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NMS Plans Archive: 2006
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| Release No. |
Date |
Details |
| Fourth Quarter |
S7-24-89 |
|
34-54988 |
Dec. 20, 2006 |
Solicitation of Comments and Order Granting Temporary Summary Effectiveness to Request to Extend the Operation of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., the Nasdaq Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc., and to Request Permanent Approval of the Plan
Comments due: January 18, 2007
|
S7-24-89 |
|
34-54936 |
Dec. 14, 2006 |
Notice of Filing and Effectiveness of Amendment No. 18 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, Submitted by the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., the Nasdaq Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due: January 10, 2007
|
SR-OPRA-2006-02 |
|
34-54870 |
Dec. 5, 2006 |
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Provide that Classes of Foreign Currency Options Newly Introduced for Trading by Any of the Parties to the Plan Be Treated under the Provision "Special Temporary Provision for Newly Traded FCO Securities" During a Temporary Period Ending on December 31, 2007
Comments due: December 28, 2006
See also:
Order: Rel. No. 34-55049
|
SR-CTA/CQ-2006-02 |
|
34-54588 |
Oct. 11, 2006 |
Notice of Filing and Immediate Effectiveness of the Tenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Seventh Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due: November 8, 2006
|
| Third Quarter |
4-524 |
|
34-54551 |
Sep. 29, 2006 |
Order Approving NMS Linkage Plan Filed by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., The NASDAQ Stock Market LLC, National Stock Exchange, New York Stock Exchange LLC, NYSE Arca, Inc., and Philadelphia Stock Exchange, Inc.
See also:
Notice: Release No. 34-54239
|
4-518 |
|
34-54510 |
Sep. 26, 2006 |
Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 605 of Regulation NMS
Comments due: November 1, 2006
|
S7-24-89 |
|
34-54426 |
Sep. 12, 2006 |
Notice of Filing and Effectiveness of Amendment No. 17 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, Submitted by the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., The NASDAQ Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due: October 10, 2006
|
4-518 |
|
34-54352 |
Aug. 23, 2006 |
Order Approving Amendment to Add The Nasdaq Stock Market LLC as Participant to Plan Establishing Procedures under Rule 605 of Regulation NMS
See also:
Notice: Release No. 34-53691
|
4-429 |
|
34-54343 |
Aug. 21, 2006 |
Order Approving Joint Amendment No. 19 to the Intermarket Option Linkage Plan to Modify the Manner in which the Fee Applicable to New Participants Is Calculated
See also:
Notice: Release No. 34-54001
|
4-524 |
|
34-54239 |
Jul. 28, 2006 |
Notice of Filing of the NMS Linkage Plan by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., The NASDAQ Stock Market LLC, National Stock Exchange, New York Stock Exchange LLC, and NYSE Arca, Inc.
Comments due: August 25, 2006
|
| Second Quarter |
SR-CTA/CQ-2006-01 |
|
34-54038 |
Jun. 23, 2006 |
Notice of Filing and Immediate Effectiveness of the Eighth and Ninth Substantive Amendments to the Second Restatement of the Consolidated Tape Association Plan and the Sixth Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due: July 21, 2006
|
4-429 |
|
34-54001 |
Jun. 15, 2006 |
Notice of Filing of Joint Amendment No. 19 to the Intermarket Option Linkage Plan to Modify the Manner in which the Participation Fee Applicable to New Participants is Calculated
Comments due: July 13, 2006
|
4-516 |
|
34-53940 |
Jun. 5, 2006 |
Order Approving Options Regulatory Surveillance Authority Plan by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, International Securities Exchange, Inc., Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.) and Philadelphia Stock Exchange, Inc.
See also:
Notice: Release No. 34-53589
|
4-208 |
|
34-53763 |
May 5, 2006 |
Notice of Filing and Immediate Effectiveness of the Twenty Third Amendment to the ITS Plan Relating to the Interaction of Chicago Stock Exchange, Inc. with ITS, the Change in Opening of Trading in a Halted Security, and the Change in Name from the New York Stock Exchange, Inc. to New York Stock Exchange LLC and from Pacific Exchange, Inc. to NYSE Arca, Inc.
