National Securities Exchanges
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.
National Securities Exchanges Table
|
Release Number
|
File Number
|
SRO Organization
|
Details
|
|
|---|---|---|---|---|
| Release Number:34-78931 | SEC Issue Date:Sep 26, 2016 | File Number:SR-NSX-2016-11 | SRO Organization:National Stock Exchange (NSX) |
Details: 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 |
| Release Number:34-78761 | SEC Issue Date:Sep 2, 2016 | File Number:SR-NSX-2016-04 | SRO Organization:National Stock Exchange (NSX) |
Details: 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 |
| Release Number:34-78676 | SEC Issue Date:Aug 25, 2016 | File Number:SR-NSX-2016-07 | SRO Organization:National Stock Exchange (NSX) |
Details: 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 |
| Release Number:34-78403 | SEC Issue Date:Jul 25, 2016 | File Number:SR-NSX-2016-06 | SRO Organization:National Stock Exchange (NSX) |
Details: 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 |
| Release Number:34-78391 | SEC Issue Date:Jul 21, 2016 | File Number:SR-NSX-2016-05 | SRO Organization:National Stock Exchange (NSX) |
Details: 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 |
| Release Number:34-78048 | SEC Issue Date:Jun 13, 2016 | File Number:SR-NSX-2016-03 | SRO Organization:National Stock Exchange (NSX) |
Details: 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 |
| Release Number:34-77483 | SEC Issue Date:Mar 31, 2016 | File Number:SR-NSX-2016-01 | SRO Organization:National Stock Exchange (NSX) |
Details: 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 |
| Release Number:34-76736 | SEC Issue Date:Dec 22, 2015 | File Number:SR-NSX-2015-07 | SRO Organization:National Stock Exchange (NSX) |
Details: 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 |
| Release Number:34-76640 | SEC Issue Date:Dec 14, 2015 | File Number:SR-NSX-2015-05 | SRO Organization:National Stock Exchange (NSX) |
Details: 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 |
| Release Number:34-76497 | SEC Issue Date:Nov 20, 2015 | File Number:SR-NSX-2015-06 | SRO Organization:National Stock Exchange (NSX) |
Details: 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 |