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NMS Plans Archive: 2008
We encourage the public to submit comments on the following National Market System (NMS) plans during the comment period. For detailed instructions, please read
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| Release No. |
Date |
Details |
| Fourth Quarter |
4-533 |
|
34-59187 |
Dec. 30, 2008 |
Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add NASDAQ OMX BX, Inc., as a Party Thereto
Comments due: January 23, 2009
Comments received
are available
for this notice.
|
4-533 |
|
34-59162 |
Dec. 24, 2008 |
Notice of Filing and Immediate Effectiveness of Amendments to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add New York Stock Exchange LLC, NYSE Arca, Inc., NYSE Alternext US LLC and Chicago Board Options Exchange, Incorporated as Parties Thereto
Comments due: January 23, 2009
Comments received
are available
for this notice.
|
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 |
|
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 |
|
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.
|
4-533 |
|
34-59024 |
Nov. 26, 2008 |
Notice of Filing and Immediate Effectiveness of an Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add the International Securities Exchange, LLC as a Party Thereto
Comments due: December 29, 2008
Comments received
are available
for this notice.
|
4-546 |
|
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 |
|
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.
|
SR-OPRA-2008-04 |
|
34-58973 |
Nov. 18, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Options Price Reporting Authority's Policies with Respect to Device-Based Fees
Comments due: December 17, 2008
|
4-546 |
|
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.
|
4-533 |
|
34-58904 |
Nov. 6, 2008 |
Order Approving the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by the Chicago Stock Exchange, Inc., The Nasdaq Stock Market, Inc., National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.), National Stock Exchange, Inc., and Philadelphia Stock Exchange, Inc.
|
4-546 |
|
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.
|
S7-24-89 |
|
34-58863 |
Oct. 27, 2008 |
Notice of Filing and Immediate Effectiveness of Amendment No. 20 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, LLC., the Financial Industry Regulatory Authority, Inc., the National Stock Exchange, Inc., The NASDAQ Stock Market LLC, the New York Stock Exchange LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc.
Comments due: November 24, 2008
|
SR-CTA/CQ-2008-04 |
|
34-58838 |
Oct. 23, 2008 |
Notice of Filing and Immediate Effectiveness of the Fourteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Tenth Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due: November 19, 2008
|
| Third Quarter |
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
See also:
Order: Release No. 34-55207
|
4-443 |
|
34-58630 |
Sep. 24, 2008 |
Order Granting Permanent Approval to Amendment No. 2 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
See also:
Notice/Order: Release No. 34-58385
Order: Release No. 34-58205
Notice/Order: Release No. 34-57848
Notice: Release No. 34-57546
|
SR-CTA/CQ-2008-02 |
|
34-58585 |
Sep. 18, 2008 |
Order Approving the Twelfth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Eighth Substantive Amendment to the Restated Consolidated Quotation Plan
See also:
Notice: Release No. 34-58358
|
SR-OPRA-2008-02 |
|
34-58434 |
Aug. 27, 2008 |
Order Approving an Amendment, as Modified by Amendment No. 1 thereto, to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA's Vendor Agreement and Related Documents and to Adopt a New Policy
See also:
Notice: Release No. 34-58173
|
SR-OPRA-2008-03 |
|
34-58424 |
Aug. 26, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Options Price Reporting Authority's Academic Waiver Policy
Comments due: September 24, 2008
|
4-443 |
|
34-58385 |
Aug. 19, 2008 |
Notice of Filing and Order Approving on a Temporary Basis Amendment No. 2 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due: September 16, 2008
See also:
Order: Release No. 34-58630
Order: Release No. 34-58205
Notice/Order: Release No. 34-57848
Notice: Release No. 34-57546
|
SR-CTA/CQ-2008-02 |
|
34-58358 |
Aug. 13, 2008 |
Notice of Filing of the Twelfth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Eighth Substantive Amendment to the Consolidated Quotation Plan
Comments due: September 10, 2008
See also:
Order: Release No. 34-58585
|
4-443 |
|
34-58205 |
Jul. 22, 2008 |
Order Granting Permanent Approval to Amendment No. 1 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
See also:
Order: Release No. 34-58630
Notice/Order: Release No. 34-58385
Notice/Order: Release No. 34-57848
Notice: Release No. 34-57546
|
SR-OPRA-2008-02 |
|
34-58173 |
Jul. 16, 2008 |
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information, as Modified by Amendment No. 1 thereto, to Amend OPRA's Vendor Agreement and Related Documents and Adopt a New Policy
Comments due: August 12, 2008
See also:
Order: Release No. 34-58434
|
|
4-546 |
Jul. 8, 2008 |
Proposed Options Order Protection and Locked/Crossed Market Plan by BSE
Comments received
are available
for this notice.
