Single Stock Circuit Breaker - Overview

• Jun 07, 2010 - Venue Behavior - Stock Circuit Breaker
• Market Dynamics Report

• Jul 27, 2012 - SEC Extension of the Single Stock Circuit Breaker pilot from Jul 31, 2012 to Feb 4, 2013
• Jan 11, 2012 - SEC extension of the Stock by Stock Circuit Breaker pilot from Jan 31, 2012 to Jul 31, 2012
• Oct 10, 2010 - Investor Bulletin: New Stock-by-Stock Circuit Breakers
• Sep 10, 2010 - SEC Approves Rules Expanding Stock-by-Stock Circuit Breakers and Clarifying Process for Breaking Erroneous Trades
• Jun 30, 2010 - SEC to Publish for Public Comment Proposed Rules Expanding Stock-by-Stock Circuit Breakers
• Jun 10, 2010 - SEC Approves New Stock-by-Stock Circuit Breaker Rules
• Jun 10, 2010 - SEC Approval Order for BATS, EDGA, EDGX, NASDAQ OMX BX, ISE, NYSE, NYSE Amex, NYSE Arca, NASDAQ, CHX, NSX and CBSX
• Jun 04, 2010 - SEC Statement on Status of Stock-by-Stock Circuit Breaker Rule Proposals
• May 18, 2010 - SEC to Publish Comment Stock-by-Stock Circuit Breaker Rule Proposals

Exchanges / Utilities

BATS

• Jun 23, 2011 - SR-BATS-2011-016, SR-BYX-2011-011 - Approved Rule Change Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks 
• May 06, 2011 - SR-BATS-2011-016, SR-BYX-2011-011 - Proposed Rule Change to Include Additional Securities in the Pilot by Which Such Rule Operates and Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes
• Apr 04, 2011 - SR-BATS-2011-011 - Proposed Rule Change to Extend the Single Stock Circuit Breaker Pilot to Aug 11, 2011
• Dec 07, 2010 - SR-BATS-2010-037, SR-BYX-2010-007 - Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot from Dec 10, 2010 to Apr 11, 2011
• Jun 30, 2010 - BATS Rule Filing - Addition of Russell 1000 Index securities and Exchange Traded Products
• Jun 04, 2010 - BATS Exchange (BZX) Security Based Circuit Breaker FAQ
• May 19, 2010 - BATS Rule Filing - Trading Halts Due to Extraordinary Market Volatility

• Jun 01, 2010 - Individual Security Circuit Breaker Functionality - 'Volatility Trading Pause' - Testing Availability
• May 24, 2010 - Individual Security Circuit Breaker Functionality - 'Volatility Trading Pause'
• May 24, 2010 - CQS Specifications - Revision 41 (Last Updated: May 24, 2010)
• May 24, 2010 - CTS Specifications - Revision 56 (Last Updated: May 24, 2010)

CBSX/CBOE

• Jun 23, 2011 - SR-CBOE-2011-049 - Approved Rule Change Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
• May 06, 2011 - SR-CBOE-2011-049 - Proposed Rule Change to Include Additional Securities in the Pilot by Which Such Rule Operates and Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes
• Apr 07, 2011 - SR-CBOE-2011-032 - Proposed Rule Change to Extend the Single Stock Circuit Breaker Pilot to Aug 11, 2011
• Dec 09, 2010 - SR-CBOE-2010-112 - Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot from Dec 10, 2010 to Apr 11, 2011
• Jun 30, 2010 - CBSX Rule Filing - Addition of Russell 1000 Index securities and Exchange Traded Products
• Jun 10, 2010 - Rule Filing Approval - Related to Individual Equity Options Overlying Stocks Subject to Trading Pauses Due to Extraordinary Market Volatility
• Jun 1, 2010 - CBSX FAQs
• May 19, 2010 - CBSX Rule Filing - Individual Stock Trading Pauses Due to Extraordinary Market Volatility

