|
File Number Lists
|
Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ) |
|
File No. S7-24-89: Nasdaq UTP Plan |
|
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. |
|
File No. 4-657: Notice of Filing of Proposed National Market System Plan to Implement a Tick Size Pilot Program On a One-Year Pilot Basis |
|
File No. 4-668: National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail |
|
Options Price Reporting Authority (OPRA) |
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 |
SR-CTA-2014-04 |
34-73971 |
Dec. 31, 2014 |
Notice of Filing of the Nineteenth Substantive Amendment to the Second Restatement of the CTA Plan
Comments due: January 28, 2015
See also: Order: Rel. No. 34-74264
|
S7-24-89 |
34-73970 |
Dec. 31, 2014 |
Notice of Filing of Amendment No. 34 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 MKT LLC, and NYSE Arca, Inc.
Comments due: January 28, 2015
See also: Order: Rel. No. 34-74265
|
SR-OPRA-2014-03 |
34-73712 |
Dec. 1, 2014 |
Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA's Definition of the term "Nonprofessional"
See also: Notice: Rel. No. 34-72824
|
SR-OPRA-2013-03 |
34-73711 |
Dec. 1, 2014 |
Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Sections 5.4 and 7.1 of the OPRA Plan
See also: Notice: Rel. No. 34-72820
|
4-657 |
34-73511 |
Nov. 3, 2014 |
Notice of Filing of Proposed National Market System Plan to Implement a Tick Size Pilot Program On a One-Year Pilot Basis
Comments due: December 22, 2014
See also: Order: Release No. 34-76382, Order: Release No. 34-74892, Notice: Release No. 34-74388
Comments received are available for this proposal.
|
SR-CTA/CQ-2014-02 |
34-73457 |
Oct. 29, 2014 |
Order Approving the Twentieth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Fourteenth Substantive Amendment to the Restated Consolidated Quotation Plan
See also: Notice: Rel. No. 34-73285
|
S7-24-89 |
34-73448 |
Oct. 28, 2014 |
Order Approving Amendment No. 32 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 Arca, Inc., and NYSE MKT, LLC
See also: Notice: Rel. No. 34-73279, Notice: Rel. No. 34-73239
|
SR-CTA/CQ-2014-03 |
34-73278 |
Oct. 1, 2014 |
Notice of Filing and Immediate Effectiveness of the Twenty-First Charges Amendment to the Second Restatement of the CTA Plan and Twelfth Charges Amendment to the Restated CQ Plan
Comments due: October 28, 2014
Comments received are available for this proposal.
|
SR-CTA/CQ-2014-02 |
34-73285 |
Oct. 1, 2014 |
Notice of Filing and Immediate Effectiveness of the Twentieth Substantive Amendment to the Second Restatement of the CTA Plan and Fourteenth Substantive Amendment to the Restated CQ Plan
Comments due: October 28, 2014
Comments received are available for this proposal.
See also: Order: Rel. No. 34-73457
|
S7-24-89 |
34-73279 |
Oct. 1, 2014 |
Notice of Filing and Immediate Effectiveness of Amendment No. 33 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 MKT LLC, and NYSE Arca, Inc.
Comments due: October 28, 2014
Comments received are available for this proposal.
See also: Order: Rel. No. 34-73448, Notice: Rel. No. 34-73239
|
Third Quarter |
S7-24-89 |
34-73239 |
Sep. 26, 2014 |
Notice of Filing of Amendment No. 32 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 Arca, Inc. and NYSE MKT, LLC.
Comments due: October 27, 2014
See also: Order: Rel. No. 34-73448, Notice: Rel. No. 34-73279
|
SR-CTA-2014-01 |
34-73214 |
Sep. 25, 2014 |
Notice of Filing and Immediate Effectiveness of the Quote Meter Audit Late Fee Twentieth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments due: October 22, 2014
|
SR-OPRA-2014-06 |
34-72826 |
Aug. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA's Fee Schedule
Comments due: September 8, 2014
|
SR-OPRA-2014-04 |
34-72825 |
Aug. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA's Fee Schedule to Establish Fees for After-Hours Operations
Comments due: September 8, 2014
|
SR-OPRA-2014-03 |
34-72824 |
Aug. 12, 2014 |
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA's Definition of the Term "Nonprofessional"
Comments due: September 8, 2014
See also: Notice: Rel. No. 34-72820
|
SR-OPRA-2013-03 |
34-72820 |
Aug. 12, 2014 |
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Sections 5.4 and 7.1 of the OPRA Plan
Comments due: September 8, 2014
See also: Notice: Rel. No. 34-72824
|
Second Quarter |
4-631 |
34-71851 |
Apr. 3, 2014 |
Order Approving the Seventh Amendment to 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 MKT LLC, and NYSE Arca, Inc.
See also: Notice: Rel. No. 34-71649, Notice: Rel. No. 34-71247
|
First Quarter |
4-631 |
34-71649 |
Mar. 5, 2014 |
Notice of Filing of the Seventh Amendment to 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 MKT LLC, and NYSE Arca, Inc.
