NMS Plans - Archive 2022
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National Market System (NMS) Plans File Number List for 2022
File No. 4-533: National Market System Plan for the Selection and Reservation of Securities Symbols
File No. 4-698: National Market System Plan Governing the Consolidated Audit Trail
File No. 4-757: New National Market System Plan Regarding Consolidated Equity Market Data
File No. S7-24-89: Nasdaq UTP Plan
Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ)
Chronological List for 2022
(Search any column)
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| 4-698 | ||
| 34-96568 | Dec. 22, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: January 19, 2023 Rebuttal comments due: 35 days after publication in the Federal Register |
| 4-698 | ||
| 34-96394 | Nov. 28, 2022 | Notice of Filing of Partial Amendment No. 1 to an Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: December 23, 2022 |
| 4-698 | ||
| 34-96382 | Nov. 23, 2022 | Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail |
| 4-698 | ||
| 34-96102 | Oct. 19, 2022 | Notice of Withdrawal of Amendment to the National Market System Plan Governing the Consolidated Audit Trail |
| Third Quarter | ||
| 4-698 | ||
| 34-95874 | Sep. 22, 2022 | Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, 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; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
Comments due: 21 days after publication in the Federal Register |
| SR-CTA/CQ-2021-03 | ||
| 34-95851 | Sep. 21, 2022 | Order Disapproving the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan |
| SR-CTA/CQ-2021-02 | ||
| 34-95850 | Sep. 21, 2022 | Order Disapproving the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-Eighth Substantive Amendment to the Restated CQ Plan |
| S7-24-89 | ||
| 34-95849 | Sep. 21, 2022 | Order Disapproving the Fifty-Second 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 |
| S7-24-89 | ||
| 34-95848 | Sep. 21, 2022 | Order Disapproving the Fifty-First 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 |
| 4-698 | ||
| 34-95634 | Aug. 30, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| S7-24-89 | ||
| 34-95348 | Jul. 21, 2022 | Notice of Designation of a Longer Period for Commission Action on the Fifty-Second 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 |
| S7-24-89 | ||
| 34-95347 | Jul. 21, 2022 | Notice of Designation of a Longer Period for Commission Action on the Fifty-First 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 |
| SR-CTA/CQ-2021-03 | ||
| 34-95346 | Jul. 21, 2022 | Notice of Designation of a Longer Period for Commission Action on the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan |
| SR-CTA/CQ-2021-02 | ||
| 34-95345 | Jul. 21, 2022 | Notice of Designation of a Longer Period for Commission Action on the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-Eighth Substantive Amendment to the Restated CQ Plan |
| Second Quarter | ||
| 4-698 | ||
| 34-95031 | Jun. 3, 2022 | Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, 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; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| 4-533 | ||
| 34-95040 | Jun. 3, 2022 | Order Approving Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by The Nasdaq Stock Market LLC, BOX Exchange LLC, Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., CBOE EDGX Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., MEMX LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc. |
| 4-698 | ||
| 34-94984 | May 25, 2022 | Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| S7-24-89 | ||
| 34-94954 | May 19, 2022 | Notice of Designation of a Longer Period for Commission Action on the Fifty-First 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 |
| S7-24-89 | ||
| 34-94953 | May 19, 2022 | Notice of Designation of a Longer Period for Commission Action on the Fifty-Second 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 |
| SR-CTA/CQ-2021-03 | ||
| 34-94952 | May 19, 2022 | Notice of Designation of a Longer Period for Commission Action on the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan |
| SR-CTA/CQ-2021-02 | ||
| 34-94951 | May 19, 2022 | Notice of Designation of a Longer Period for Commission Action on the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Eighth Substantive Amendment to the Restated CQ Plan |
| First Quarter | ||
| 4-533 | ||
| 34-94351 | Mar. 2, 2022 | Notice of Filing of Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols
See also: Appendix A - Symbology Plan Comments due: March 29, 2022 Comments received are available for this proposal. |
| SR-CTA/CQ-2021-02 | ||
| 34-94310 | Feb. 24, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Eighth Substantive Amendment to the Restated CQ Plan
Comments due: March 23, 2022 Rebuttal comments due: April 6, 2022 Comments received are available for this proposal. |
| SR-CTA/CQ-2021-03 | ||
| 34-94309 | Feb. 24, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan
Comments due: March 23, 2022 Rebuttal comments due: April 6, 2022 |
| S7-24-89 | ||
| 34-94308 | Feb. 24, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Fifty-First 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: March 23, 2022 Rebuttal comments due: April 6, 2022 Comments received are available for this proposal. |
| S7-24-89 | ||
| 34-94307 | Feb. 24, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Fifty-Second 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: March 23, 2022 Rebuttal comments due: April 6, 2022 Comments received are available for this proposal. |
File Number List for 2022
| Release No. | Date | Details |
|---|---|---|
| 4-698 | ||
| 34-96568 | Dec. 22, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: January 19, 2023 Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-96394 | Nov. 28, 2022 | Notice of Filing of Partial Amendment No. 1 to an Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: December 23, 2022 |
| 34-96382 | Nov. 23, 2022 | Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail |
| 34-96102 | Oct. 19, 2022 | Notice of Withdrawal of Amendment to the National Market System Plan Governing the Consolidated Audit Trail |
| 34-95874 | Sep. 22, 2022 | Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, 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; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
Comments due: 21 days after publication in the Federal Register |
| 34-95634 | Aug. 30, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-95031 | Jun. 3, 2022 | Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, 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; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| 34-94984 | May 25, 2022 | Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| 4-533 | ||
| 34-95040 | Jun. 3, 2022 | Order Approving Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by The Nasdaq Stock Market LLC, BOX Exchange LLC, Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., CBOE EDGX Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., MEMX LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc. |
| 34-94351 | Mar. 2, 2022 | Notice of Filing of Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols
See also: Appendix A - Symbology Plan Comments due: March 29, 2022 Comments received are available for this proposal. |
| S7-24-89 | ||
| 34-95849 | Sep. 21, 2022 | Order Disapproving the Fifty-Second 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 |
| 34-95348 | Jul. 21, 2022 | Notice of Designation of a Longer Period for Commission Action on the Fifty-Second 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 |
| 34-95347 | Jul. 21, 2022 | Notice of Designation of a Longer Period for Commission Action on the Fifty-First 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 |
| 34-94954 | May 19, 2022 | Notice of Designation of a Longer Period for Commission Action on the Fifty-First 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 |
| 34-94953 | May 19, 2022 | Notice of Designation of a Longer Period for Commission Action on the Fifty-Second 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 |
| 34-94308 | Feb. 24, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Fifty-First 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: March 23, 2022 Rebuttal comments due: April 6, 2022 Comments received are available for this proposal. |
| 34-94307 | Feb. 24, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Fifty-Second 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: March 23, 2022 Rebuttal comments due: April 6, 2022 Comments received are available for this proposal. |