CAT Plan
This plan governs the creation, implementation and maintenance of a consolidated audit trail.
CTA / CQ Plans
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).
Limit Up / Limit Down Plan
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.
Nasdaq UTP Plan
This plan governs the collection, processing and distribution of quotation and transaction information for issues listed on the NASDAQ Stock Market LLC (Tape C).
Options Listing Procedure Plan
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.
Options Order Protection and Locked/Crossed Market Plan
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.
OPRA Plan
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.
ORSA Plan
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 Reserving Securities Symbols
This plan establishes a uniform system for the selection and reservation of securities symbols.
Rule 605 Plan
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.