Governing documents of NYSE Group, Inc. and NYSE Holdings LLC, parent companies of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE American LLC, NYSE Chicago, Inc., and NYSE National, Inc.:
Seventh Amended and Restated Certificate of Incorporation of NYSE Group
Fourth Amended and Restated Bylaws of NYSE Group
Ninth Amended and Restated Limited Liability Company Agreement of NYSE Holdings LLC
Governing documents of NYSE Chicago Holdings Inc., parent company of NYSE Chicago, Inc.:
Third Amended and Restated Certificate of Incorporation of NYSE Chicago Holdings, Inc.
Third Amended and Restated Bylaws of NYSE Chicago Holdings, Inc.
Thirteenth Amended and Restated Operating Agreement of New York Stock Exchange LLC
Independence Policy of New York Stock Exchange LLC
NYSE Arca, Inc. Bylaws and Certificate of Incorporation
Twelfth Amended and Restated Operating Agreement of NYSE American LLC
Amended and Restated Limited Liability Company Agreement of NYSE Amex Options LLC
Amended and Restated Members Agreement of NYSE Amex Options LLC
Thirteenth Amended and Restated Operating Agreement of New York Stock Exchange LLC
Third Amended and Restated Certificate of Incorporation of NYSE Market (DE), Inc.
Independence Policy of NYSE American LLC
Second Amended and Restated By-Laws of NYSE Chicago, Inc.
Second Amended and Restated Certification of Incorporation of NYSE Chicago, Inc.
Sixth Amended and Restated By-Laws of NYSE National, Inc.
Amended and Restated Certification of Incorporation of NYSE National, Inc.
The Securities and Exchange Commission (the “Commission” or “SEC”), at 17 C.F.R. 608(a)(8), requires the NYSE security exchanges and other self-regulatory organizations (“SRO”s) to publish, on their websites, the National Market System (“NMS”) Plans in which each participates. Below are links to the websites that include copies of each of the applicable NMS Plans of which one or more NYSE securities exchanges are members, along with related information.
Participants or sponsors of an NMS Plan must ensure that any proposed amendments are posted to a designated website after filing the amendments with the Commission, and that those websites are updated to reflect the current status of the amendment and the NMS Plan. Each plan participant or sponsor must also provide a link on its own website to the current version of its NMS Plan.
The SEC maintains a file number list of NMS Plans.
Plan Governing the Consolidated Audit Trail
This plan governs the creation, implementation and maintenance of a consolidated audit trail.
Consolidated Tape Association Plan/Consolidated Quotation Plan
These plans govern the collection, processing, and distribution of quotation and transaction information for securities listed on the New York Stock Exchange LLC (Tape A) and securities listed on NYSE American LLC, NYSE Arca, Inc., and Cboe BZX Exchange, Inc. (Tape B).
Plan to Address Extraordinary Market Volatility
This plan establishes procedures to address extraordinary volatility in NMS Stocks, which procedures provide for market-wide limit up-limit down requirements that prevent trades in individual NMS Stocks from occurring outside of the specified price bands and for trading pauses to accommodate more fundamental price moves.
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 Privilege Basis
This plan governs the collection, processing and distribution of quotation and transaction information for issues listed on the NASDAQ Stock Market LLC (Tape C).
This plan describes procedures to be followed by the Plan Sponsors in connection with selecting specified underlying interests for listing purposes and requesting a review of such selections.
This plan establishes a framework for providing order protection and addressing locked and crossed markets in eligible options classes. In addition, the plan provides for a non-exclusive method for achieving order protection and addressing locked and crossed markets.
Options Price Reporting Facility
The Options Price Reporting Authority provides, through Market Data Vendors, last sale information and current options quotations from a committee of Participant Exchanges designated as the Options Price Reporting Authority.
Options Regulatory Surveillance Authority
Self Regulatory Organizations that maintain markets for the trading of option securities have developed a national market system to collectively share regulatory and surveillance facilities.
Plan for the Selection And Reservation of Securities Symbols
This plan establishes a uniform system for the selection and reservation of securities symbols.
Plan Establishing Procedures Under Rule 605 Of Regulation NMS
This plan establishes procedures under Rule 605 of Regulation NMS (previously Rule 11Ac1-5 under the Securities Exchange of 1934). Rule 605 generally requires a market center that trades Regulation NMS stocks to make available to the public monthly electronic execution reports that include uniform statistical measures of execution quality.
Plan Regarding Consolidated Equity Market Data
This plan governs the collection, processing, and dissemination of quotation and transaction information for exchange-listed securities. Under the plan, all U.S. exchanges, associations, and market centers that quote and trade exchange-listed securities must provide their data to centralized securities information processors (SIPs) for data consolidation and dissemination. The plan is not yet operative and is the subject of litigation.
This plan governs the establishment and implementation of a pilot program that the Commission ordered to evaluate the impact that a wider tick size would have on trading, liquidity, and market quality of securities of smaller capitalization companies.
*The New York Stock Exchange, NYSE Chicago and NYSE National are not parties to this plan.