 |
File Number Lists
| |
Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ) |
| |
File No. S7-24-89: Nasdaq UTP Plan |
| |
File No. 4-698: Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, 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. |
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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 |
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File No. 4-657: Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Implement a Tick Size Pilot Program to Add National Stock Exchange, Inc. as a Participant |
| |
File No. 4-631: Joint Industry Plan; Notice of Filing of the Tenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., 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. |
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File No. 4-443: Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add EDGX Exchange, Inc. (“EDGX”) as a Plan Sponsor |
| |
File No. 4-546: Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the EDGX Exchange, Inc. as a Participant |
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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. 4-533: Proposed NMS Plan for the Selection and Reservation of Securities Symbols to Add BOX Options Exchange LLC as a Party Thereto |
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Options Price Reporting Authority (OPRA) |
Additional Archives
2023 |
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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 |
4-631 |
| 34-79410 |
Nov. 28, 2016 |
Notice of Filing of the Twelfth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ 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: December 23, 2016
Comments received are available for this proposal.
|
4-533 |
| 34-79422 |
Nov. 29, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add Investors Exchange, LLC as a Party Thereto
Comments due: December 27, 2016
|
4-698 |
| 34-79318 |
Nov. 15, 2016 |
Order Approving the National Market System Plan Governing the Consolidated Audit Trail
See also: Exhibit A; Exhibit B; Notice: Rel. No. 34-78441, Notice: Rel. No. 34-77724
|
SR-OPRA-2016-02 |
| 34-79153 |
Oct. 25, 2016 |
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 Non-Display Use Fees
Comments due: November 21, 2016
|
SR-OPRA-2016-01 |
| 34-79152 |
Oct. 25, 2016 |
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 the Professional Subscriber Device-Based Fees and Policies with Respect to Device-Based Fees
Comments due: November 21, 2016
|
| Third Quarter |
4-518 |
| 34-78704 |
Aug. 26, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS to Add the Investors Exchange LLC as a Participant
Comments due: September 22, 2016
|
4-631 |
| 34-78703 |
Aug. 26, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Address Extraordinary Market Volatility to Add the Investors Exchange LLC as a Participant
Comments due: September 22, 2016
|
4-657 |
| 34-78702 |
Aug. 26, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Implement a Tick Size Pilot Program to Add the Investors Exchange LLC as a Participant
Comments due: September 22, 2016
Comments received are available for this proposal.
|
SR-CTA/CQ-2016-01 |
| 34-78701 |
Aug. 26, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment No. 26 to the Second Restatement of the CTA Plan and Amendment No. 19 to the Restated CQ Plan to Add the Investors Exchange LLC as a Participant
Comments due: September 22, 2016
|
S7-24-89 |
| 34-78700 |
Aug. 26, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment No. 37 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 to Add the Investors Exchange LLC as a Participant
Comments due: September 22, 2016
|
4-668 |
| 34-78477 |
Aug. 4, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment No. 4 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange LLC, 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: August 31, 2016
Additional Materials: Exhibit B
|
4-698 |
| 34-78441 |
Jul. 29, 2016 |
Notice of Designation of Longer Period for Commission Action on the Proposed National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, the Investors’ Exchange, LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange LLC, 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. 34-77724
|
| Second Quarter |
4-668 |
| 34-77917 |
May 25, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment No. 3 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, 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: June 22, 2016
See also: Exhibit B
|
4-698 |
| 34-77724 |
Apr. 27, 2016 |
Joint Industry Plan; Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, 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: July 18, 2016
See also: Order: Rel. No. 34-78441
Comments received are available for this proposal.
