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NSX Rulemaking Archive: 2011
Chronological List
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
NSX File Number List for 2011
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2002
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NSX-2011-14 |
|
34-66071 |
Dec. 29, 2011 |
Order Granting Accelerated Approval to Proposed Rule Changes in Connection with the Proposed Acquisition of the National Stock Exchange, Inc. by CBOE Stock Exchange, LLC
Additional File No.: SR-CBOE-2011-107
See also:
Notice: Rel. No. 34-65842
|
SR-NSX-2011-11 |
|
34-66065 |
Dec. 28, 2011 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due: January 25, 2012
Rebuttal comments due: February 8, 2012
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also:
Order: Rel. No. 34-67090;
Notice: Rel. No 34-66680;
Notice: Rel. No. 34-65770; and
Notice: Rel. No. 34-65436
Comments received
are available
for this notice.
|
SR-NSX-2011-15 |
|
34-66007 |
Dec. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: January 17, 2012
|
SR-NSX-2011-14 |
|
34-65842 |
Nov. 28, 2011 |
Notice of Filing of Proposed Rule Change Relating to the Proposed Rule Change in Connection with the Proposed Purchase and Sale of the National Stock Exchange, Inc. to CBOE Stock Exchange, Inc.
Comments due: December 23, 2011
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-66071
|
SR-NSX-2011-13 |
|
34-65821 |
Nov. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude All Rights and Warrants from the Definition of "Circuit Breaker Securities" and Providing the Appropriate Provisions for an Early Scheduled Close
Comments due: December 21, 2011
Additional Materials:
Exhibit 5
|
SR-NSX-2011-012 |
|
34-65804 |
Nov. 22, 2011 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend NSX Rules to Conform with Section 957 of the Dodd-Frank Act Prohibiting Members Voting Uninstructed Shares on Certain Matters
Comments due: December 20, 2011
|
SR-NSX-2011-11 |
|
34-65770 |
Nov. 17, 2011 |
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also:
Order: Rel. No. 34-67090;
Notice: Rel. No 34-66680;
Order: Rel. No. 34-66065; and
Notice: Rel. No. 34-65436
Comments received
are available
for this proposal.
|
| Third Quarter |
SR-NSX-2011-11 |
|
34-65436 |
Sep. 28, 2011 |
Notice of Filing of Proposed Rule Change to Revise the Current Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility
Comments due: October 25, 2011
See also:
Order: Rel. No. 34-67090;
Notice: Rel. No 34-66680;
Order: Rel. No. 34-66065; and
Notice: Rel. No. 34-65770
Comments received
are available
for this notice.
|
SR-NSX-2011-10 |
|
34-65114 |
Aug. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Rule 11.19(c) Relating to Clearly Erroneous Transactions
Comments due: September 8, 2011
Additional Materials:
Exhibit 5
|
SR-NSX-2011-08 |
|
34-65095 |
Aug. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments due: September 6, 2011
Additional Materials:
Exhibit 5
|
SR-NSX-2011-09 |
|
34-65067 |
Aug. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend Pilot Program Regarding Clearly Erroneous Executions
Comments due: September 6, 2011
Additional Materials:
Exhibit 5
|
SR-NSX-2011-07 |
|
34-64909 |
Jul. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Rule 11.15 Consistent with the Implementation of the Adoption of Rule 15c3-5 under the Act
Comments due: August 12, 2011
|
| Second Quarter |
SR-NSX-2011-06 |
|
34-64735 |
Jun. 23, 2011 |
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.: SR-BATS-2011-016, SR-BYX-2011-011, SR-BX-2011-025, SR-CBOE-2011-049, SR-CHX-2011-09, SR-EDGA-2011-15, SR-EDGX-2011-14, SR-FINRA-2011-023, SR-ISE-2011-028, SR-NASDAQ-2011-067, SR-NYSE-2011-21, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26, SR-Phlx-2011-64
See also:
Notice: Rel. No. 34-64425
|
SR-NSX-2011-06 |
|
34-64425 |
May 6, 2011 |
Notice of Filing of Proposed Rule Change to Amend its Rules to Extend a Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility To All NMS Stocks and to Make Conforming Changes to Market Maker Quoting Obligations
Comments due: June 2, 2011
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-64735
|
SR-NSX-2011-05 |
|
34-64242 |
Apr. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend Pilot Program Regarding Clearly Erroneous Executions
Comments due: May 4, 2011
Additional Materials:
Exhibit 5
|
SR-NSX-2011-04 |
|
34-64213 |
Apr. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend a Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments due: May 3, 2011
|
SR-NSX-2011-02 |
|
34-64208 |
Apr. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NSX Fee and Rebate Schedule and NSX Rule 16.4
Comments due: May 3, 2011
Additional Materials:
Exhibit 5
|
| First Quarter |
SR-NSX-2011-03 |
|
34-64158 |
Mar. 31, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enable the Use of a Replace Message to Modify the Display Quantity of a Reserve Order, and Certain Other Conforming Changes to Exchange Rules
Comments due: April 27, 2011
Additional Materials:
Exhibit 5
Comments received
are available
for this notice.
