National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-78931 | Sep 26, 2016 | SR-NSX-2016-11 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule To Create a Liquidity-Adding Volume Threshold To Benefit From the Current Liquidity Taking Fee in Securities Priced $1.00 or Greater See Also - Exhibit 5 |
| 34-78761 | Sep 2, 2016 | SR-NSX-2016-04 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.18 To Address the Exchange's Liability for System Failures; Amend Rule 2.11 To Provide for an Error Account Maintained by the Exchange's Routing Broker; Adopt Rule 11.11(e) To Allow Cancellation of Orders When a System Failure Occurs; Amend Rule 1.5 To Reposition the Definition of a Trading Center; and Make Other Non-Substantive and Conforming Changes See Also - Exhibit 5 |
| 34-78676 | Aug 25, 2016 | SR-NSX-2016-07 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Regarding Qualification, Registration and Continuing Education for Persons Associated With Equity Trading Permit Holders, To Add Definitions, Amend Definitions, and To Make Technical, Non-Substantive and Conforming Amendments to Rules See Also - Exhibit 5 |
| 34-78403 | Jul 25, 2016 | SR-NSX-2016-06 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to NSX Rule 11.25(a), Stating it Will Utilize IEX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes See Also - Exhibit 5, Exemptive Letter |
| 34-78391 | Jul 21, 2016 | SR-NSX-2016-05 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.26 To Implement the Quoting and Trading Provisions of the Regulation NMS Plan To Implement a Tick Size Pilot Program See Also - Exhibit 5 |
| 34-78048 | Jun 13, 2016 | SR-NSX-2016-03 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule To Adopt a Market Data Revenue Sharing Program See Also - Exhibit 5 |
| 34-77483 | Mar 31, 2016 | SR-NSX-2016-01 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 11.26 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program See Also - Exhibit 5, Exemptive Letter |
| 34-76736 | Dec 22, 2015 | SR-NSX-2015-07 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee and Rebate Schedule Pursuant to Exchange Rule 16.1 See Also - Exhibit 5 |
| 34-76640 | Dec 14, 2015 | SR-NSX-2015-05 | National Stock Exchange (NSX) | Order Approving a Proposed Rule Change To Modify and Eliminate Certain Rules and To Enable Trading Activity To Resume on the Exchange See Also - Notice: Rel. No. 34-76390 |
| 34-76497 | Nov 20, 2015 | SR-NSX-2015-06 | National Stock Exchange (NSX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 2.13, Mandatory Participation in Testing of Backup Systems See Also - Exhibit 5 |