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NSX Rulemaking Archive: 2013
Chronological List
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
NSX File Number List for 2013
Additional Archives
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2015 |
2014 |
2013 |
2012 |
2011 |
2010 |
2009 |
2008 |
2007 |
2006 |
2005 |
2004 |
2003 |
2002
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NSX-2013-21 |
|
34-70890 |
Nov. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: December 12, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-20 |
|
34-70881 |
Nov. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.11 Regarding the Entry and Execution of Zero Display Reserve Orders Marked "Sell Short"
Comments due: December 11, 2013
|
SR-NSX-2013-19 |
|
34-70589 |
Oct. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.19 to Extend Pilot Program Regarding Clearly Erroneous Executions
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
|
| Third Quarter |
SR-NSX-2013-18 |
|
34-70525 |
Sep. 26, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: October 23, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-14 |
|
34-69941 |
Jul. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: August 2, 2013
|
| Second Quarter |
SR-NSX-2013-13 |
|
34-69874 |
Jun. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.11 to Automatically Prevent Entry of Zero Display Reserve Orders Marked "Sell Short."
Comments due: July 24, 2013
|
SR-NSX-2013-02 |
|
34-69519 |
May 6, 2013 |
Order Granting Approval of Proposed Rule Change to Adopt a New Order Type Called the "Auto-Ex Only" Order and Add New Definitions Regarding Automatic Execution Mode and Automatic Execution Orders
See also:
Notice: Rel. No. 34-69183,
Notice: Rel. No. 34-68807
|
SR-NSX-2013-12 |
|
34-69296 |
Apr. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rule 11.24, Limit Up/Limit Down
Comments due: May 1, 2013
Additional Materials:
Exhibit 5
|
| First Quarter |
SR-NSX-2013-11 |
|
34-69213 |
Mar. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee and Rebate Schedule
Comments due: April 18, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-10 |
|
34-69212 |
Mar. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide the Ability to Prevent Zero Display Reserve Orders from Executing in a Locked Market
Comments due: April 18, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-02 |
|
34-69183 |
Mar. 19, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt a New Order Type Called the "Auto-Ex Only" Order
See also:
Order: Rel. No. 34-69519,
Notice: Rel. No. 34-68807
|
SR-NSX-2013-09 |
|
34-69087 |
Mar. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Rules to Comply with the Requirements of the Plan to Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS
Comments due: April 4, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-08 |
|
34-69029 |
Mar. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee and Rebate Schedule
Comments due: March 29, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-07 |
|
34-69009 |
Feb. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Order Type Called the Midpoint-Seeker Order and Amend Rule 11.3(c) Regarding Rounding of Sub-Penny Midpoint Executions
Comments due: March 28, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-05 |
|
34-68852 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.20B to Extend the Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments due: March 5, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-03 |
|
34-68824 |
Feb. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: March 4, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-02 |
|
34-68807 |
Feb. 1, 2013 |
Notice of Filing of a Proposed Rule Change to Adopt a New Order Type Called the "Auto-Ex Only" Order
Comments due: February 28, 2013
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-69519,
Notice: Rel. No. 34-69183
Comments received
are available
for this proposal.
|
SR-NSX-2013-06 |
|
34-68803 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.19 to Extend a Pilot Program Regarding Clearly Erroneous Executions
Comments due: February 28, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-04 |
|
34-68779 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Operative Date of Rule 11.20A Regarding Market-Wide Circuit Breakers Due to Extraordinary Market Volatility
Comments due: February 27, 2013
|
SR-NSX-2013-01 |
|
34-68684 |
Jan. 17, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide for the Payment of Exchange Fees Through an Integrated Billing Process
Comments due: February 14, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2012-15 |
|
34-68662 |
Jan. 15, 2013 |
Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 to Amend the Listing Rules for Compensation Committees to Comply with Rule 10C-1 under the Act
See also:
Notice: Rel. No. 34-68312,
Notice: Rel. No. 34-68039
|
SR-NSX-2012-27 |
|
34-68612 |
Jan. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: February 5, 2013
|
| NSX File Number List for 2013 |
| Release No. |
Date |
Details |
SR-NSX-2013-21 |
|
34-70890 |
Nov. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: December 12, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-20 |
|
34-70881 |
Nov. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.11 Regarding the Entry and Execution of Zero Display Reserve Orders Marked "Sell Short"
Comments due: December 11, 2013
|
SR-NSX-2013-19 |
|
34-70589 |
Oct. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.19 to Extend Pilot Program Regarding Clearly Erroneous Executions
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-18 |
|
34-70525 |
Sep. 26, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: October 23, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-14 |
|
34-69941 |
Jul. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: August 2, 2013
|
SR-NSX-2013-13 |
|
34-69874 |
Jun. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.11 to Automatically Prevent Entry of Zero Display Reserve Orders Marked "Sell Short."
Comments due: July 24, 2013
|
SR-NSX-2013-12 |
|
34-69296 |
Apr. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rule 11.24, Limit Up/Limit Down
Comments due: May 1, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-11 |
|
34-69213 |
Mar. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee and Rebate Schedule
Comments due: April 18, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-10 |
|
34-69212 |
Mar. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide the Ability to Prevent Zero Display Reserve Orders from Executing in a Locked Market
Comments due: April 18, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-09 |
|
34-69087 |
Mar. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Rules to Comply with the Requirements of the Plan to Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS
Comments due: April 4, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-08 |
|
34-69029 |
Mar. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee and Rebate Schedule
Comments due: March 29, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-07 |
|
34-69009 |
Feb. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Order Type Called the Midpoint-Seeker Order and Amend Rule 11.3(c) Regarding Rounding of Sub-Penny Midpoint Executions
Comments due: March 28, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-06 |
|
34-68803 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.19 to Extend a Pilot Program Regarding Clearly Erroneous Executions
Comments due: February 28, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-05 |
|
34-68852 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.20B to Extend the Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments due: March 5, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-04 |
|
34-68779 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Operative Date of Rule 11.20A Regarding Market-Wide Circuit Breakers Due to Extraordinary Market Volatility
Comments due: February 27, 2013
|
SR-NSX-2013-03 |
|
34-68824 |
Feb. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule
Comments due: March 4, 2013
Additional Materials:
Exhibit 5
|
SR-NSX-2013-02 |
|
34-69519 |
May 6, 2013 |
Order Granting Approval of Proposed Rule Change to Adopt a New Order Type Called the "Auto-Ex Only" Order and Add New Definitions Regarding Automatic Execution Mode and Automatic Execution Orders
|
|
34-69183 |
Mar. 19, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt a New Order Type Called the "Auto-Ex Only" Order
|
|
34-68807 |
Feb. 1, 2013 |
Notice of Filing of a Proposed Rule Change to Adopt a New Order Type Called the "Auto-Ex Only" Order
Comments due: February 28, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-NSX-2013-01 |
|
34-68684 |
Jan. 17, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide for the Payment of Exchange Fees Through an Integrated Billing Process
Comments due: February 14, 2013
Additional Materials:
Exhibit 5
|
http://www.sec.gov/rules/sro/nsx/nsxarchive/nsxarchive2013.shtml
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