|
SR-NSX-2011-01 |
|
34-63832 |
Feb. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand Use of Self Trade Prevention Order Modifiers
Comments due: March 3, 2011
Additional Materials:
Exhibit 5
|
| NSX File Number List for 2011 |
| Release No. |
Date |
Details |
SR-NSX-2011-15 |
|
34-66007 |
Dec. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: January 17, 2012
|
SR-NSX-2011-14 |
|
34-66071 |
Dec. 29, 2011 |
Order Granting Accelerated Approval to Proposed Rule Changes in Connection with the Proposed Acquisition of the National Stock Exchange, Inc. by CBOE Stock Exchange, LLC
Additional File No.: SR-CBOE-2011-107
|
|
34-65842 |
Nov. 28, 2011 |
Notice of Filing of Proposed Rule Change Relating to the Proposed Rule Change in Connection with the Proposed Purchase and Sale of the National Stock Exchange, Inc. to CBOE Stock Exchange, Inc.
Comments due: December 23, 2011
Additional Materials:
Exhibit 5
|
SR-NSX-2011-13 |
|
34-65821 |
Nov. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude All Rights and Warrants from the Definition of "Circuit Breaker Securities" and Providing the Appropriate Provisions for an Early Scheduled Close
Comments due: December 21, 2011
Additional Materials:
Exhibit 5
|
SR-NSX-2011-012 |
|
34-65804 |
Nov. 22, 2011 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend NSX Rules to Conform with Section 957 of the Dodd-Frank Act Prohibiting Members Voting Uninstructed Shares on Certain Matters
Comments due: December 20, 2011
|
SR-NSX-2011-11 |
|
34-67090 |
May 31, 2012 |
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments due: June 27, 2012
|
|
34-66680 |
Mar. 29, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
|
|
34-66065 |
Dec. 28, 2011 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
|
|
34-65770 |
Nov. 17, 2011 |
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due: January 25, 2012
Rebuttal comments due: February 8, 2012
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
|
|
34-65436 |
Sep. 28, 2011 |
Notice of Filing of Proposed Rule Change to Revise the Current Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility
Comments due: October 25, 2011
Comments received
are available
for this notice.
|
SR-NSX-2011-10 |
|
34-65114 |
Aug. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Rule 11.19(c) Relating to Clearly Erroneous Transactions
Comments due: September 8, 2011
Additional Materials:
Exhibit 5
|
SR-NSX-2011-09 |
|
34-65067 |
Aug. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend Pilot Program Regarding Clearly Erroneous Executions
Comments due: September 6, 2011
Additional Materials:
Exhibit 5
|
SR-NSX-2011-08 |
|
34-65095 |
Aug. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments due: September 6, 2011
Additional Materials:
Exhibit 5
|
SR-NSX-2011-07 |
|
34-64909 |
Jul. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Rule 11.15 Consistent with the Implementation of the Adoption of Rule 15c3-5 under the Act
Comments due: August 12, 2011
|
SR-NSX-2011-06 |
|
34-64735 |
Jun. 23, 2011 |
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.: SR-BATS-2011-016, SR-BYX-2011-011, SR-BX-2011-025, SR-CBOE-2011-049, SR-CHX-2011-09, SR-EDGA-2011-15, SR-EDGX-2011-14, SR-FINRA-2011-023, SR-ISE-2011-028, SR-NASDAQ-2011-067, SR-NYSE-2011-21, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26, SR-Phlx-2011-64
|
|
34-64425 |
May 6, 2011 |
Notice of Filing of Proposed Rule Change to Amend its Rules to Extend a Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility To All NMS Stocks and to Make Conforming Changes to Market Maker Quoting Obligations
Comments due: June 2, 2011
Additional Materials:
Exhibit 5
|
SR-NSX-2011-05 |
|
34-64242 |
Apr. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend Pilot Program Regarding Clearly Erroneous Executions
Comments due: May 4, 2011
Additional Materials:
Exhibit 5
|
SR-NSX-2011-04 |
|
34-64213 |
Apr. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend a Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments due: May 3, 2011
|
SR-NSX-2011-03 |
|
34-64158 |
Mar. 31, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enable the Use of a Replace Message to Modify the Display Quantity of a Reserve Order, and Certain Other Conforming Changes to Exchange Rules
Comments due: April 27, 2011
Additional Materials:
Exhibit 5
Comments received
are available
for this notice.
|
SR-NSX-2011-02 |
|
34-64208 |
Apr. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NSX Fee and Rebate Schedule and NSX Rule 16.4
Comments due: May 3, 2011
Additional Materials:
Exhibit 5
|
SR-NSX-2011-01 |
|
34-63832 |
Feb. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand Use of Self Trade Prevention Order Modifiers
Comments due: March 3, 2011
Additional Materials:
Exhibit 5
|
http://www.sec.gov/rules/sro/nsx/nsxarchive/nsxarchive2011.shtml
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