National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-72215 | May 21, 2014 | SR-NSX-2014-13 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.1 to Shorten the Operating Hours for the Post-Regular Trading Hours Trading Session See Also - Exhibit 5 |
| 34-72107 | May 6, 2014 | SR-NSX-2014-14 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Cease Trading on Its Trading System See Also - Exhibit 5 |
| 34-72106 | May 6, 2014 | SR-NSX-2014-12 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule To Change Certain Fees Applicable to Liquidity Providers, Eliminate a Rebate and Adopt a Fee for Removing Liquidity, and Reducing a Fee for Routed Orders, All With Respect to Securities Priced at $1.00 or Greater See Also - Exhibit 5 |
| 34-72046 | Apr 30, 2014 | SR-NSX-2014-08 | National Stock Exchange (NSX) | Notice of Filing of Proposed Rule Change to Amend Exchange Rule 11.19 Entitled "Clearly Erroneous Executions" To Add Provisions Regarding Executions Based on Incorrect or Grossly Misinterpreted Issuance Information and Executions Occurring After a Trading Halt Has Been Declared See Also - Exhibit 5, Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions |
| 34-72044 | Apr 30, 2014 | SR-BATS-2014-014 | BATS Exchange (BATS), EDGA Exchange (EDGA), Financial Industry Regulatory Authority (FINRA), Nasdaq ISE, LLC (ISE), The Nasdaq Stock Market LLC (NASDAQ), Nasdaq BX, Inc. (BX), New York Stock Exchange LLC (NYSE), NYSE Arca (NYSEARCA), NYSE MKT (NYSEMKT), Nasdaq PHLX LLC (Phlx), Chicago Stock Exchange, Inc. (CHX), National Stock Exchange (NSX), EDGA Exchange (EDGA), BATS Y-Exchange (BYX), EDGX Exchange (EDGX) | Notice of Filing of a Proposed Rule Change to Amend Rule 11.17, entitled "Clearly Erroneous Executions" See Also - Exhibit 5 |
| 34-71983 | Apr 21, 2014 | SR-NSX-2014-11 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule With Respect to Securities Priced at $1.00 or Greater See Also - Exhibit 5 |
| 34-71797 | Mar 25, 2014 | SR-NSX-2014-07 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Related to Rule 11.19, Titled "Clearly Erroneous Executions" See Also - Exhibit 5 |
| 34-71662 | Mar 7, 2014 | SR-NSX-2014-06 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule To Reduce a Fee for Orders Routed to Other Trading Centers See Also - Exhibit 5 |
| 34-71641 | Mar 4, 2014 | SR-NSX-2014-05 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule To Adopt a New Pricing Model and Make Other Conforming Changes See Also - Exhibit 5 |
| 34-71332 | Jan 16, 2014 | SR-NSX-2014-01 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee and Rebate Schedule With Respect to the Order Delivery Mode of Interaction With the Exchange See Also - Exhibit 5 |