Comments due: April 1, 2014
Comments received
are available
for this proposal.
|
4-668 |
34-71596 |
Feb. 21, 2014 |
Order Approving Proposed National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail
See also:
Notice: Rel. No. 34-70892
and
Comments
|
4-631 |
34-71247 |
Jan. 7, 2014 |
Notice of Filing and Immediate Effectiveness of the Sixth Amendment to 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 MKT LLC, and NYSE Arca, Inc.
Comments due: February 3, 2014
|
Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ) |
Release No. |
Date |
Details |
SR-CTA-2014-04 |
34-73971 |
Dec. 31, 2014 |
Notice of Filing of the Nineteenth Substantive Amendment to the Second Restatement of the CTA Plan
Comments due: January 28, 2015
See also: Order: Rel. No. 34-74264
|
SR-CTA/CQ-2014-03 |
34-73278 |
Oct. 1, 2014 |
Notice of Filing and Immediate Effectiveness of the Twenty-First Charges Amendment to the Second Restatement of the CTA Plan and Twelfth Charges Amendment to the Restated CQ Plan
Comments due: October 28, 2014
Comments received are available for this proposal.
|
SR-CTA/CQ-2014-02 |
34-73457 |
Oct. 29, 2014 |
Order Approving the Twentieth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Fourteenth Substantive Amendment to the Restated Consolidated Quotation Plan
See also: Notice: Rel. No. 34-73285
|
34-73285 |
Oct. 1, 2014 |
Notice of Filing and Immediate Effectiveness of the Twentieth Substantive Amendment to the Second Restatement of the CTA Plan and Fourteenth Substantive Amendment to the Restated CQ Plan
Comments due: October 28, 2014
Comments received are available for this proposal.
|
SR-CTA-2014-01 |
34-73214 |
Sep. 25, 2014 |
Notice of Filing and Immediate Effectiveness of the Quote Meter Audit Late Fee Twentieth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments due: October 22, 2014
|
File No. S7-24-89: Nasdaq UTP Plan |
Release No. |
Date |
Details |
S7-24-89 |
34-73970 |
Dec. 31, 2014 |
Notice of Filing of Amendment No. 34 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 MKT LLC, and NYSE Arca, Inc.
Comments due: January 28, 2015
See also: Order: Rel. No. 34-74265
|
S7-24-89 |
34-73448 |
Oct. 28, 2014 |
Order Approving Amendment No. 32 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 Arca, Inc., and NYSE MKT, LLC
See also: Notice: Rel. No. 34-73279, Notice: Rel. No. 34-73239
|
S7-24-89 |
34-73279 |
Oct. 1, 2014 |
Notice of Filing and Immediate Effectiveness of Amendment No. 33 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 MKT LLC, and NYSE Arca, Inc.
Comments due: October 28, 2014
Comments received are available for this proposal.
|
S7-24-89 |
34-73239 |
Sep. 26, 2014 |
Notice of Filing of Amendment No. 32 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 Arca, Inc. and NYSE MKT, LLC.
Comments due: October 27, 2014
|
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 |
34-71851 |
Apr. 3, 2014 |
Order Approving the Seventh Amendment to 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 MKT LLC, and NYSE Arca, Inc.
See also: Notice: Rel. No. 34-71649, Notice: Rel. No. 34-71247
|
34-71649 |
Mar. 5, 2014 |
Notice of Filing of the Seventh Amendment to 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 MKT LLC, and NYSE Arca, Inc.
Comments due: April 1, 2014
Comments received
are available
for this proposal.
|
34-71247 |
Jan. 7, 2014 |
Notice of Filing and Immediate Effectiveness of the Sixth Amendment to 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 MKT LLC, and NYSE Arca, Inc.
Comments due: February 3, 2014
|
File No. 4-657: Notice of Filing of Proposed National Market System Plan to Implement a Tick Size Pilot Program On a One-Year Pilot Basis |
File No. 4-668: National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail |
Release No. |
Date |
Details |
4-668 |
34-71596 |
Feb. 21, 2014 |
Order Approving Proposed National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail
See also:
Notice: Rel. No. 34-70892
|
Options Price Reporting Authority (OPRA) |
Release No. |
Date |
Details |
SR-OPRA-2014-06 |
34-72826 |
Aug. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA's Fee Schedule
Comments due: September 8, 2014
|
SR-OPRA-2014-04 |
34-72825 |
Aug. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA's Fee Schedule to Establish Fees for After-Hours Operations
Comments due: September 8, 2014
|
SR-OPRA-2014-03 |
34-73712 |
Dec. 1, 2014 |
Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA's Definition of the term "Nonprofessional"
|
34-72824 |
Aug. 12, 2014 |
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA's Definition of the Term "Nonprofessional"
Comments due: September 8, 2014
|
http://www.sec.gov/rules/sro/nms/nmsarchive/nms2014.shtml
|