|
4-631 |
| 34-77679 |
Apr. 21, 2016 |
Order Approving the Tenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Chicago Stock Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ BX, Inc., NASDAQ 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. 34-77205
|
SR-OPRA-2015-03 |
| 34-77586 |
Apr. 12, 2016 |
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 the Redistribution Fee Set Forth in OPRA's Fee Schedule
Comments due: May 9, 2016
|
SR-OPRA-2015-02 |
| 34-77585 |
Apr. 12, 2016 |
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 the Professional Subscriber Device-Based Fees Set Forth in OPRA's Fee Schedule
Comments due: May 9, 2016
|
SR-OPRA-2015-01 |
| 34-77584 |
Apr. 12, 2016 |
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 Certain Provisions of the OPRA's Fee Schedule
Comments due: May 9, 2016
Comments received are available for this proposal.
|
| First Quarter |
4-533 |
| 34-77395 |
Mar. 17, 2016 |
Order Approving Amendment No. 3 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by Financial Industry Regulatory Authority, Inc., BATS Exchange, Inc., BOX Options Exchange, LLC, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., International Securities Exchange, LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE MKT, LLC, and NYSE Arca, Inc. |
4-546 |
| 34-77324 |
Mar. 8, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add ISE Mercury LLC, as a Participant
Comments due: April 4, 2016
|
4-443 |
| 34-77323 |
Mar. 8, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add ISE Mercury, LLC as a Plan Sponsor
Comments due: April 4, 2016
|
4-657 |
| 34-77277 |
Mar. 3, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Implement a Tick Size Pilot Program to Add National Stock Exchange, Inc. as a Participant
Comments due: March 29, 2016
Comments received are available for this proposal.
|
4-631 |
| 34-77205 |
Feb. 22, 2016 |
Notice of Filing of the Tenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., 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: March 21, 2016
Comments received are available for this proposal.
|
4-533 |
| 34-77123 |
Feb. 11, 2016 |
Notice of Filing of Amendment No. 3 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by Financial Industry Regulatory Authority, Inc., BATS Exchange, Inc., BOX Options Exchange, LLC, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., International Securities Exchange, LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE MKT, LLC, and NYSE Arca, Inc.
Comments due: March 10, 2016
|
4-546 |
| 34-76823 |
Jan. 5, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the EDGX Exchange, Inc. as a Participant
Comments due: February 1, 2016
|
4-443 |
| 34-76822 |
Jan. 5, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add EDGX Exchange, Inc. ("EDGX") as a Plan Sponsor
Comments due: February 1, 2016
|
| Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ) |
| Release No. |
Date |
Details |
SR-CTA/CQ-2016-01 |
| 34-78701 |
Aug. 26, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment No. 26 to the Second Restatement of the CTA Plan and Amendment No. 19 to the Restated CQ Plan to Add the Investors Exchange LLC as a Participant
Comments due: September 22, 2016
|
| File No. S7-24-89: Nasdaq UTP Plan |
| Release No. |
Date |
Details |
S7-24-89 |
| 34-78700 |
Aug. 26, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment No. 37 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 to Add the Investors Exchange LLC as a Participant
Comments due: September 22, 2016
|
| File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS |
| Release No. |
Date |
Details |
4-518 |
| 34-78704 |
Aug. 26, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS to Add the Investors Exchange LLC as a Participant
Comments due: September 22, 2016
|
| File No. 4-698: Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, 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. |
| Release No. |
Date |
Details |
4-698 |
| 34-79318 |
Nov. 15, 2016 |
Order Approving the National Market System Plan Governing the Consolidated Audit Trail
See also: Exhibit A; Exhibit B
|
| 34-78441 |
Jul. 29, 2016 |
Notice of Designation of Longer Period for Commission Action on the Proposed National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, the Investors’ Exchange, LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange LLC, 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.
|
| 34-77724 |
Apr. 27, 2016 |
Joint Industry Plan; Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, 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: July 18, 2016
Comments received are available for this proposal.
