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NMS Plans: 2011
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.
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Chronological List
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter |
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File Number Lists
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File No. S7-24-89: Nasdaq UTP Plan |
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File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS |
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File No. 4-631: National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. |
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Options Price Reporting Authority (OPRA) |
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Additional Archives
2023 |
2022 |
2021 |
2020 |
2019 |
2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000
| Release No. |
Date |
Details |
| Fourth Quarter |
S7-24-89 |
|
34-65866 |
Dec. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Amendment No. 26 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 BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc.
Comments due: December 28, 2011
Comments received
are available
for this proposal.
|
SR-OPRA-2011-05 |
|
34-65796 |
Nov. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan to Adopt a Policy Named "Policy with respect to Disaster Recovery Facilities"
Comments due: December 19, 2011
|
SR-OPRA-2011-04 |
|
34-65795 |
Nov. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan to Implement the Datafeed Policy
Comments due: December 19, 2011
|
SR-OPRA-2011-03 |
|
34-65794 |
Nov. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan to Implement New Policies Regarding Reporting and Usage-Based Vendor Fees
Comments due: December 19, 2011
|
| Third Quarter |
4-631 |
|
34-65410 |
Sep. 27, 2011 |
Notice of Designation of a Longer Period for Commission Action on the National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc.
See also:
Notice: Release No. 34-64547
Comments received
are available
for this notice.
|
SR-OPRA-2011-02 |
|
34-64819 |
Jul. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Adopt a New Hosted Solution Fee and Other Changes to the Fee Schedule
Comments due: August 2, 2011
|
| Second Quarter |
4-631 |
|
34-64547 |
May 25, 2011 |
Notice of Filing of a National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc.
Comments due: June 22, 2011
See also:
Notice: Release No. 34-65410
Comments received
are available
for this notice.
|
| First Quarter |
S7-24-89 |
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34-64043 |
Mar. 7, 2011 |
Order Approving Amendment No. 25 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 BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc.
See also:
Notice: Release No. 34-63756
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S7-24-89 |
|
34-63756 |
Jan. 21, 2011 |
Notice of Filing of Amendment No. 25 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 BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc.
Comments due: February 18, 2011
See also:
Order: Release No. 34-64043
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S7-24-89 |
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34-63755 |
Jan. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Amendment No. 24 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 BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc.
Comments due: February 18, 2011
|
S7-24-89 |
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34-63754 |
Jan. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Amendment No. 23 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 BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc.
Comments due: February 18, 2011
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4-518 |
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34-63719 |
Jan. 14, 2011 |
Order Approving Amendment to Add the BATS Y-Exchange, Inc. as Participant to National Market System Plan Establishing Procedures under Rule 605 of Regulation NMS
See also:
Notice: Release No. 34-62896
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| File No. S7-24-89: Nasdaq UTP Plan |
| Release No. |
Date |
Details |
S7-24-89 |
|
34-65866 |
Dec. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Amendment No. 26 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 BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc.
Comments due: December 28, 2011
Comments received
are available
for this proposal.
|
S7-24-89 |
|
34-64043 |
Mar. 7, 2011 |
Order Approving Amendment No. 25 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 BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc.
|
S7-24-89 |
|
34-63756 |
Jan. 21, 2011 |
Notice of Filing of Amendment No. 25 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 BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc.
Comments due: February 18, 2011
|
S7-24-89 |
|
34-63755 |
Jan. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Amendment No. 24 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 BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc.
Comments due: February 18, 2011
|
S7-24-89 |
|
34-63754 |
Jan. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Amendment No. 23 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 BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc.
Comments due: February 18, 2011
|
| File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS |
| Release No. |
Date |
Details |
4-518 |
|
34-63719 |
Jan. 14, 2011 |
Order Approving Amendment to Add the BATS Y-Exchange, Inc. as Participant to National Market System Plan Establishing Procedures under Rule 605 of Regulation NMS
See also:
Notice: Release No. 34-62896
|
| File No. 4-631: National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. |
| Release No. |
Date |
Details |
4-631 |
|
34-65410 |
Sep. 27, 2011 |
Notice of Designation of a Longer Period for Commission Action on the National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc.
Comments received
are available
for this notice.
|
|
34-64547 |
May 25, 2011 |
Notice of Filing of a National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc.
Comments due: June 22, 2011
Comments received
are available
for this notice.
|
| Options Price Reporting Authority (OPRA) |
| Release No. |
Date |
Details |
SR-OPRA-2011-05 |
|
34-65796 |
Nov. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan to Adopt a Policy Named "Policy with respect to Disaster Recovery Facilities"
Comments due: December 19, 2011
|
SR-OPRA-2011-04 |
|
34-65795 |
Nov. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan to Implement the Datafeed Policy
Comments due: December 19, 2011
|
SR-OPRA-2011-03 |
|
34-65794 |
Nov. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan to Implement New Policies Regarding Reporting and Usage-Based Vendor Fees
Comments due: December 19, 2011
|
SR-OPRA-2011-02 |
|
34-64819 |
Jul. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Adopt a New Hosted Solution Fee and Other Changes to the Fee Schedule
Comments due: August 2, 2011
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http://www.sec.gov/rules/sro/nms/nmsarchive/nms2011.shtml
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