Citations for: Regulation NMS

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  • 71 FR 42698: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Adopt New NASD Rule 5150 Relating to Trade-Throughs (07/27/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Adopt New NASD Rule 5150 Relating to Trade-Throughs
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, July 27, 2006
    Type:
    Notice
  • 71 FR 45876: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Date for Compliance With Regulation NMS (08/10/2006)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Date for Compliance With Regulation NMS
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, August 10, 2006
    Type:
    Notice
  • 71 FR 46527: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto To Align NASD Rules With Regulation NMS (08/14/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto To Align NASD Rules With Regulation NMS
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, August 14, 2006
    Type:
    Notice
  • 71 FR 47836: Self-Regulatory Organizations; Chicago Stock Exchange, Inc,; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Implement a New Trading Model (08/18/2006)
    Full Title:
    Self-Regulatory Organizations; Chicago Stock Exchange, Inc,; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Implement a New Trading Model
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, August 18, 2006
    Type:
    Notice
  • 71 FR 50480: Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Adopt Rules Relating to Regulation NMS (08/25/2006)
    Full Title:
    Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Adopt Rules Relating to Regulation NMS
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, August 25, 2006
    Type:
    Notice
  • 71 FR 50482: Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Exchange's New Equity Trading System, XLE (08/25/2006)
    Full Title:
    Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Exchange's New Equity Trading System, XLE
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, August 25, 2006
    Type:
    Notice
  • 71 FR 52836: Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 Thereto to Amend Its Trading Rules to Provide for a Price-Time Priority Market and Other Related Changes (09/07/2006)
    Full Title:
    Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 Thereto to Amend Its Trading Rules to Provide for a Price-Time Priority Market and Other Related Changes
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, September 07, 2006
    Type:
    Notice
  • 71 FR 54318: Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Adopt New Rules To Implement on a Pilot Basis an Initial Version of AEMI, Its Proposed New Hybrid Market Trading Platform for Equity Products and Exchange Traded Funds (09/14/2006)
    Full Title:
    Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Adopt New Rules To Implement on a Pilot Basis an Initial Version of AEMI, Its Proposed New Hybrid Market Trading Platform for Equity Products and Exchange Traded Funds
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, September 14, 2006
    Type:
    Notice
  • 71 FR 58646: Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto To Adopt Rules Relating to Regulation NMS (10/04/2006)
    Full Title:
    Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto To Adopt Rules Relating to Regulation NMS
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, October 04, 2006
    Type:
    Notice
  • 71 FR 59147: Joint Industry Plan; Order Approving NMS Linkage Plan Filed by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., The NASDAQ Stock Market LLC, National Stock Exchange, New York Stock Exchange LLC, NYSE Arca, Inc., and Philadelphia Stock Exchange, Inc. (10/06/2006)
    Full Title:
    Joint Industry Plan; Order Approving NMS Linkage Plan Filed by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., The NASDAQ Stock Market LLC, National Stock Exchange, New York Stock Exchange LLC, NYSE Arca, Inc., and Philadelphia Stock Exchange, Inc.
