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 |
|---|---|---|---|---|
| 34-97212 | 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 |
| 34-96568 | Dec 22, 2022 | 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: January 19, 2023 Rebuttal comments due: 35 days after publication in the Federal Register View Received Comments |
| 34-96394 | Nov 28, 2022 | 4-698 | National Market System Plans (NMS) | 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 View Received Comments |
| 34-96382 | Nov 23, 2022 | 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 View Received Comments |
| 34-96102 | Oct 19, 2022 | 4-698 | National Market System Plans (NMS) | Notice of Withdrawal of Amendment to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments |
| 34-95874 | Sep 22, 2022 | 4-698 | National Market System Plans (NMS) | 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 View Received Comments |
| 34-95848 | Sep 21, 2022 | S7-24-89 | National Market System Plans (NMS) | 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 Comments Due: January 11, 2005 |