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NMS Plans Archive: 2007
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-OPRA-2007-04 |
|
34-56950 |
Dec. 12, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to Revise OPRA’s Fee Schedule
Comments due: January 8, 2008
|
SR-OPRA-2007-03 |
|
34-56949 |
Dec. 12, 2007 |
Notice of Filing and Order Approving on a Temporary Basis Not to Exceed 120 Days a Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information, as Modified by Amendment No. 1 Thereto, to Modify Various Provisions of the OPRA Plan and the OPRA Fee Schedule to Reflect the Elimination of Separate Fees for Access to Market Data Concerning Certain Foreign Currency Options
Comments due: January 8, 2008
See also:
Order: Release No. 34-57230
|
4-546 |
|
4-546 |
Dec. 10, 2007 |
Amendment No. 1 to Proposed Options Order Protection and Locked/Crossed Market Plan by ISE and NYSE Arca |
SR-OPRA-2007-05 |
|
34-56926 |
Dec. 7, 2007 |
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Adopt New Form of Rider to OPRA’s Vendor Agreement for Use by Television Companies that Wish to Disseminate OPRA Data
Comments due: January 3, 2008
See also:
Order: Release No. 34-57233
|
SR-CTA-2007-02 |
|
34-56904 |
Dec. 5, 2007 |
Notice of Filing of the Eleventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments due: January 2, 2008
See also:
Order: Release No. 34-57113
|
4-429 |
|
34-56893 |
Dec. 4, 2007 |
Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 25 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage, and Notice of Filing of Such Amendment
See also: Release Nos.
34-57238,
34-56806,
34-56780,
34-56605,
34-56596,
34-55744
and
34-55436
Comments due: January 2, 2008
|
4-429 |
|
34-56806 |
Nov. 16, 2007 |
Order Approving Joint Amendment No. 24 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Regarding Elimination of the Class Gate
See also: Release Nos.
34-56780,
34-56605,
34-56596,
34-55744
and
34-55436
|
4-429 |
|
34-56780 |
Nov. 13, 2007 |
Order Approving Joint Amendment No. 23 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage to Permit the Use of Linkage Prior to the Opening of Trading
See also: Release Nos.
34-56806,
34-56605,
34-56596,
34-55744
and
34-55436
|
| Third Quarter |
4-429 |
|
34-56605 |
Oct. 3, 2007 |
Notice of Filing of Joint Amendment No. 23 to the Intermarket Option Linkage Plan to Permit the Use of Linkage Prior to the Opening of Trading
Comments due: November 2, 2007
See also: Release Nos.
34-56893,
34-56806,
34-56780,
34-56596,
34-55744
and
34-55436
|
4-429 |
|
34-56596 |
Oct. 2, 2007 |
Notice of Filing of Joint Amendment No. 24 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Regarding Elimination of the Class Gate
Comments due: November 2, 2007
See also: Release Nos.
34-56893,
34-56806,
34-56780,
34-56605,
34-55744
and
34-55436
|
4-546 |
|
4-546 |
Sep. 18, 2007 |
Proposed Options Order Protection and Locked/Crossed Market Plan by ISE and NYSE Arca
|
SR-CTA-2007-01 |
|
34-56304 |
Aug. 22, 2007 |
Order Approving the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
See also:
Notice: Release No. 34-56134
|
4-534 |
|
4-534 |
Aug. 1, 2007 |
Amendment No. 1 to Proposed NMS Plan for the Selection and Reservation of Securities Symbols by Amex, NYSE and NYSE Arca
|
SR-CTA-2007-01 |
|
34-56134 |
Jul. 25, 2007 |
Notice of Filing of the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments due: August 22, 2007
See also:
Order: Release No. 34-56304
|
4-533 and 4-534 |
|
34-56037 |
Jul. 10, 2007 |
Notice of Filing of Proposed National Market System Plans for the Selection and Reservation of Securities Symbols
Comments due: August 16, 2007
|
| Second Quarter |
4-429 |
|
34-55744 |
May 11, 2007 |
Order Approving Joint Amendment No. 22 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage
See also: Release Nos.
34-56806,
34-56780,
34-56605,
34-56596
and
34-55436
|
S7-24-89 |
|
34-55647 |
Apr. 19, 2007 |
Order Granting Permanent Approval 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, Inc., the International Securities Exchange, LLC, 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.
See also:
Notice: Release No. 34-55192
Comments received
are available
for this notice.
|
4-533 |
|
4-533 |
Apr. 18, 2007 |
Proposed NMS Plan for the Selection and Reservation of Securities Symbols by NASDAQ, NASD, NSX and Phlx [Revised]
Comments received
are available
for this notice.
|
| First Quarter |
4-534 |
|
4-534 |
Mar. 22, 2007 |
Proposed NMS Plan for the Selection and Reservation of Securities Symbols by Amex, NYSE and NYSE Arca
Comments received
are available
for this notice.
|
4-533 |
|
4-533 |
Mar. 21, 2007 |
Proposed NMS Plan for the Selection and Reservation of Securities Symbols by NASDAQ, NASD, NSX and Phlx
Comments received
are available
for this notice.
|
SR-OPRA-2007-02 |
|
34-55455 |
Mar. 13, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to Revise OPRA’s Fee Schedule and its "Policies with Respect to Device-Based Fees"
Comments due: April 11, 2007
|
SR-OPRA-2007-01 |
|
34-55454 |
Mar. 13, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to Adopt a Revised Form "Third Party Billing Agreement"
Comments due: April 11, 2007
|
4-429 |
|
34-55436 |
Mar. 8, 2007 |
Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 22 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage, and Notice of Filing of Such Amendment
Comments due: April 6, 2007
See also: Release Nos.
34-56806,
34-56780,
34-56605,
34-56596
and
34-55744
|
4-208 |
|
34-55397 |
Mar. 5, 2007 |
Notice of Filing and Immediate Effectiveness of the Twenty Fourth Amendment to the ITS Plan Relating to the Elimination of the ITS
Plan
Comments due: April 2, 2007
|
4-518 |
|
34-55207 |
Jan. 31, 2007 |
Order Approving Amendment to Add the International Securities Exchange LLC as Participant to National Market System Plan Establishing Procedures under Rule 605 of Regulation NMS
|
S7-24-89 |
|
34-55192 |
Jan. 29, 2007 |
Notice of Filing and Immediate Effectiveness of Amendment No. 19 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, LLC, 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: February 27, 2007
See also:
Order: Release No. 34-55647
Comments received
are available
for this notice.
|
SR-OPRA-2006-02 |
|
34-55049 |
Jan. 5, 2007 |
Order Approving an 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
See also:
Notice: Rel. No. 34-54870
|
| Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ) |
| Release No. |
Date |
Details |
SR-CTA-2007-02 |
|
34-56904 |
Dec. 5, 2007 |
Notice of Filing of the Eleventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments due: January 2, 2008
See also:
Order: Release No. 34-57113
|
SR-CTA-2007-01 |
|
34-56304 |
Aug. 22, 2007 |
Order Approving the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
|
|
34-56134 |
Jul. 25, 2007 |
Notice of Filing of the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments due: August 22, 2007
|
| File No. 4-208: Intermarket Trading System |
| Release No. |
Date |
Details |
4-208 |
|
34-55397 |
Mar. 5, 2007 |
Notice of Filing and Immediate Effectiveness of the Twenty Fourth Amendment to the ITS Plan Relating to the Elimination of the ITS Plan
Comments due: April 2, 2007
|
| File No. 4-429: Plan for the Purpose of Creating and Operating an Intermarket Option Linkage |
| Release No. |
Date |
Details |
4-429 |
|
34-56893 |
Dec. 4, 2007 |
Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 25 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage, and Notice of Filing of Such Amendment
Comments due: January 2, 2008
Order: Release No. 34-57238
|
|
34-56806 |
Nov. 16, 2007 |
Order Approving Joint Amendment No. 24 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Regarding Elimination of the Class Gate
|
|
34-56780 |
Nov. 13, 2007 |
Order Approving Joint Amendment No. 23 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage to Permit the Use of Linkage Prior to the Opening of Trading
|
|
34-56605 |
Oct. 3, 2007 |
Notice of Filing of Joint Amendment No. 23 to the Intermarket Option Linkage Plan to Permit the Use of Linkage Prior to the Opening of Trading
Comments due: November 2, 2007
|
|
34-56596 |
Oct. 2, 2007 |
Notice of Filing of Joint Amendment No. 24 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Regarding Elimination of the Class Gate
Comments due: November 2, 2007
|
|
34-55744 |
May 11, 2007 |
Order Approving Joint Amendment No. 22 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage
|
|
34-55436 |
Mar. 8, 2007 |
Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 22 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage, and Notice of Filing of Such Amendment
Comments due: April 6, 2007
|
| File No. S7-24-89: Nasdaq UTP Plan |
| Release No. |
Date |
Details |
S7-24-89 |
|
34-55647 |
Apr. 19, 2007 |
Order Granting Permanent Approval 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, Inc., the International Securities Exchange, LLC, 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 received
are available
for this notice.
|
|
34-55192 |
Jan. 29, 2007 |
Notice of Filing and Immediate Effectiveness of Amendment No. 19 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, LLC, 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: February 27, 2007
Comments received
are available
for this notice.
|
| File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS |
| Release No. |
Date |
Details |
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
|
4-518 |
|
34-58695 |
Sep. 30, 2008 |
Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures under Rule 605 of Regulation NMS
Comments due: November 7, 2008
|
4-518 |
|
34-55207 |
Jan. 31, 2007 |
Order Approving Amendment to Add the International Securities Exchange LLC as Participant to National Market System Plan Establishing Procedures under Rule 605 of Regulation NMS
File No.: 4-518
|
| 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 |
|
34-56037 |
Jul. 10, 2007 |
Notice of Filing of Proposed National Market System Plans for the Selection and Reservation of Securities Symbols
Comments due: August 16, 2007
|
|
4-533 |
Apr. 18, 2007 |
Proposed NMS Plan for the Selection and Reservation of Securities Symbols by NASDAQ, NASD, NSX and Phlx [Revised]
Comments received
are available
for this notice.
|
|
4-533 |
Mar. 21, 2007 |
Proposed NMS Plan for the Selection and Reservation of Securities Symbols by NASDAQ, NASD, NSX and Phlx
Comments received
are available
for this notice.
|
| File No. 4-534: Proposed NMS Plan for the Selection and Reservation of Securities Symbols by NYSEALTR, NYSE and NYSE Arca |
| Release No. |
Date |
Details |
4-534 |
|
4-534 |
Aug. 1, 2007 |
Amendment No. 1 to Proposed NMS Plan for the Selection and Reservation of Securities Symbols by Amex, NYSE and NYSE Arca
|
|
34-56037 |
Jul. 10, 2007 |
Notice of Filing of Proposed National Market System Plans for the Selection and Reservation of Securities Symbols
Comments due: August 16, 2007
|
|
4-534 |
Mar. 22, 2007 |
Proposed NMS Plan for the Selection and Reservation of Securities Symbols by Amex, NYSE and NYSE Arca
Comments received
are available
for this notice.
|
| File No. 4-546: Proposed Options Order Protection and Locked/Crossed Market Plan by BSE, CBOE, ISE, Nasdaq, NYSE Arca, NYSEALTR, and Phlx |
| Release No. |
Date |
Details |
4-546 |
|
4-546 |
Dec. 4, 2008 |
Amendment No. 1 to Proposed Options Order Protection and Locked/Crossed Market Plan by Nasdaq
Comments received
are available
for this notice.
|
|
4-546 |
Dec. 3, 2008 |
Amendment No. 1 to Proposed Options Order Protection and Locked/Crossed Market Plan by Phlx
Comments received
are available
for this notice.
