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 |
|---|---|---|---|---|
| 34-90068 | Oct 1, 2020 | 4-631 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Address Extraordinary Market Volatility To Add MIAX PEARL LLC as a Participant View Received Comments |
| 34-90072 | Oct 1, 2020 | S7-24-89 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of the Forty-Ninth 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 |
| 34-90071 | Oct 1, 2020 | SR-CTA/CQ-2020-02 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of the Thirty-Fifth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Sixth Substantive Amendment to the Restated CQ Plan |
| 34-89418 | Jul 29, 2020 | 4-518 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS To Add the MEMX LLC as a Participant |
| 34-89419 | Jul 29, 2020 | 4-533 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add MEMX LLC as a Party Thereto |
| 34-89420 | Jul 29, 2020 | 4-631 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Address Extraordinary Market Volatility To Add MEMX LLC as a Participant View Received Comments |
| 34-89417 | Jul 29, 2020 | S7-24-89 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of the Forty-Eighth 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 |
| 34-89416 | Jul 29, 2020 | SR-CTA/CQ-2020-01 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of the Thirty-Fourth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Fifth Substantive Amendment to the Restated CQ Plan |
| 34-89397 | Jul 24, 2020 | 4-698 | National Market System Plans (NMS) | Order Approving Amendment to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments |
| 34-89306 | Jul 13, 2020 | 4-698 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan Governing the Consolidated Audit Trail To Add MEMX LLC as a Participant View Received Comments |