Comments due: June 2, 2006
|
SR-OPRA-2006-01 |
|
34-53753 |
May 2, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Revise OPRA’s Professional Subscriber Agreement and Its Direct Circuit Connection Rider and Indirect Circuit Connection Rider
Comments due: May 31, 2006
|
4-208 |
|
34-53733 |
Apr. 27, 2006 |
Notice of Filing and Immediate Effectiveness of the Twenty Second Amendment to the ITS Plan Relating to the Change in Name from the Cincinnati Stock Exchange, Inc., to the National Stock Exchange and to the Admission of the NASDAQ Stock Market LLC as an ITS Participant
Comments due: May 26, 2006
|
4-518 |
|
34-53691 |
Apr. 20, 2006 |
Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 605 of Regulation NMS
Comments due: May 30, 2006
|
4-516 |
|
34-53589 |
Apr. 4, 2006 |
Notice of Filing of Options Regulatory Surveillance Authority Plan by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, International Securities Exchange, Inc., Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.) and Philadelphia Stock Exchange, Inc.
ORSA Plan
Comments due: May 1, 2006
See also:
Order: Release No. 34-53940 |
| First Quarter |
S7-24-89 |
|
34-53250 |
Feb. 7, 2006 |
Order Granting Approval of Category 1 Changes from Amendment No. 13 of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the National Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc.
|
S7-24-89 |
|
34-53131 |
Jan. 17, 2006 |
Notice of Filing and Immediate Effectiveness of Amendment Nos. 15 and 16 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the National Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due: February 14, 2006
|
| Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ) |
| Release No. |
Date |
Details |
SR-CTA/CQ-2006-02 |
|
34-54588 |
Oct. 11, 2006 |
Notice of Filing and Immediate Effectiveness of the Tenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Seventh Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due: November 8, 2006
|
SR-CTA/CQ-2006-01 |
|
34-54038 |
Jun. 23, 2006 |
Notice of Filing and Immediate Effectiveness of the Eighth and Ninth Substantive Amendments to the Second Restatement of the Consolidated Tape Association Plan and the Sixth Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due: July 21, 2006
|
| File No. 4-208: Intermarket Trading System |
| Release No. |
Date |
Details |
|
34-53763 |
May 5, 2006 |
Notice of Filing and Immediate Effectiveness of the Twenty Third Amendment to the ITS Plan Relating to the Interaction of Chicago Stock Exchange, Inc. with ITS, the Change in Opening of Trading in a Halted Security, and the Change in Name from the New York Stock Exchange, Inc. to New York Stock Exchange LLC and from Pacific Exchange, Inc. to NYSE Arca, Inc.
Comments due: June 2, 2006
|
|
34-53733 |
Apr. 27, 2006 |
Notice of Filing and Immediate Effectiveness of the Twenty Second Amendment to the ITS Plan Relating to the Change in Name from the Cincinnati Stock Exchange, Inc., to the National Stock Exchange and to the Admission of the NASDAQ Stock Market LLC as an ITS Participant
Comments due: May 26, 2006
|
| File No. 4-429: Plan for the Purpose of Creating and Operating an Intermarket Option Linkage |
| Release No. |
Date |
Details |
|
34-54343 |
Aug. 21, 2006 |
Order Approving Joint Amendment No. 19 to the Intermarket Option Linkage Plan to Modify the Manner in which the Fee Applicable to New Participants Is Calculated
|
|
34-54001 |
Jun. 15, 2006 |
Notice of Filing of Joint Amendment No. 19 to the Intermarket Option Linkage Plan to Modify the Manner in which the Participation Fee Applicable to New Participants is Calculated
Comments due: July 13, 2006
|
| File No. 4-430: Decimal Trading in Subpennies |
| Release No. |
Date |
Details |
| No proposals were posted to web. |
| File No. S7-24-89: Nasdaq UTP Plan |
| Release No. |
Date |
Details |
S7-24-89 |
|
34-54988 |
Dec. 20, 2006 |
Solicitation of Comments and Order Granting Temporary Summary Effectiveness to Request to Extend the Operation of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., the Nasdaq Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc., and to Request Permanent Approval of the Plan
Comments due: January 18, 2007
|
S7-24-89 |
|
34-54936 |
Dec. 14, 2006 |
Notice of Filing and Effectiveness of Amendment No. 18 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, Submitted by the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., the Nasdaq Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due: January 10, 2007
|
|
34-54426 |
Sep. 12, 2006 |
Notice of Filing and Effectiveness of Amendment No. 17 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, Submitted by the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., The NASDAQ Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due: October 10, 2006
|
|
34-53250 |
Feb. 7, 2006 |
Order Granting Approval of Category 1 Changes from Amendment No. 13 of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the National Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc.
