NMS Plans: 2019
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.
Chronological List
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Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ)
File No. S7-24-89: Nasdaq UTP Plan
File No. 4-698: National Market System Plan Governing the Consolidated Audit Trail
File No. 4-631: National Market System Plan to Address Extraordinary Market Volatility
File No. 4-546: Options Order Protection and Locked/Crossed Market Plan
File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS
Chronological List for 2019
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| 4-443 | ||
| 34-87681 | Dec. 9, 2019 | Notice of Filing of Amendment No. 5 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Adopt a Penny Interval Program Comments due: January 7, 2020 |
| 4-518 | ||
| 34-87598 | Nov. 22, 2019 | Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS to Add the Long Term Stock Exchange, Inc. as a Participant
Comments due: December 12, 2019 |
| 4-533 | ||
| 34-87597 | Nov. 22, 2019 | Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add Long-Term Stock Exchange, Inc. as a Party Thereto
Comments due: December 12, 2019 |
| SR-CTA/CQ-2019-03 | ||
| 34-87596 | Nov. 22, 2019 | Notice of Filing and Immediate Effectiveness of the Thirty-Second Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Third Substantive Amendment to the Restated CQ Plan
Comments due: December 12, 2019 |
| 4-698 | ||
| 34-87595 | Nov. 22, 2019 | Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail to Add Long-Term Stock Exchange LLC as a Participant
Comments due: December 12, 2019 |
| S7-24-89 | ||
| 34-87594 | Nov. 22, 2019 | Notice of Filing and Immediate Effectiveness of the Forty-Sixth Amendment 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
Comments due: December 12, 2019 |
| Third Quarter | ||
| 4-698 | ||
| 34-87149 | Sep. 27, 2019 | Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., BOX Options Exchange LLC, Cboe C2 Options Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC, Miami International Securities Exchange, LLC, MIAX EMERALD, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE American, LLC, NYSE Chicago, Inc. and NYSE National, Inc.
Comments due: October 24, 2019 |
| Second Quarter | ||
| 4-631 | ||
| 34-85623 | Apr. 11, 2019 | Order Approving the Eighteenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe 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, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. |
| First Quarter | ||
| 4-698 | ||
| 34-85230 | Mar. 1, 2019 | Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail to Add MIAX Emerald LLC, as a Participant
Comments due: March 28, 2019 |
| 4-546 | ||
| 34-85229 | Mar. 1, 2019 | Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add MIAX Emerald, LLC, as a Participant
Comments due: March 28, 2019 |
| 4-443 | ||
| 34-85228 | Mar. 1, 2019 | 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 MIAX Emerald, LLC as a Plan Sponsor
Comments due: March 28, 2019 |
NMS File Number List for 2019
|
Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ) |
||
| Release No. | Date | Details |
|---|---|---|
| SR-CTA/CQ-2019-04 | ||
| 34-87909 | Jan. 8, 2020 | Notice of Filing of the Thirty-Third Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Fourth Substantive Amendment to the Restated CQ Plan
Comments due: 21 days after publication in the Federal Register |
| SR-CTA/CQ-2019-03 | ||
| 34-87596 | Nov. 22, 2019 | Notice of Filing and Immediate Effectiveness of the Thirty-Second Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Third Substantive Amendment to the Restated CQ Plan
Comments due: December 12, 2019 |
| SR-CTA/CQ-2019-01 | ||
| 34-87907 | Jan. 8, 2020 | Notice of Filing of the Thirtieth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Second Substantive Amendment to the Restated CQ Plan
Comments due: 21 days after publication in the Federal Register |
|
File No. S7-24-89: Nasdaq UTP Plan |
||
| Release No. | Date | Details |
| 34-87594 | Nov. 22, 2019 | Notice of Filing and Immediate Effectiveness of the Forty-Sixth Amendment 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
Comments due: December 12, 2019 |
|
File No. 4-698: National Market System Plan Governing the Consolidated Audit Trail |
||
| Release No. | Date | Details |
| 4-698 | ||
| 34-87595 | Nov. 22, 2019 | Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail to Add Long-Term Stock Exchange LLC as a Participant
Comments due: December 12, 2019 |
| 34-87149 | Sep. 27, 2019 | Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., BOX Options Exchange LLC, Cboe C2 Options Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC, Miami International Securities Exchange, LLC, MIAX EMERALD, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE American, LLC, NYSE Chicago, Inc. and NYSE National, Inc.
Comments due: October 24, 2019 |
| 34-85230 | Mar. 1, 2019 | Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail to Add MIAX Emerald LLC, as a Participant
Comments due: March 28, 2019 |
|
File No. 4-631: Order Approving 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. | ||
| Release No. | Date | Details |
| 4-631 | ||
| 34-85623 | Apr. 11, 2019 | Order Approving the Eighteenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe 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, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. |
File No. 4-546: Options Order Protection and Locked/Crossed Market Plan | ||
| Release No. | Date | Details |
| 4-546 | ||
| 34-85229 | Mar. 1, 2019 | Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add MIAX Emerald, LLC, as a Participant
Comments due: March 28, 2019 |
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 | ||
| 4-533 | ||
| 34-87597 | Nov. 22, 2019 | Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add Long-Term Stock Exchange, Inc. as a Party Thereto
Comments due: December 12, 2019 |
File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS | ||
| Release No. | Date | Details |
| 4-518 | ||
| 34-87598 | Nov. 22, 2019 | Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS to Add the Long Term Stock Exchange, Inc. as a Participant
Comments due: December 12, 2019 |
File No. 4-443: Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options (OLPP) | ||
| Release No. | Date | Details |
|---|---|---|
| 4-443 | ||
| 34-87681 | Dec. 9, 2019 | Notice of Filing of Amendment No. 5 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Adopt a Penny Interval Program
Comments due: January 7, 2020 |
| 34-85228 | Mar. 1, 2019 | 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 MIAX Emerald, LLC as a Plan Sponsor
Comments due: March 28, 2019 |