National Market System Plans (NMS) Rulemaking
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 |
|---|---|---|---|---|
| 34-98290 | Sep 6, 2023 | 4-698 | National Market System Plans (NMS) | Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments See Also - Fact Sheet, Press Release |
| 34-98303 | Sep 6, 2023 | 4-546 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add MEMX, LLC, as a Participant Comments Due: October 3, 2023 Submit a Comment on 4-546
|
| 34-98271 | Sep 1, 2023 | 4-757 | National Market System Plans (NMS) | Amended Order Directing the Exchanges and the Financial Industry Regulatory Authority, Inc., to File a National Market System Plan Regarding Consolidated Equity Market Data View Received Comments |
| 34-98165 | Aug 18, 2023 | 4-698 | National Market System Plans (NMS) | Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail Comments Due: September 14, 2023 View Received Comments |
| 34-98012 | Jul 27, 2023 | SR-OPRA-2023-01 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Proposed Amendment to Modify the OPRA Fee Schedule Regarding Caps on Certain Port Fees Comments Due: August 23, 2023 |
| 34-97750 | Jun 16, 2023 | SR– NYSEArca–2023–42, 4-698 | National Market System Plans (NMS) | 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: July 14, 2023 View Received Comments |
| 34-97212 | Mar 28, 2023 | 4-698 | National Market System Plans (NMS) | Notice of Withdrawal of Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail, as Modified by Partial Amendment Nos. 1 and 2 View Received Comments |
| 34-97193 | Mar 24, 2023 | 4-698 | National Market System Plans (NMS) | Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments |
| 34-97151 | Mar 15, 2023 | 4-698 | National Market System Plans (NMS) | 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 View Received Comments |
| 34-96725 | Jan 20, 2023 | 4-698 | National Market System Plans (NMS) | 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, as Modified by Partial Amendment No. 1 View Received Comments |