NMS Plans

We encourage the public to submit comments on the following National Market System (NMS) plans 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.

Chronological List
Fourth Quarter |  Third Quarter |  Second Quarter | First Quarter

Additional Archives

NMS File Number List for 2019

Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ)

File No. S7-24-89: Nasdaq UTP Plan

File No. 4-698: National Market System Plan Governing the Consolidated Audit Trail

File No. 4-631: National Market System Plan to Address Extraordinary Market Volatility

File No. 4-546: Options Order Protection and Locked/Crossed Market Plan

File No. 4-533: Proposed NMS Plan for the Selection and Reservation of Securities Symbols to Add BOX Options Exchange LLC as a Party Thereto

File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS

File No. 4-443: Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options (OLPP)

Chronological List for 2019

Release No. Date Details
Fourth Quarter
4-518
34-87598 Nov. 22, 2019 Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS to Add the Long Term Stock Exchange, Inc. as a Participant
Comments due: December 12, 2019
4-533
34-87597 Nov. 22, 2019 Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add Long-Term Stock Exchange, Inc. as a Party Thereto
Comments due: December 12, 2019
SR-CTA/CQ-2019-03
34-87596 Nov. 22, 2019 Notice of Filing and Immediate Effectiveness of the Thirty-Second Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Third Substantive Amendment to the Restated CQ Plan
Comments due: December 12, 2019
4-698
34-87595 Nov. 22, 2019 Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail to Add Long-Term Stock Exchange LLC as a Participant
Comments due: December 12, 2019
S7-24-89
34-87594 Nov. 22, 2019 Notice of Filing and Immediate Effectiveness of the Forty-Sixth 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
Comments due: December 12, 2019
Third Quarter
4-698
34-87149 Sep. 27, 2019 Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., BOX Options Exchange LLC, Cboe C2 Options Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC, Miami International Securities Exchange, 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, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE American, LLC, NYSE Chicago, Inc. and NYSE National, Inc.
Comments due: October 24, 2019
Second Quarter
4-631
34-85623 Apr. 11, 2019 Order Approving the Eighteenth 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, 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.
First Quarter
4-698
34-85230 Mar. 1, 2019 Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail to Add MIAX Emerald LLC, as a Participant
Comments due: March 28, 2019
4-546
34-85229 Mar. 1, 2019 Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add MIAX Emerald, LLC, as a Participant
Comments due: March 28, 2019
4-443
34-85228 Mar. 1, 2019 Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add MIAX Emerald, LLC as a Plan Sponsor
Comments due: March 28, 2019


NMS File Number List for 2019

Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ)

Release No. Date Details
SR-CTA/CQ-2019-03
34-87596 Nov. 22, 2019 Notice of Filing and Immediate Effectiveness of the Thirty-Second Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Third Substantive Amendment to the Restated CQ Plan
Comments due: December 12, 2019

File No. S7-24-89: Nasdaq UTP Plan

Release No. Date Details
S7-24-89
34-87594 Nov. 22, 2019 Notice of Filing and Immediate Effectiveness of the Forty-Sixth 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
Comments due: December 12, 2019

File No. 4-698: National Market System Plan Governing the Consolidated Audit Trail

Release No. Date Details
4-698
34-87595 Nov. 22, 2019 Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail to Add Long-Term Stock Exchange LLC as a Participant
Comments due: December 12, 2019
34-87149 Sep. 27, 2019 Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., BOX Options Exchange LLC, Cboe C2 Options Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC, Miami International Securities Exchange, 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, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE American, LLC, NYSE Chicago, Inc. and NYSE National, Inc.
Comments due: October 24, 2019
34-85230 Mar. 1, 2019 Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail to Add MIAX Emerald LLC, as a Participant
Comments due: March 28, 2019

File No. 4-631: Order Approving the Twelfth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.

Release No. Date Details
4-631
34-85623 Apr. 11, 2019 Order Approving the Eighteenth 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, 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.

File No. 4-546: Options Order Protection and Locked/Crossed Market Plan

Release No. Date Details
4-546
34-85229 Mar. 1, 2019 Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add MIAX Emerald, LLC, as a Participant
Comments due: March 28, 2019

File No. 4-533: Proposed NMS Plan for the Selection and Reservation of Securities Symbols to Add BOX Options Exchange LLC as a Party Thereto

4-533
34-87597 Nov. 22, 2019 Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add Long-Term Stock Exchange, Inc. as a Party Thereto
Comments due: December 12, 2019

File No. 4-518: National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS

Release No. Date Details
4-518
34-87598 Nov. 22, 2019 Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS to Add the Long Term Stock Exchange, Inc. as a Participant
Comments due: December 12, 2019

File No. 4-443: Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options (OLPP)

Release No. Date Details
4-443
34-85228 Mar. 1, 2019 Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add MIAX Emerald, LLC as a Plan Sponsor
Comments due: March 28, 2019