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.

Chronological List Fourth Quarter | Third Quarter | Second Quarter | First Quarter

File Number Lists   Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ)   File No. 4-429: Plan for the Purpose of Creating and Operating an Intermarket Option Linkage   File No. 4-443: Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options   File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS   File No. 4-533: Proposed NMS Plan for the Selection and Reservation of Securities Symbols by NASDAQ, NASD, NSX and Phlx   File No. 4-546: Proposed Options Order Protection and Locked/Crossed Market Plan by NYSEALTR, CBOE, ISE, Nasdaq, NYSE Arca, and Phlx

Additional Archives

2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000

Chronological List

Release No.	Date	Details
Fourth Quarter
SR-CTA/CQ-2009-02
34-60985	Nov. 10, 2009	Notice of Filing of the Thirteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Seventh Charges Amendment to the Restated Consolidated Quotation Plan Comments due:  21 days after publication in the Federal Register  Submit comments on SR-CTA/CQ-2009-02
4-533
34-60856	Oct. 21, 2009	Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add BATS Exchange, Inc., as a Party Thereto Comments due:  November 17, 2009  Submit comments on 4-533
4-546
34-60841	Oct. 20, 2009	Order Approving Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan See also:  Notice: Release No. 34-60507
Third Quarter
SR-CTA-2008-01
34-60639	Sep. 9, 2009	Order Approving the Eleventh Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan to Waive the Automatic Annual Increase in the Enterprise Cap for 2008 See also:  Notice: Release No. 34-60154
4-429
34-60582	Aug. 28, 2009	Order Approving Amendments to Withdraw from the Intermarket Options Linkage Plan filed by Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc. See also:  Notice: Release No. 34-60360
4-443
34-60531	Aug. 19, 2009	Order Approving Amendment No. 3 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options See also:  Notice: Release No. 34-60365
4-546
34-60507	Aug. 14, 2009	Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan, and Notice of Filing of Such Amendment Comments due:  September 14, 2009 See also:  Order: Release No. 34-60841
4-546
34-60405	Jul. 30, 2009	Order Approving the National Market System Plan Relating to Options Order Protection and Locked/Crossed Markets Submitted by the Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc. See also:  Notice: Release No. 34-59647
4-443
34-60365	Jul. 22, 2009	Notice of Filing of Amendment No. 3 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options Comments due:  August 18, 2009 See also:  Order: Release No. 34-60531
4-429
34-60360	Jul. 21, 2009	Notice of Filing of Amendments to the Intermarket Options Linkage Plan to Withdraw from the Plan Comments due:  August 18, 2009 See also:  Order: Release No. 34-60582
SR-CTA-2009-01
34-60320	Jul. 16, 2009	Notice of Filing and Immediate Effectiveness of the Twelfth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan Comments due:  August 17, 2009
Second Quarter
SR-CTA-2008-01
34-60154	Jun. 19, 2009	Notice of Filing of the Eleventh Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan to Waive the Automatic Annual Increase in the Enterprise Cap for 2008 Comments due:  July 20, 2009 See also:  Order: Release No. 34-60639
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 Comments received are available for this notice. See also:  Order: Release No. 34-60405
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
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 Number Lists

Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ)

Release No.	Date	Details
SR-CTA/CQ-2009-02
34-60985	Nov. 10, 2009	Notice of Filing of the Thirteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Seventh Charges Amendment to the Restated Consolidated Quotation Plan Comments due:  21 days after publication in the Federal Register  Submit comments on SR-CTA/CQ-2009-02
SR-CTA-2009-01
34-60320	Jul. 16, 2009	Notice of Filing and Immediate Effectiveness of the Twelfth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan Comments due:  August 17, 2009

File No. 4-429: Plan for the Purpose of Creating and Operating an Intermarket Option Linkage

Release No.	Date	Details
4-429
34-60582	Aug. 28, 2009	Order Approving Amendments to Withdraw from the Intermarket Options Linkage Plan filed by Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc.
34-60360	Jul. 21, 2009	Notice of Filing of Amendments to the Intermarket Options Linkage Plan to Withdraw from the Plan Comments due:  August 18, 2009

File No. 4-443: Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options

Release No.	Date	Details
4-443
34-60531	Aug. 19, 2009	Order Approving Amendment No. 3 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
34-60365	Jul. 22, 2009	Notice of Filing of Amendment No. 3 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options Comments due:  August 18, 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
34-60856	Oct. 21, 2009	Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add BATS Exchange, Inc., as a Party Thereto Comments due:  November 17, 2009  Submit comments on 4-533
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
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
34-60841	Oct. 20, 2009	Order Approving Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan
34-60507	Aug. 14, 2009	Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan, and Notice of Filing of Such Amendment Comments due:  September 14, 2009
34-60405	Jul. 30, 2009	Order Approving the National Market System Plan Relating to Options Order Protection and Locked/Crossed Markets Submitted by the Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc.
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 Comments received are available for this notice.

http://www.sec.gov/rules/sro/nms.shtml