CHX

• Jun 23, 2011 - SR-CHX-2011-09 - Approved Rule Change Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
• May 06, 2011 - SR-CHX-2011-09 - Proposed Rule Change to Include Additional Securities in the Pilot by Which Such Rule Operates and Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes
• Apr 06, 2011 - SR-CHX-2011-05 - Proposed Rule Change to Extend the Single Stock Circuit Breaker Pilot to Aug 11, 2011
• Dec 09, 2010 - SR-CHX-2010-24 - Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot from Dec 10, 2010 to Apr 11, 2011
• Jun 30, 2010 - CHX Rule Filing - Addition of Russell 1000 Index securities and Exchange Traded Products
• Jun 02, 2010 - CHX Individual Stock Circuit Breakers - FAQs
• May 19, 2010 - CHX Rule Filing - Establish a Trading Halt for Individual Stocks Contained in the S&P 500

Direct Edge

• Jun 23, 2011 - SR-EDGA-2011-15, SR-EDGX-2011-14 - Approved Rule Change Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
• May 06, 2011 - SR-EDGA-2011-15, SR-EDGX-2011-14 - Proposed Rule Change to Include Additional Securities in the Pilot by Which Such Rule Operates and Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes
• Apr 06, 2011 - SR-EDGA-2011-11, SR-EDGX-2011-10 - Proposed Rule Change to Extend the Single Stock Circuit Breaker Pilot to Aug 11, 2011
• Dec 09, 2010 - SR-EDGA-2010-23, SR-EDGX-2010-22 - Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot from Dec 10, 2010 to Apr 11, 2011
• Jun 30, 2010 - Direct Edge EDGA, EDGX Rule Filing - Addition of Russell 1000 Index securities and Exchange Traded Products
• May 19, 2010 - EDGA Rule Filing - Trading Halts Due to Extraordinary Market Volatility
• May 19, 2010 - EDGX Rule Filing - Trading Halts Due to Extraordinary Market Volatility
• May 2010 - Individual Stock Circuit Breaker FAQs

• Jun 23, 2011 - SR-FINRA-2011-023 - Approved Rule Change Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
• May 06, 2011 - SR-FINRA-2011-023 - Proposed Rule Change to Include Additional Securities in the Pilot by Which Such Rule Operates and Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes - SR-FINRA-2011-015
• Apr 04, 2011 - SR-FINRA-2011-15 - Proposed Rule Change to Extend the Single Stock Circuit Breaker Pilot to Aug 11, 2011
• Dec 07, 2010 - SR-FINRA-2010-064 - Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot from Dec 10, 2010 to Apr 11, 2011
• Sep 17, 2010 - //www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p122104.pdf" target="_blank" style="color: rgb(0, 64, 128); text-decoration: none; outline: 0px; font-weight: bold;">Price Validation and Price-Override Protocol
• Jun 30, 2010 - FINRA Rule Filing - Addition of Russell 1000 Index securities and Exchange Traded Products
• Jun 10, 2010 - SEC Approves Amendments Permitting FINRA to Halt Trading by Firms Otherwise Than on an Exchange Where a Primary Listing Market Has Issued a Trading Pause Due to Extraordinary Market Volatility - FAQs Included
• Jun 10, 2010 - Rule Filing Approval - FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
• May 19, 2010 - FINRA Rule Filing - Trading Halts Due to Extraordinary Market Volatility

ISE

• Jun 23, 2011 - SR-ISE-2011-35 - Approved Rule Change Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
• May 06, 2011 - SR-ISE-2011-28 - Proposed Rule Change to Include Additional Securities in the Pilot by Which Such Rule Operates and Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes
• Apr 04, 2011 - Single Stock Circuit Breaker Pilot Extension to Aug 11, 2011 - SR-ISE-2011-17
• Dec 09, 2010 - SR-ISE-2010-117 - Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot from Dec 10, 2010 to Apr 11, 2011
• Jun 30, 2010 - ISE Rule Filing - Addition of Russell 1000 Index securities and Exchange Traded Products
• Jun 10, 2010 - Rule Filing Approval - Proposed Rule Change Related to Trading Halts in an Options Class
• May 19, 2010 - ISE Rule Filing - Establish Trading Pause for Individual Securities When the Price Moves Ten Percent or More