|
|
34-53131 |
Jan. 17, 2006 |
Notice of Filing and Immediate Effectiveness of Amendment Nos. 15 and 16 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the National Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc.
Comments due: February 14, 2006
|
| File No. 4-516: Options Regulatory Surveillance Authority (ORSA) |
| Release No. |
Date |
Details |
File No. 4-516 |
|
34-53940 |
Jun. 5, 2006 |
Order Approving Options Regulatory Surveillance Authority Plan by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, International Securities Exchange, Inc., Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.) and Philadelphia Stock Exchange, Inc.
See also:
Notice: Release No. 34-53589
|
|
34-53589 |
Apr. 4, 2006 |
Notice of Filing of Options Regulatory Surveillance Authority Plan by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, International Securities Exchange, Inc., Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.) and Philadelphia Stock Exchange, Inc.
Comments due: May 1, 2006
ORSA Plan
|
| File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS |
| Release No. |
Date |
Details |
4-518 |
|
34-54510 |
Sep. 26, 2006 |
Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 605 of Regulation NMS
Comments due: November 1, 2006
|
|
34-54352 |
Aug. 23, 2006 |
Order Approving Amendment to Add The Nasdaq Stock Market LLC as Participant to Plan Establishing Procedures under Rule 605 of Regulation NMS
|
|
34-53691 |
Apr. 20, 2006 |
Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 605 of Regulation NMS
Comments due: May 30, 2006
|
| File No. 4-524: NMS Linkage Plan by the NYSEALTR, BSE, CBOE, CHX, NASDAQ, NSE, NYSE and NYSE Arca |
| Release No. |
Date |
Details |
4-524 |
|
34-54551 |
Sep. 29, 2006 |
Order Approving NMS Linkage Plan Filed by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., The NASDAQ Stock Market LLC, National Stock Exchange, New York Stock Exchange LLC, NYSE Arca, Inc., and Philadelphia Stock Exchange, Inc.
|
|
34-54239 |
Jul. 28, 2006 |
Notice of Filing of the NMS Linkage Plan by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., The NASDAQ Stock Market LLC, National Stock Exchange, New York Stock Exchange LLC, and NYSE Arca, Inc.
Comments due: August 25, 2006
|
| Options Price Reporting Authority (OPRA) |
| Release No. |
Date |
Details |
SR-OPRA-2006-02 |
|
34-54870 |
Dec. 5, 2006 |
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Provide that Classes of Foreign Currency Options Newly Introduced for Trading by Any of the Parties to the Plan Be Treated under the Provision "Special Temporary Provision for Newly Traded FCO Securities" During a Temporary Period Ending on December 31, 2007
Comments due: December 29, 2006
See also:
Order: Rel. No. 34-55049
|
SR-OPRA-2006-01 |
|
34-53753 |
May 2, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Revise OPRA’s Professional Subscriber Agreement and Its Direct Circuit Connection Rider and Indirect Circuit Connection Rider
Comments due: May 31, 2006
|
http://www.sec.gov/rules/sro/nms/nmsarchive/nms2006.shtml
|