|
| 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 |
| 34-78477 |
Aug. 4, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment No. 4 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange LLC, 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: August 31, 2016
Additional Materials: Exhibit B
|
| 34-77917 |
May 25, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment No. 3 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, 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: June 22, 2016
See also: Exhibit B
|
| File No. 4-657: Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Implement a Tick Size Pilot Program to Add National Stock Exchange, Inc. as a Participant |
| Release No. |
Date |
Details |
4-657 |
| 34-78702 |
Aug. 26, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Implement a Tick Size Pilot Program to Add the Investors Exchange LLC as a Participant
Comments due: September 22, 2016
Comments received are available for this proposal.
|
4-657 |
| 34-77277 |
Mar. 3, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Implement a Tick Size Pilot Program to Add National Stock Exchange, Inc. as a Participant
Comments due: March 29, 2016
Comments received are available for this proposal.
|
| File No.: 4-631: Joint Industry Plan; Notice of Filing of the Tenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., 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. |
| Release No. |
Date |
Details |
4-631 |
| 34-79410 |
Nov. 28, 2016 |
Notice of Filing of the Twelfth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ 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: December 23, 2016
Comments received are available for this proposal.
|
4-631 |
| 34-78703 |
Aug. 26, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Address Extraordinary Market Volatility to Add the Investors Exchange LLC as a Participant
Comments due: September 22, 2016
|
4-631 |
34-77679
|
Apr. 21, 2016 |
Order Approving the Tenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Chicago Stock Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc |
4-631 |
| 34-77205 |
Feb. 22, 2016 |
Notice of Filing of the Tenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., 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: March 21, 2016
Comments received are available for this proposal. |
| File No.: 4-546: Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the EDGX Exchange, Inc. as a Participant |
| Release No. |
Date |
Details |
4-546 |
| 34-77324 |
Mar. 8, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add ISE Mercury LLC, as a Participant
Comments due: April 4, 2016
|
| 34-76823 |
Jan. 5, 2016
|
Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the EDGX Exchange, Inc. as a Participant
Comments due: February 1, 2016
|
| File No.: 4-533: Proposed NMS Plan for the Selection and Reservation of Securities Symbols to Add BOX Options Exchange LLC as a Party Thereto |
| Release No. |
Date |
Details |
4-533 |
| 34-79422 |
Nov. 29, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add Investors Exchange, LLC as a Party Thereto
Comments due: December 27, 2016
|
4-533 |
| 34-77395 |
Mar. 17, 2016 |
Order Approving Amendment No. 3 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by Financial Industry Regulatory Authority, Inc., BATS Exchange, Inc., BOX Options Exchange, LLC, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., International Securities Exchange, LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE MKT, LLC, and NYSE Arca, Inc. |
4-533 |
| 34-77123 |
Feb. 11, 2016 |
Notice of Filing of Amendment No. 3 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by Financial Industry Regulatory Authority, Inc., BATS Exchange, Inc., BOX Options Exchange, LLC, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., International Securities Exchange, LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE MKT, LLC, and NYSE Arca, Inc.
Comments due: March 10, 2016
|
| File No.: 4-443: Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add EDGX Exchange, Inc. ("EDGX") as a Plan Sponsor |
| Release No. |
Date |
Details |
4-443 |
| 34-77323 |
Mar. 8, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add ISE Mercury, LLC as a Plan Sponsor
Comments due: April 4, 2016
|
| 34-76822 |
Jan. 5, 2016 |
Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add EDGX Exchange, Inc. ("EDGX") as a Plan Sponsor
|
| Options Price Reporting Authority (OPRA) |
| Release No. |
Date |
Details |
SR-OPRA-2016-02 |
| 34-79153 |
Oct. 25, 2016 |
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 Non-Display Use Fees
Comments due: November 21, 2016
|
SR-OPRA-2016-01 |
| 34-79152 |
Oct. 25, 2016 |
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 the Professional Subscriber Device-Based Fees and Policies with Respect to Device-Based Fees
Comments due: November 21, 2016
|
http://www.sec.gov/rules/sro/nms.shtml
|
