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.
Self-Regulatory Organization Rulemaking Table
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File Number
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SRO Organization
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Details
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|---|---|---|---|---|
| Release Number:34-97212 | SEC Issue Date:Mar 28, 2023 | File Number:4-698 | SRO Organization:National Market System Plans (NMS) |
Details: Notice of Withdrawal of Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail, as Modified by Partial Amendment Nos. 1 and 2 View Received Comments |
| Release Number:34-97193 | SEC Issue Date:Mar 24, 2023 | File Number:4-698 | SRO Organization:National Market System Plans (NMS) |
Details: Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments |
| Release Number:34-97151 | SEC Issue Date:Mar 15, 2023 | File Number:4-698 | SRO Organization:National Market System Plans (NMS) |
Details: Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail Comments Due: 21 days after publication in the Federal Register View Received Comments |
| Release Number:34-96725 | SEC Issue Date:Jan 20, 2023 | File Number:4-698 | SRO Organization:National Market System Plans (NMS) |
Details: 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, as Modified by Partial Amendment No. 1 View Received Comments |
| Release Number:34-96568 | SEC Issue Date:Dec 22, 2022 | File Number:4-698 | SRO Organization:National Market System Plans (NMS) |
Details: 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: January 19, 2023 Rebuttal comments due: 35 days after publication in the Federal Register View Received Comments |
| Release Number:34-96394 | SEC Issue Date:Nov 28, 2022 | File Number:4-698 | SRO Organization:National Market System Plans (NMS) |
Details: Notice of Filing of Partial Amendment No. 1 to an Amendment to the National Market System Plan Governing the Consolidated Audit Trail Comments Due: December 23, 2022 View Received Comments |
| Release Number:34-96382 | SEC Issue Date:Nov 23, 2022 | File Number:4-698 | SRO Organization:National Market System Plans (NMS) |
Details: 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 |
| Release Number:34-96102 | SEC Issue Date:Oct 19, 2022 | File Number:4-698 | SRO Organization:National Market System Plans (NMS) |
Details: Notice of Withdrawal of Amendment to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments |
| Release Number:34-95874 | SEC Issue Date:Sep 22, 2022 | File Number:4-698 | SRO Organization:National Market System Plans (NMS) |
Details: Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc. Comments Due: 21 days after publication in the Federal Register View Received Comments |
| Release Number:34-95851 | SEC Issue Date:Sep 21, 2022 | File Number:SR-CTA/CQ-2021-03 | SRO Organization:National Market System Plans (NMS) |
Details: Order Disapproving the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |