National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-76390 | Nov 9, 2015 | SR-NSX-2015-05 | National Stock Exchange (NSX) | Notice of Filing of Proposed Rule Change Amending Rule 11.1, Hours of Trading, To Rescind Interpretations and Policies .01, "Cessation of Trading Operations on NSX;" Adopting Rule 11.25 Relating to Use of Market Data Feeds; Amending NSX Rule 11.13 Relating to the Order Delivery Mode of Order Interaction; Amending NSX Rule 11.11 To Remove Certain Order Types and Correct Technical Deficiencies in the Numbering of Certain Sections of the Rule; and Amending Rule 11.12, Cross Message and Making Conforming Amendments to NSX Rules 11.11(c) and 16.2 See Also - Rel. No. 34-76640, Exhibit 5 |
| 34-75554 | Jul 30, 2015 | SR-NSX-2015-04 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.21, Short Sales, To Describe the Exchange's Implementation of Rule 201 of Regulation SHO Under the Securities Exchange Act of 1934 and Relocate Certain Text From Rule 11.11, Orders and Modifiers; and Amending Rule 13.2 To Incorporate by Reference Rules 200, 203 and 204 of Regulation SHO View Received Comments |
| 34-75355 | Jul 2, 2015 | SR-NSX-2015-03 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4.3, Record of Written Complaints See Also - Exhibit 5 |
| 34-75098 | Jun 3, 2015 | SR-NSX-2015-02 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide an Expedited Process for Former Equity Trading Permit Holders To Apply for Reinstatement and Register Associated Persons See Also - Exhibit 5A, Exhibit 5B |
| 34-74597 | Mar 27, 2015 | SR-NSX-2015-01 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the Amended and Restated Certificate of Incorporation of National Stock Exchange Holdings, Inc., the Exchange's Parent Corporation, and the Amended and Restated Certificate of Incorporation of the Exchange See Also - Exhibit 5A, and Exhibit 5B |
| 34-74270 | Feb 13, 2015 | SR-NSX-2014-017 | National Stock Exchange (NSX) | Order Granting Approval of Proposed Rule Change in Connection With a Proposed Transaction in Which National Stock Exchange Holdings, Inc. Will Acquire Ownership of the Exchange From the CBOE Stock Exchange, LLC See Also - Rel. No. 34-73944 |
| 34-73944 | Dec 24, 2014 | SR-NSX-2014-017 | National Stock Exchange (NSX) | Notice of Filing of Proposed Rule Change in Connection With a Proposed Transaction in Which National Stock Exchange Holdings, Inc. Will Acquire Ownership of the Exchange From the CBOE Stock Exchange, LLC See Also - Exhibit 5A, Exhibit 5B, Exhibit 5C, and Exhibit 5D, Rel. No. 34-74270 |
| 34-72914 | Aug 26, 2014 | SR-NSX-2014-16 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 15.5 To Provide Additional Clarity and Precision, Correct Certain Citations, and Align the Rule With the Rules of Other Exchanges With Respect to the Original and Continued Listing Standards for Issuers' Compensation Committees See Also - Exhibit 5 |
| 34-72434 | Jun 19, 2014 | SR-Phlx-2014-27, SR-NYSEMKT-2014-37, SR-NYSE-2014-22, SR-NSX-2014-08, SR-NASDAQ-2014-044, SR-ISE-2014-25, SR-EDGX-2014-12, SR-EDGA-2014-11, SR-CHX-2014-06, SR-BYX-2014-007, SR-BX-2014-021, SR-BATS-2014-014 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX, NYSE MKT (NYSEMKT), NYSE Arca (NYSEARCA), New York Stock Exchange LLC (NYSE), National Stock Exchange (NSX), The Nasdaq Stock Market LLC (NASDAQ), Nasdaq ISE, LLC (ISE), EDGX Exchange (EDGX), EDGA Exchange (EDGA), Chicago Stock Exchange, Inc. (CHX), BATS Y-Exchange (BYX), Nasdaq BX, Inc. (BX), BATS Exchange (BATS) | Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions See Also - Rel. No. 34-72057, Rel. No. 34-72044, Rel. No. 34-72045, Rel. No. 34-72046, Notice of Filing of a Proposed Rule Change to Amend Rule 11.13, entitled "Clearly Erroneous Executions", Rel. No. 34-72048, Rel. No. 34-72049, Rel. No. 34-72050, Rel. No. 34-72051, Rel. No. 34-72052, Rel. No. 34-72053, Rel. No. 34-72054, Rel. No. 34-72055, Rel. No. 34-72056 |
| 34-72227 | May 22, 2014 | SR-NSX-2014-15 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Requirements Pertaining to Sponsored Access Under Rules 11.9 and 11.17 See Also - Exhibit 5 |