National Securities Exchanges
We encourage the public to submit comments on the following filings 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.
| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-61850 | Apr 6, 2010 | SR-NSX-2010-03 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Order To Amend the NSX Fee and Rebate Schedule and Rule 16.4 See Also - Exhibit 5 |
| 34-61781 | Mar 25, 2010 | SR-NSX-2010-02 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules on Self Trade Prevention Order Modifiers See Also - Exhibit 5 |
| 34-61474 | Feb 2, 2010 | SR-NSX-2010-01 | National Stock Exchange (NSX) | Notice of Filing and ImmediateEffectiveness of Proposed Rule Change to amend the NSX Fee and Rebate Schedule to increasethe rebate for liquidity adding displayed orders of securities priced under one dollar in the AutoExecution mode of order interaction to 0.25% of trade value |
| 34-61221 | Dec 22, 2009 | SR-NSX-2009-08 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NSX Rule 11 Governing Round Lots, Odd Lots and Mixed Lots. See Also - Exhibit 5 |
| 34-61103 | Dec 3, 2009 | SR-NSX-2009-07 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule To Increase Transaction Rebates to $.0024 per Share and Implement a 50% Market Data Rebate for Displayed Order Delivery Orders of Certain ETP Holders, and To Adopt a New Rule 16.4 That Would Use "Liquidity Adding ADV" To Determine the Volume Eligibility for all Rebate Tiers in Order Delivery See Also - Exhibit 5 |
| 34-60979 | Nov 10, 2009 | SR-NSX-2009-06 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee and Rebate Schedule to Exclude, for Purposes of Calculating the Automatic Execution Mode of Order Interaction ("AutoEx") Liquidity Adding Displayed Order Rebate, An ETP Holder's Lowest Full Trading Day's Liquidity Adding Volume From The Determination of The ETP Holder's "Liquidity Adding Average Daily Volume" |
| 34-60762 | Oct 1, 2009 | SR-NSX-2009-05 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NSX Rule 11.19 Governing Clearly Erroneous Executions |
| 34-60068 | Jun 8, 2009 | SR-NSX-2009-04 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule To (i) Increase From 50,000 to 5 Million the Liquidity Adding Average Daily Volume Thresholds in the Automatic Execution Mode of Order Interaction ("AutoEx"); (ii) Include Securities Less Than One Dollar in the Calculation of Liquidity Adding and Total Average Volume Thresholds in AutoEx; and (iii) Eliminate the Two Lower Tiers With Respect to the AutoEx Liquidity Adding Zero Display Order Rebate |
| 34-59974 | May 26, 2009 | SR-NSX-2009-03 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule Issued Pursuant to Exchange Rule 16.1(c) in Order to Include Securities Priced at Less Than One Dollar in the Calculation of Volume Thresholds Used To Determine Rebates Payable for Displayed Order Liquidity Adding Tape A and C Securities Executed at One Dollar or Above |
| 34-59723 | Apr 7, 2009 | SR-NSX-2009-02 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule Relating to Liquidity Adding Rebates |