• Jun 27, 2011 - ERA #2011-9 - Single Stock Circuit Breaker Functionality to be Expanded to All Reg NMS Securities
  
• Jun 23, 2011 - SR-NASDAQ-2011-067, SR-BX-2011-025 - Approved Rule Change Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
• May 06, 2011 -SR-NASDAQ-2011-067, SR-BX-2011-025 - Proposed Rule Change to Include Additional Securities in the Pilot by Which Such Rule Operates and Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes
• Apr 04, 2011 - Single Stock Circuit Breaker Pilot Extension to Aug 11, 2011 - SR-BX-2011-018, SR-NASDAQ-2011-042, SR-Phlx-2011-44
• Dec 09, 2010 - SR-Phlx-2010-174, SR-NASDAQ-2010-162, SR-BX-2010-086 - Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot from Dec 10, 2010 to Apr 11, 2011
• Sep 30, 2010 - Equity Regulatory Alert #14 - NASDAQ OMX Announces Update to Single Stock Circuit Breaker in NASDAQ-Listed Securities
• Sep 13, 2010 - Equity Regulatory Alert #11 - Single Stock Circuit Breaker Functionality to be Expanded to New Securities Effective September 14, 2010
• Jun 30, 2010 - NASDAQ OMX Rule Filing - Addition of Russell 1000 Index securities and Exchange Traded Products
• Jun 30, 2010 - Equity Trader Alert #2010-42 - Single Stock Trading Pause Testing Available Beginning June 29, 2010
• Jun 15, 2010 - Options Regulatory Alert #2010-9 - PHLX and NOM Announce New Halt Procedures
• Jun 10, 2010 - Rule Filing Approval - Trading Halts in Options During a Trading Pause in the Underlying Security
• Jun 10, 2010 - Rule Filing Approval - NASDAQ OMX PHLX Related to Trading Halts in Options During a Trading Pause in the Underlying Security
• Jun 10, 2010 - Equity Regulatory Alert #2010-5 - Market-Wide Circuit Breaker Functionality to Launch on Monday, June 14, 2010
• Jun 09, 2010 - Equity Technical Update #2010-9 - Single Stock Trading Pause Testing Available Saturday, June 12, 2010
• Jun 01, 2010 - UTP Vendor Alert #2010-6 - Testing Opportunities for New Single Stock Trading Pause Reason Codes
• May 25, 2010 - Single Stock Trading Pause - Frequently Asked Questions *Last Updated: Sep 30, 2010*
• May 25, 2010 - Data Technical News #2010-18 – NASDAQ OMX Announces Data Implications of Single Stock Trading Pause Functionality
• May 19, 2010 - NASDAQ Rule Filing - Establish a Trading Pause for Individual Stocks Contained In The S&P 500 That Experience a Price Change of 10% or More During a Five-Minute Period
• May 19, 2010 - NASDAQ OMX BX Rule Filing - Concerning Individual Stock Trading Pauses and to Adopt Related IM-4120-3
• May 19, 2010 - Equity Regulatory Alert #2010-3 - Market-Wide Circuit Breaker Functionality Proposals Filed with the SEC

