisions of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: August 17, 2016
Additional Materials: Exhibit 5

SR-NSX-2016-04
34-78761 Sep. 2, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.18 to Address the Exchange's Liability for System Failures; Amend Rule 2.11 to Provide for an Error Account Maintained by the Exchange's Routing Broker; Adopt Rule 11.11(e) to Allow Cancellation of Orders When a System Failure Occurs; Amend Rule 1.5 to Reposition the Definition of a Trading Center; and Make Other Non-Substantive and Conforming Changes
Comments due:  September 29, 2016
Additional Materials: Exhibit 5

SR-NSX-2016-03
34-78048 Jun. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule to Adopt a Market Data Revenue Sharing Program
Comments due: July 8, 2016
Additional Materials: Exhibit 5

SR-NSX-2016-01
34-77483 Mar. 31, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 11.26 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 27, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

 

http://www.sec.gov/rules/sro/nsx.shtml


Modified: 09/30/2016