|
| Second Quarter |
4-546 |
|
4-546 |
Jun. 17, 2008 |
Proposed Options Order Protection and Locked/Crossed Market Plan by Amex
|
4-546 |
|
4-546 |
Jun. 17, 2008 |
Proposed Options Order Protection and Locked/Crossed Market Plan by Phlx
|
SR-OPRA-2008-01 |
|
34-57878 |
May 28, 2008 |
Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Adopt New Form of Vendor Affiliate Agreement
See also:
Notice: Release No. 34-57530
|
4-443 |
|
34-57848 |
May 22, 2008 |
Notice of Filing and Order Approving on a Temporary Basis Amendment No. 1 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due: June 19, 2008
See also:
Order: Release No. 34-58630
Notice/Order: Release No. 34-58385
Order: Release No. 34-58205
Notice: Release No. 34-57546
|
4-546 |
|
4-546 |
May 7, 2008 |
Proposed Options Order Protection and Locked/Crossed Market Plan by Nasdaq
|
4-546 |
|
4-546 |
Apr. 29, 2008 |
Proposed Options Order Protection and Locked/Crossed Market Plan by CBOE
|
4-546 |
|
4-546 |
Apr. 16, 2008 |
Amendment No. 2 to Proposed Options Order Protection and Locked/Crossed Market Plan by ISE and NYSE Arca
|
| First Quarter |
4-443 |
|
34-57546 |
Mar. 21, 2008 |
Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures to Facilitate the Listing and Trading of Standarized Options to Add the Nasdaq Stock Market LLC as a Sponsor
Comments due: April 17, 2008
See also:
Order: Release No. 34-58630
Notice/Order: Release No. 34-58385
Order: Release No. 34-58205
Notice/Order: Release No. 34-57848
|
4-429 |
|
34-57545 |
Mar. 21, 2008 |
Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Creating and Operating an Options Intermarket Linkage to Add the Nasdaq Stock Market LLC as a Participant
Comments due: April 17, 2008
|
SR-OPRA-2008-01 |
|
34-57530 |
Mar. 19, 2008 |
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 “Vendor Affiliate Agreement”
Comments due: April 16, 2008
See also:
Notice: Release No. 34-57878
|
4-429 |
|
34-57238 |
Jan. 30, 2008 |
Order Approving 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
See also:
Notice: Release No. 34-56893
|
SR-OPRA-2007-05 |
|
34-57233 |
Jan. 30, 2008 |
Order Approving an 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
See also:
Notice: Release No. 34-56926
|
SR-OPRA-2007-03 |
|
34-57230 |
Jan. 29, 2008 |
Order Granting Permanent Approval to an 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 Foreign Currency Options
See also:
Notice/Temporary Order: Release No. 34-56949
|
4-534 |
|
34-57171 |
Jan. 18, 2008 |
Notice of Filing of Amendment No. 1 to the Proposed National Market System Plan for the Selection and Reservation of Securities Symbols
Comments due: February 15, 2008
Comments received
are available
for this notice.
|
SR-CTA-2007-02 |
|
34-57113 |
Jan. 8, 2008 |
Order Approving the Eleventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan
See also:
Notice: Release No. 34-56904
|
SR-CTA/CQ-2007-03 |
|
34-57107 |
Jan. 7, 2008 |
Notice of Filing and Immediate Effectiveness of the Tenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Sixth Charges Amendment to the Restated Consolidated Quotation Plan
Comments due: February 4, 2008
|
| Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ) |
| Release No. |
Date |
Details |
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
|
|
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
|
SR-CTA/CQ-2008-04 |
|
34-58838 |
Oct. 23, 2008 |
Notice of Filing and Immediate Effectiveness of the Fourteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Tenth Substantive Amendment to the Restated Consolidated Quotation Plan
Comments due: November 19, 2008
|
SR-CTA/CQ-2008-02 |
|
34-58585 |
Sep. 18, 2008 |
Order Approving the Twelfth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Eighth Substantive Amendment to the Restated Consolidated Quotation Plan
|
|
34-58358 |
Aug. 13, 2008 |
Notice of Filing of the Twelfth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Eighth Substantive Amendment to the Consolidated Quotation Plan
Comments due: September 10, 2008
|
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
|
|
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
|
SR-CTA/CQ-2007-03 |
|
34-57107 |
Jan. 7, 2008 |
Notice of Filing and Immediate Effectiveness of the Tenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Sixth Charges Amendment to the Restated Consolidated Quotation Plan
Comments due: February 4, 2008
|
SR-CTA-2007-02 |
|
34-57113 |
Jan. 8, 2008 |
Order Approving the Eleventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan
See also:
Notice: Release No. 34-56904
|
| File No. 4-429: Plan for the Purpose of Creating and Operating an Intermarket Option Linkage |
| Release No. |
Date |
Details |
4-429 |
|
34-57545 |
Mar. 21, 2008 |
Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Creating and Operating an Options Intermarket Linkage to Add the Nasdaq Stock Market LLC as a Participant
Comments due: April 17, 2008
|
|
34-57238 |
Jan. 30, 2008 |
Order Approving 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
See also:
Notice: Release No. 34-56893
|
| File No. S7-24-89: Nasdaq UTP Plan |
| Release No. |
Date |
Details |
S7-24-89 |
|
34-58863 |
Oct. 27, 2008 |
Notice of Filing and Immediate Effectiveness of Amendment No. 20 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, LLC., the Financial Industry Regulatory Authority, Inc., the National Stock Exchange, Inc., The NASDAQ Stock Market LLC, the New York Stock Exchange LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc.