|
|
4-546 |
Dec. 1, 2008 |
Amendment No. 1 to Proposed Options Order Protection and Locked/Crossed Market Plan by BSE
Comments received
are available
for this notice.
|
|
4-546 |
Nov. 25, 2008 |
Amendment No. 1 to Proposed Options Order Protection and Locked/Crossed Market Plan by NYSE Alternext (f/k/a Amex)
Comments received
are available
for this notice.
|
|
4-546 |
Nov. 21, 2008 |
Amendment No. 1 to Proposed Options Order Protection and Locked/Crossed Market Plan by CBOE
Comments received
are available
for this notice.
|
|
4-546 |
Nov. 7, 2008 |
Amendment No. 3 to Proposed Options Order Protection and Locked/Crossed Market Plan by ISE
Comments received
are available
for this notice.
|
|
4-546 |
Oct. 30, 2008 |
Amendment No. 3 to Proposed Options Order Protection and Locked/Crossed Market Plan by NYSE Arca
Comments received
are available
for this notice.
|
|
4-546 |
Jul. 8, 2008 |
Proposed Options Order Protection and Locked/Crossed Market Plan by BSE
Comments received
are available
for this notice.
|
|
4-546 |
Jun. 17, 2008 |
Proposed Options Order Protection and Locked/Crossed Market Plan by Amex
|
|
4-546 |
Jun. 17, 2008 |
Proposed Options Order Protection and Locked/Crossed Market Plan by Phlx
|
|
4-546 |
May 7, 2008 |
Proposed Options Order Protection and Locked/Crossed Market Plan by Nasdaq
|
|
4-546 |
Apr. 29, 2008 |
Proposed Options Order Protection and Locked/Crossed Market Plan by CBOE
|
|
4-546 |
Apr. 16, 2008 |
Amendment No. 2 to Proposed Options Order Protection and Locked/Crossed Market Plan by ISE and NYSE Arca
|
|
4-546 |
Dec. 10, 2007 |
Amendment No. 1 to Proposed Options Order Protection and Locked/Crossed Market Plan by ISE and NYSE Arca |
|
4-546 |
Sep. 18, 2007 |
Proposed Options Order Protection and Locked/Crossed Market Plan by ISE and NYSE Arca |
| Options Price Reporting Authority (OPRA) |
| Release No. |
Date |
Details |
SR-OPRA-2007-05 |
|
34-56926 |
Dec. 7, 2007 |
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Adopt New Form of Rider to OPRA’s Vendor Agreement for Use by Television Companies that Wish to Disseminate OPRA Data
Comments due: January 3, 2008
See also:
Order: Release No. 34-57233
|
SR-OPRA-2007-04 |
|
34-56950 |
Dec. 12, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to Revise OPRA’s Fee Schedule
Comments due: January 8, 2008
|
SR-OPRA-2007-03 |
|
34-56949 |
Dec. 12, 2007 |
Notice of Filing and Order Approving on a Temporary Basis Not to Exceed 120 Days a Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information, as Modified by Amendment No. 1 Thereto, to Modify Various Provisions of the OPRA Plan and the OPRA Fee Schedule to Reflect the Elimination of Separate Fees for Access to Market Data Concerning Certain Foreign Currency Options
Comments due: January 8, 2008
See also:
Order: Release No. 34-57230
|
SR-OPRA-2007-02 |
|
34-55455 |
Mar. 13, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to Revise OPRA’s Fee Schedule and its "Policies with Respect to Device-Based Fees"
Comments due: April 11, 2007
|
SR-OPRA-2007-01 |
|
34-55454 |
Mar. 13, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to Adopt a Revised Form "Third Party Billing Agreement"
Comments due: April 11, 2007
|
SR-OPRA-2006-02 |
|
34-55049 |
Jan. 5, 2007 |
Order Approving an 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
See also:
Notice: Rel. No. 34-54870
|
|