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, October 06, 2006
    Type:
    Notice
  • 71 FR 59161: Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Relating to the Implementation of the Second Phase of the Boston Equities Exchange (“BeX”) Trading System (10/06/2006)
    Full Title:
    Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Relating to the Implementation of the Second Phase of the Boston Equities Exchange (“BeX”) Trading System
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, October 06, 2006
    Type:
    Notice
  • 71 FR 59173: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving a Proposed Rule Change and Amendment No. 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto to Align NASD Rules With Regulation NMS (10/06/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving a Proposed Rule Change and Amendment No. 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto to Align NASD Rules With Regulation NMS
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, October 06, 2006
    Type:
    Notice
  • 71 FR 59178: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating To Adoption of Regulation NMS (10/06/2006)
    Full Title:
    Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating To Adoption of Regulation NMS
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, October 06, 2006
    Type:
    Notice
  • 71 FR 59545: Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change and Amendments No. 1, 2, 3, 4, and 5 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 6, To Establish a New Hybrid Trading System Known as AEMISM (10/10/2006)
    Full Title:
    Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change and Amendments No. 1, 2, 3, 4, and 5 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 6, To Establish a New Hybrid Trading System Known as AEMISM
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, October 10, 2006
    Type:
    Notice
  • 71 FR 59563: Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Implement a New Trading Model (10/10/2006)
    Full Title:
    Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Implement a New Trading Model
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, October 10, 2006
    Type:
    Notice
  • 71 FR 65847: Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3, To Adopt New Rules To Implement on a Pilot Basis an Initial Version of AEMI, Its Proposed New Hybrid Market Trading Platform For Equity Products and Exchange Traded Funds (11/09/2006)
    Full Title:
    Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3, To Adopt New Rules To Implement on a Pilot Basis an Initial Version of AEMI, Its Proposed New Hybrid Market Trading Platform For Equity Products and Exchange Traded Funds
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, November 09, 2006
    Type:
    Notice
  • 71 FR 67687: Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 185A, Intermarket Sweep Orders-Temporary (11/22/2006)
    Full Title:
    Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 185A, Intermarket Sweep Orders-Temporary
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, November 22, 2006
    Type:
    Notice
  • 71 FR 68876: Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Intermarket Sweep Orders in Nasdaq Securities (11/28/2006)
    Full Title:
    Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Intermarket Sweep Orders in Nasdaq Securities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, November 28, 2006
    Type:
    Notice
  • 71 FR 69155: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto To Reflect Nasdaq's Complete Separation From the NASD Upon the NASDAQ Stock Market LLC's Operation as a National Securities Exchange for Non-Nasdaq Exchange-Listed Securities (11/29/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto To Reflect Nasdaq's Complete Separation From the NASD Upon the NASDAQ Stock Market LLC's Operation as a National Securities Exchange for Non-Nasdaq Exchange-Listed Securities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, November 29, 2006
    Type:
    Notice
  • 72 FR 1361: Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of Benchmark and Qualified Contingent Trades in Nasdaq Securities Before the Trading Phase Date of Regulation NMS (01/11/2007)
    Full Title:
    Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of Benchmark and Qualified Contingent Trades in Nasdaq Securities Before the Trading Phase Date of Regulation NMS
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, January 11, 2007
    Type:
    Notice
  • 72 FR 2568: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Changes to the NASD/Nasdaq Trade Reporting Facility Rules Consistent With the New Requirements of Regulation NMS (01/19/2007)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Changes to the NASD/Nasdaq Trade Reporting Facility Rules Consistent With the New Requirements of Regulation NMS
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, January 19, 2007
    Type:
    Notice
  • 72 FR 4202: Regulation NMS (01/30/2007)
    Full Title:
    Regulation NMS
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, January 30, 2007
    Type:
    Rule
  • 72 FR 11066: Intermarket Trading System; Notice of Filing and Immediate Effectiveness of the Twenty Fourth Amendment to the ITS Plan Relating to the Elimination of the ITS Plan (03/12/2007)
    Full Title:
    Intermarket Trading System; Notice of Filing and Immediate Effectiveness of the Twenty Fourth Amendment to the ITS Plan Relating to the Elimination of the ITS Plan
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, March 12, 2007
    Type:
    Notice
  • 72 FR 37809: Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Modify a Rule Relating to Market Data Revenue Credits for Transactions Executed Through NSX BLADE (07/11/2007)
    Full Title:
    Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Modify a Rule Relating to Market Data Revenue Credits for Transactions Executed Through NSX BLADE
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, July 11, 2007
    Type:
    Notice
  • 73 FR 49497: In the Matter of the Application of BATS Exchange, Inc. for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission (08/21/2008)
    Full Title:
    In the Matter of the Application of BATS Exchange, Inc. for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, August 21, 2008
    Type:
    Notice
  • 75 FR 13151: In the Matter of the Applications of EDGX Exchange, Inc., and EDGA Exchange, Inc. for Registration as National Securities Exchanges; Findings, Opinion, and Order of the Commission (03/18/2010)
    Full Title:
    In the Matter of the Applications of EDGX Exchange, Inc., and EDGA Exchange, Inc. for Registration as National Securities Exchanges; Findings, Opinion, and Order of the Commission
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, March 18, 2010
    Type:
    Notice
  • 75 FR 51295: In the Matter of the Application of BATS Y-Exchange, Inc. for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission (08/19/2010)
    Full Title:
    In the Matter of the Application of BATS Y-Exchange, Inc. for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, August 19, 2010
    Type:
    Notice

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