Comments due: November 24, 2008
|
| 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 |
|
34-58630 |
Sep. 24, 2008 |
Order Granting Permanent Approval to Amendment No. 2 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
|
|
34-58385 |
Aug. 19, 2008 |
Notice of Filing and Order Approving on a Temporary Basis Amendment No. 2 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due: September 16, 2008
|
|
34-58205 |
Jul. 22, 2008 |
Order Granting Permanent Approval to Amendment No. 1 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
|
|
34-57848 |
May 22, 2008 |
Notice of Filing and Order Approving on a Temporary Basis Amendment No. 1 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due: June 19, 2008
|
|
34-57546 |
Mar. 21, 2008 |
Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures to Facilitate the Listing and Trading of Standarized Options to Add the Nasdaq Stock Market LLC as a Sponsor
Comments due: April 17, 2008
|
| 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 |
|
34-59187 |
Dec. 30, 2008 |
Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add NASDAQ OMX BX, Inc., as a Party Thereto
Comments due: January 23, 2009
Comments received
are available
for this notice.
|
|
34-59162 |
Dec. 24, 2008 |
Notice of Filing and Immediate Effectiveness of Amendments to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add New York Stock Exchange LLC, NYSE Arca, Inc., NYSE Alternext US LLC and Chicago Board Options Exchange, Incorporated as Parties Thereto
Comments due: January 23, 2009
Comments received
are available
for this notice.
|
|
34-59024 |
Nov. 26, 2008 |
Notice of Filing and Immediate Effectiveness of an Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add the International Securities Exchange, LLC as a Party Thereto
Comments due: December 29, 2008
Comments received
are available
for this notice.
|
|
34-58904 |
Nov. 6, 2008 |
Order Approving the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by the Chicago Stock Exchange, Inc., The Nasdaq Stock Market, Inc., National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.), National Stock Exchange, Inc., and Philadelphia Stock Exchange, Inc.
|
| File No. 4-534: Proposed NMS Plan for the Selection and Reservation of Securities Symbols by Amex, NYSE and NYSE Arca |
| Release No. |
Date |
Details |
4-534 |
|
34-57171 |
Jan. 18, 2008 |
Notice of Filing of Amendment No. 1 to the Proposed National Market System Plan for the Selection and Reservation of Securities Symbols
Comments due: February 15, 2008
Comments received
are available
for this notice.
|
| Options Price Reporting Authority (OPRA) |
| Release No. |
Date |
Details |
SR-OPRA-2008-04 |
|
34-58973 |
Nov. 18, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Options Price Reporting Authority's Policies with Respect to Device-Based Fees
Comments due: December 17, 2008
|
SR-OPRA-2008-03 |
|
34-58424 |
Aug. 26, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Options Price Reporting Authority's Academic Waiver Policy
Comments due: September 24, 2008
|
SR-OPRA-2008-02 |
|
34-58434 |
Aug. 27, 2008 |
Order Approving an Amendment, as Modified by Amendment No. 1 thereto, to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA's Vendor Agreement and Related Documents and to Adopt a New Policy
|
|
34-58173 |
Jul. 16, 2008 |
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information, as Modified by Amendment No. 1 thereto, to Amend OPRA's Vendor Agreement and Related Documents and Adopt a New Policy
Comments due: August 12, 2008
|
SR-OPRA-2008-01 |
|
34-57878 |
May 28, 2008 |
Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Adopt New Form of Vendor Affiliate Agreement
|
|
34-57530 |
Mar. 19, 2008 |
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 “Vendor Affiliate Agreement”
Comments due: April 16, 2008
|
SR-OPRA-2007-05 |
|
34-57233 |
Jan. 30, 2008 |
Order Approving an 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
See also:
Notice: Release No. 34-56926
|
SR-OPRA-2007-03 |
|
34-57230 |
Jan. 29, 2008 |
Order Granting Permanent Approval to an 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 Foreign Currency Options
See also:
Notice/Temporary Order: Release No. 34-56949
|
http://www.sec.gov/rules/sro/nms/nmsarchive/nms2008.shtml
|
