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 |
|---|---|---|---|---|
| 34-93615 | Nov 19, 2021 | SR-CTA/CQ-2021-02 | National Market System Plans (NMS) | Notice of Filing of the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Eighth Substantive Amendment to the Restated CQ Plan Comments Due: December 20, 2021 View Received Comments Submit a Comment on SR-CTA/CQ-2021-02 |
| 34-93484 | Oct 29, 2021 | 4-698 | National Market System Plans (NMS) | Order Disapproving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments |
| 34-93227 | Oct 1, 2021 | 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 |
| 34-92854 | Sep 2, 2021 | 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 Comments Due: November 2, 2021 View Received Comments |
| 34-92586 | Aug 6, 2021 | 4-757 | National Market System Plans (NMS) | Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data View Received Comments See Also - Motion for Stay |
| 34-92451 | Jul 20, 2021 | 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: August 16, 2021 Rebuttal comments due: August 30, 2021 View Received Comments |
| 34-92266 | Jun 25, 2021 | 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 |
| 34-92130 | Jun 9, 2021 | 4-757 | National Market System Plans (NMS) | Notice of Designation of a Longer Period for Commission Action on a Proposed National Market System Plan Regarding Consolidated Equity Market Data View Received Comments |
| 34-92071 | May 28, 2021 | S7-24-89 | National Market System Plans (NMS) | Order Approving the Fiftieth 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, as Modified by Amendment Nos. 1 and 2 Comments Due: January 11, 2005 |
| 34-92070 | May 28, 2021 | SR-CTA/CQ-2021-01 | National Market System Plans (NMS) | Order Approving the Thirty-Sixth Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-Seventh Substantive Amendment to the Restated CQ Plan Comments Due: March 22, 2021 View Received Comments |