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NMS Plans Archive: 2001
We encourage the public to submit comments on the following 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 web site.
Note: Only selected Self-Regulatory Organization rule proposals were posted to the SEC web site prior to 2004. To obtain copies of releases not appearing on the web site, please refer to How to Request Public Documents.
Additional Archives
2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000
| Release No. |
Date |
Details |
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| 34-45166 |
Dec. 18, 2001 |
Order Approving Amendment to Add Chicago Board Options Exchange, Inc. as Participant to Joint-SRO Plan Under Rule 11Ac1-5
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SR-OPRA-2002-03 |
| 34-44846 |
Sept. 25, 2001 |
American Stock Exchange LLC; Boston Stock Exchange, Inc.; Chicago Board Options Exchange, Inc.; Chicago Stock Exchange, Inc.; Cincinnati Stock Exchange; International Securities Exchange, LLC; National Association of Securities Dealers, Inc.; New York Stock Exchange, Inc.; Pacific Exchange, Inc.; and Philadelphia Stock Exchange, Inc. (Order Extending the Deadline to Submit Rule Filings)
File No.: 4-430 |
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| 34-44703 |
Aug. 15, 2001 |
Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 11Ac1-5
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| 34-44177 |
Apr. 12, 2001 |
Order Approving Plan Establishing Procedures under Rule 11Ac1-5 by the American Stock Exchange, Boston Stock Exchange, Chicago Stock Exchange, Cincinnati Stock Exchange, National Association of Securities Dealers, New York Stock Exchange, Pacific Exchange, and Philadelphia Stock Exchange
Comments due: 21 days after publication in the Federal Register
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| 34-43992 |
Feb. 21, 2001 |
Notice of Filing of Proposed Plan Establishing Procedures under Rule 11Ac1-5 by the American Stock Exchange, Boston Stock Exchange, Chicago Stock Exchange, Cincinnati Stock Exchange, National Association of Securities Dealers, New York Stock Exchange, Pacific Exchange, and Philadelphia Stock Exchange
|
| File No. 4-430: Decimal Trading in Subpennies |
| Release No. |
Date |
Details |
| 34-44846 |
Sept. 25, 2001 |
Order Extending the Deadline for the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, the International Securities Exchange, LLC, the National Association of Securities Dealers, Inc., the New York Stock Exchange, Inc., the Pacific Exchange, Inc., and the Philadelphia Stock Exchange, Inc. to Submit Rule Filings Concerning the Implementation of Decimal Pricing in Equity Securities and Options Pursuant to Section 11A(a)(3)(B) of the Securities Exchange Act of 1934
File No.: 4-430
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| File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS |
| Release No. |
Date |
Details |
| 34-45166 |
Dec. 18, 2001 |
Order Approving Amendment to Add Chicago Board Options Exchange, Inc. as Participant to Joint-SRO Plan Under Rule 11Ac1-5
|
| 34-44703 |
Aug. 15, 2001 |
Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 11Ac1-5
|
| 34-44177 |
Apr. 12, 2001 |
Order Approving Plan Establishing Procedures under Rule 11Ac1-5 by the American Stock Exchange, Boston Stock Exchange, Chicago Stock Exchange, Cincinnati Stock Exchange, National Association of Securities Dealers, New York Stock Exchange, Pacific Exchange, and Philadelphia Stock Exchange
Comments due: 21 days after publication in the Federal Register
|
| 34-43992 |
Feb. 21, 2001 |
Notice of Filing of Proposed Plan Establishing Procedures under Rule 11Ac1-5 by the American Stock Exchange, Boston Stock Exchange, Chicago Stock Exchange, Cincinnati Stock Exchange, National Association of Securities Dealers, New York Stock Exchange, Pacific Exchange, and Philadelphia Stock Exchange
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http://www.sec.gov/rules/sro/nms/nmsarchive/nms2001.shtml
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