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NSX Rulemaking Archive: 2009
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
Fourth Quarter |
Second Quarter | First Quarter
NSX File Number List for 2009
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NSX-2009-08 |
| 34-61221 |
Dec. 22, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Rule 11 Governing Round Lots, Odd Lots and Mixed Lots
Comments due: January 20, 2010
Additional Materials: Exhibit 5
|
SR-NSX-2009-07 |
| 34-61103 |
Dec. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend the Fee and Rebate Schedule to increase transaction rebates to $.0024 per share and implement a 50% market data rebate for displayed Order Delivery orders of certain ETP Holders, and to adopt a new Rule 16.4 that would use "Liquidity Adding ADV" to determine the volume eligibility for all rebate tiers in Order Delivery
Comments due: December 31, 2009
Additional Materials: Exhibit 5
|
SR-NSX-2009-06 |
| 34-60979 |
Nov. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee and Rebate Schedule to exclude, for purposes of calculating the Automatic Execution Mode of order interaction ("AutoEx") liquidity adding displayed order rebate, an ETP Holder's lowest full trading day's liquidity adding volume from the determination of the ETP Holder's "liquidity adding average daily volume"
Comments due: December 8, 2009
|
SR-NSX-2009-05 |
| 34-60762 |
Oct. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Rule 11.19 Governing Clearly Erroneous Executions
Comments due: October 29, 2009
|
| Second Quarter |
SR-NSX-2009-04 |
| 34-60068 |
Jun. 8, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee and Rebate Schedule to (i) Increase from 50,000 to 5 Million the Liquidity Adding Average Daily Volume Thresholds in the Automatic Execution Mode of Order Interaction ("AutoEx"); (ii) Include Securities Less Than One Dollar in the Calculation of Liquidity Adding and Total Average Volume Thresholds in AutoEx; and (iii) Eliminate the Two Lower Tiers with Respect to the AutoEx Liquidity Adding Zero Display Order Rebate
Comments due: July 6, 2009
|
SR-NSX-2009-03 |
| 34-59974 |
May 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule to Amend the Fee and Rebate Schedule Issued Pursuant to Exchange Rule 16.1(c) in Order to Include Securities Priced at Less Than One Dollar in the Calculation of Volume Thresholds Used to Determine Rebates Payable for Displayed Order Liquidity Adding Tape A and C Securities Executed at One Dollar or Above
Comments due: June 23, 2009
|
SR-NSX-2009-02 |
| 34-59723 |
Apr. 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee and Rebate Schedule Relating to Liquidity Adding Rebates
Comments due: May 5, 2009
|
| First Quarter |
SR-NSX-2009-01 |
| 34-59591 |
Mar. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Fee Schedule to Implement a Program to Award Rebates for Liquidity Adding Zero Display Orders and Clarify the Definition of "Liquidity Adding Average Daily Volume"
Comments due: April 14, 2009
|
| NSX File Number List for 2009 |
| Release No. |
Date |
Details |
SR-NSX-2009-08 |
| 34-61221 |
Dec. 22, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Rule 11 Governing Round Lots, Odd Lots and Mixed Lots
Comments due: January 20, 2010
Additional Materials: Exhibit 5
|
SR-NSX-2009-07 |
| 34-61103 |
Dec. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend the Fee and Rebate Schedule to increase transaction rebates to $.0024 per share and implement a 50% market data rebate for displayed Order Delivery orders of certain ETP Holders, and to adopt a new Rule 16.4 that would use "Liquidity Adding ADV" to determine the volume eligibility for all rebate tiers in Order Delivery
Comments due: December 31, 2009
Additional Materials: Exhibit 5
|
SR-NSX-2009-06 |
| 34-60979 |
Nov. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee and Rebate Schedule to exclude, for purposes of calculating the Automatic Execution Mode of order interaction ("AutoEx") liquidity adding displayed order rebate, an ETP Holder's lowest full trading day's liquidity adding volume from the determination of the ETP Holder's "liquidity adding average daily volume"
Comments due: December 8, 2009
|
SR-NSX-2009-05 |
| 34-60762 |
Oct. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Rule 11.19 Governing Clearly Erroneous Executions
Comments due: October 29, 2009
|
SR-NSX-2009-04 |
| 34-60068 |
Jun. 8, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee and Rebate Schedule to (i) Increase from 50,000 to 5 Million the Liquidity Adding Average Daily Volume Thresholds in the Automatic Execution Mode of Order Interaction ("AutoEx"); (ii) Include Securities Less Than One Dollar in the Calculation of Liquidity Adding and Total Average Volume Thresholds in AutoEx; and (iii) Eliminate the Two Lower Tiers with Respect to the AutoEx Liquidity Adding Zero Display Order Rebate
Comments due: July 6, 2009
|
SR-NSX-2009-03 |
| 34-59974 |
May 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule to Amend the Fee and Rebate Schedule Issued Pursuant to Exchange Rule 16.1(c) in Order to Include Securities Priced at Less Than One Dollar in the Calculation of Volume Thresholds Used to Determine Rebates Payable for Displayed Order Liquidity Adding Tape A and C Securities Executed at One Dollar or Above
Comments due: June 23, 2009
|
SR-NSX-2009-02 |
| 34-59723 |
Apr. 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee and Rebate Schedule Relating to Liquidity Adding Rebates
Comments due: May 5, 2009
|
SR-NSX-2009-01 |
| 34-59591 |
Mar. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Fee Schedule to Implement a Program to Award Rebates for Liquidity Adding Zero Display Orders and Clarify the Definition of "Liquidity Adding Average Daily Volume"
Comments due: April 14, 2009
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http://www.sec.gov/rules/sro/nsx/nsxarchive/nsxarchive2009.shtml
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