|
|
 |
NSX Rulemaking Archive: 2016
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 |
Third Quarter |
Second Quarter |
First Quarter
NSX File Number List for 2016
Additional Archives
2017 | 2016 |
2015 |
2014 |
2013 |
2012 |
2011 |
2010 |
2009 |
2008 |
2007 |
2006 |
2005 |
2004 |
2003 |
2002
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NSX-2016-16 |
| 34-79684 |
Dec. 23, 2016 |
Notice of Filing of Proposed Rule Change in Connection with the Proposed Acquisition of the Exchange by NYSE Group, Inc.
Comments due: January 20, 2017
Additional Materials: Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H, Exhibit 5I, Exhibit 5J
Comments received are available for this proposal.
|
SR-NSX-2016-14 |
| 34-79174 |
Oct. 27, 2016 |
Notice of Filing of a Proposed Rule Change to Amend Exchange Rule 11.26 to Correct Defective Numbering in the Interpretations and Policies of the Rule
Comments due: November 23, 2016
Additional Materials: Exhibit 5
Order: Rel. No. 34-79902
See also: 34-79902
|
| 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: October 26, 2016
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: October 25, 2016
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: October 21, 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-2016-07 |
| 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-2016-16 |
| 34-79902 |
Jan. 30, 2017 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, in Connection with a Proposed Acquisition of the Exchange by NYSE Group, Inc.
|
| 34-79684 |
Dec. 23, 2016 |
Notice of Filing of Proposed Rule Change in Connection with the Proposed Acquisition of the Exchange by NYSE Group, Inc.
Comments due: January 20, 2017
Additional Materials: Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H, Exhibit 5I, Exhibit 5J
Comments received are available for this proposal.
|
SR-NSX-2016-14 |
| 34-79174 |
Oct. 27, 2016 |
Notice of Filing of a Proposed Rule Change to Amend Exchange Rule 11.26 to Correct Defective Numbering in the Interpretations and Policies of the Rule
Comments due: November 23, 2016
Additional Materials: Exhibit 5
|
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: October 26, 2016
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: October 25, 2016
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: October 21, 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
|
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
|
