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NMS Plans
We encourage the public to submit comments on the following National Market System (NMS) plans 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.
Additional Archives
2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000
| Release No. |
Date |
Details |
| First Quarter |
4-546 |
| 34-59647 |
Mar. 30, 2009 |
Notice of Filing of Proposed Options Order Protection and Locked/Crossed Market Plan
Comments due: 21 days after publication in the Federal Register
 Submit comments on 4-546
|
4-533 |
| 34-59574 |
Mar. 13, 2009 |
Notice of Filing and Immediate Effectiveness of Amendment No. 2 to the National Market System Plan for the Selection and Reservation of Securities Symbols to Modify Certain Effective Dates in Plan, Submitted by NASDAQ OMX BX, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC., the Financial Industry Regulatory Authority, Inc., the National Stock Exchange, Inc., The NASDAQ Stock Market LLC, the New York Stock Exchange LLC, NYSE Alternext US LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc.
Comments due: April 10, 2009
Submit comments on 4-533
|
SR-CTA/CQ-2008-05 |
| 34-59552 |
Mar. 10, 2009 |
Order Approving the Thirteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Ninth Substantive Amendment to the Restated Consolidated Quotation Plan
See also: Notice: Release No. 34-59230
|
4-518 |
| 34-59361 |
Feb. 5, 2009 |
Order Approving Amendment to Add the BATS Exchange, Inc. as Participant to National Market System Plan Establishing Procedures under Rule 605 of Regulation NMS
|
SR-CTA/CQ-2008-05 |
| 34-59230 |
Jan. 12, 2009 |
Notice of Filing of the Thirteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Ninth Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due: February 11, 2009
See also: Order: Release No. 34-59552
|
4-533 |
| 34-59225 |
Jan. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Amendment No. 1 to the National Market System Plan for the Selection and Reservation of Securities Symbols to Modify Certain Effective Dates in Plan, Submitted by NASDAQ OMX BX, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, the Financial Industry Regulatory Authority, Inc., the National Stock Exchange, Inc., The NASDAQ Stock Market LLC, the New York Stock Exchange LLC, NYSE Alternext Exchange US LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc.
Comments due: February 6, 2009
|
| File No. 4-533: Proposed NMS Plan for the Selection and Reservation of Securities Symbols by NASDAQ, NASD, NSX and Phlx |
| Release No. |
Date |
Details |
4-533 |
| 34-59574 |
Mar. 13, 2009 |
Notice of Filing and Immediate Effectiveness of Amendment No. 2 to the National Market System Plan for the Selection and Reservation of Securities Symbols to Modify Certain Effective Dates in Plan, Submitted by NASDAQ OMX BX, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC., the Financial Industry Regulatory Authority, Inc., the National Stock Exchange, Inc., The NASDAQ Stock Market LLC, the New York Stock Exchange LLC, NYSE Alternext US LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc.
Comments due: April 10, 2009
Submit comments on 4-533
|
4-533 |
| 34-59225 |
Jan. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Amendment No. 1 to the National Market System Plan for the Selection and Reservation of Securities Symbols to Modify Certain Effective Dates in Plan, Submitted by NASDAQ OMX BX, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, the Financial Industry Regulatory Authority, Inc., the National Stock Exchange, Inc., The NASDAQ Stock Market LLC, the New York Stock Exchange LLC, NYSE Alternext Exchange US LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc.
Comments due: February 6, 2009
|
| File No. 4-546: Proposed Options Order Protection and Locked/Crossed Market Plan by CBOE, ISE, and NYSE Arca |
| Release No. |
Date |
Details |
4-546 |
| 34-59647 |
Mar. 30, 2009 |
Notice of Filing of Proposed Options Order Protection and Locked/Crossed Market Plan
Comments due: 21 days after publication in the Federal Register
Submit comments on 4-546
|
http://www.sec.gov/rules/sro/nms.shtml
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