In accordance with the requirements of 17 CFR 242.608, links to all relevant national market system plans or plan sites are provided below.
CONSOLIDATED TAPE ASSOCIATION PLAN/CONSOLIDATED QUOTATION PLAN
This plan governs 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 BATS BZX Exchange, Inc. (Tape B)
OTC UTP PLAN
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).
LIMIT UP LIMIT DOWN PLAN
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.
NATIONAL MARKET SYSTEM 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.
NATIONAL MARKET SYSTEM PLAN GOVERNING THE PROCESS OF SELECTING A PLAN PROCESSOR AND DEVELOPING A PLAN FOR THE CONSOLIDATED AUDIT TRAIL
This plan governs the process of selecting a plan processor and developing a plan for the Consolidated Audit Trail.
NATIONAL MARKET SYSTEM PLAN FOR THE SELECTION AND RESERVATION OF SECURITIES SYMBOLS
This plan establishes a uniform system for the selection and reservation of securities symbols.
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.
- Options Order Protection and Locked/Crossed Market Plan
- Proposed Amendment to Options Order Protection and Locked/Crossed Market Plan
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.
TICK SIZE PILOT PROGRAM
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.