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 |
|---|---|---|---|---|
| 34-88823 | May 6, 2020 | SR-CTA/CQ-2019-01 | National Market System Plans (NMS) | Order Approving the Thirtieth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Second Substantive Amendment to the Restated CQ Plan, as Modified by the Commission, Concerning Conflicts of Interest View Received Comments |
| 34-88704 | Apr 21, 2020 | 4-631 | National Market System Plans (NMS) | Order Approving the Twentieth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. View Received Comments |
| 34-88532 | Apr 1, 2020 | 4-443 | National Market System Plans (NMS) | Order Approving Amendment No. 5 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Adopt a Penny Interval Program |
| 34-88406 | Mar 17, 2020 | 4-631 | National Market System Plans (NMS) | Notice of Filing of the Twentieth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. View Received Comments |
| 34-88385 | Mar 13, 2020 | S7-24-89 | National Market System Plans (NMS) | Order Approving Forty-Fifth 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 |
| 34-88384 | Mar 13, 2020 | SR-CTA-2019-02 | National Market System Plans (NMS) | Order Approving the Thirty-First Substantive Amendment to the Second Restatement of the CTA Plan Regarding Publication of Trade Reports During Race Conditions |
| 34-88340 | Mar 6, 2020 | 4-757 | National Market System Plans (NMS) | Reopening of Comment Period for Notice of Proposed Order Directing the Exchanges and the Financial Industry Regulatory Authority To Submit a New National Market System Plan Regarding Consolidated Equity Market Data View Received Comments |
| 34-88122 | Feb 5, 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 the Long-Term Stock Exchange LLC as a Participant View Received Comments |
| 34-88017 | Jan 23, 2020 | S7-24-89 | National Market System Plans (NMS) | Notice of Filing of the Forty-Fifth 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 View Received Comments |
| 34-88016 | Jan 23, 2020 | SR-CTA-2019-02 | National Market System Plans (NMS) | Notice of Filing of the Thirty-First Substantive Amendment to the Second Restatement of the CTA Plan View Received Comments |