• Jun 23, 2011 - SR-NSX-2011-06 - Approved Rule Change Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
• May 06, 2011 -SR-NSX-2011-06 - Proposed Rule Change to Include Additional Securities in the Pilot by Which Such Rule Operates and Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes
• Apr 06, 2011 - SR-NSX-2011-04 - Proposed Rule Change to Extend the Single Stock Circuit Breaker Pilot to Aug 11, 2011
• Dec 09, 2010 - SR-NSX-2010-17 - Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot from Dec 10, 2010 to Apr 11, 2011
• Jun 30, 2010 - NSX Rule Filing - Addition of Russell 1000 Index securities and Exchange Traded Products
• Jun 02, 2010 - Trading Pauses in S&P 500® Securities Due to Extraordinary Market Volatility and Frequently-Asked Questions
• May 19, 2010 - NSX Rule Filing - Establish a Trading Pause for Individual Stocks Contained In The S&P 500 That Experience a Price Change of 10% or More During a Five-Minute Period Pursuant to Exchange Rule 11.20

• Nov 23, 2011 - Single Stock Circuit Breaker Update for Rights and Warrants
• Jun 23, 2011 - SR-NYSE-2011-21, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26 - Approved Rule Change Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks 
• May 06, 2011 - SR-NYSE-2011-21, SR-NYSEAmex-2011-32 - Proposed Rule Change to Include Additional Securities in the Pilot by Which Such Rule Operates and Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes
• Apr 07, 2011 - SR-NYSE-2011-17, SR-NYSEAmex-2011-23, SR-NYSEArca-2011-15- Proposed Rule Change to Extend the Single Stock Circuit Breaker Pilot to Aug 11, 2011
• Jan 27, 2011 - Single Stock Trading Pauses - Updated NYSE and NYSE Amex functionality
• Jan 27, 2011 - Updated FAQ regarding NYSE and NYSE Amex Rule 80C
• Jan 27, 2011 - Rule 80C. Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
• Dec 07, 2010 - SR-NYSEArca-2010-114, SR-NYSEAmex-2010-117 - Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot from Dec 10, 2010 to Apr 11, 2011
• Sep 29, 2010 - Volatility Trading Pause Verification
• Sep 10, 2010 - Volatility Trading Pause Activation List for 9/14/10
• Aug 25, 2010 - NYSE Euronext comment letter to SEC regarding additional functionality
• Jun 30, 2010 - NYSE and NYSE Amex Rule Filing - Addition of Russell 1000 Index securities and Exchange Traded Products
• Jun 11, 2010 - New Rule 80c - Trading Pauses In S&P 500® Securities Due To Extraordinary Market Volatility And Frequently-Asked Questions - Approved By SEC
• Jun 11, 2010 - NYSE Volatility Trading Pause Activation Schedule for S&P 500 Securities
• Jun 11, 2010 - Rule Filing Approval - Amending NYSE Amex Equities Rule 80C to Clarify Reopening Procedures
• Jun 10, 2010 - Rule Filing Approval - Amending NYSE Amex Rule 953NY to Provide that the Exchange Will Halt Trading When An Underlying Security is the Subject of a Trading Pause
• Jun 10, 2010 - NYSE Volatility Trading Pause Industry Testing Information Memo
• Jun 10, 2010 - NYSE Arca Options Q&A: Circuit Breakers For Stocks & The Impact On NYSE Arca Options
• Jun 10, 2010 - NYSE Amex Options Q&A: Circuit Breakers For Stocks & The Impact On NYSE Amex Options
• Jun 10, 2010 - NYSE Volatility Trading Pause Activation List for 06/11/10
• Jun 04, 2010 - NYSE Delays June 7 Implementation date for Single Stock Trading Pause
• May 26, 2010 - New Rule 80C - Trading Pauses in S&P 500 Securities Due to Extraordinary Market Volatility and Frequently Asked Questions
• May 26, 2010 - FAQ Proposed NYSE and NYSE Amex Rule 80C
• May 19, 2010 - NYSE Rule Filing - Adding Rule 80C to Provide for a Trading Pause for Individual Securities When the Price Moves 10 percent or More
• May 19, 2010 - NYSE Amex Rule Filing - Adding Rule 80C to Provide for a Trading Pause for Individual Securities When the Price Moves 10 percent or More
• May 19, 2010 - NYSE Arca Rule Filing - Adding Rule 80C to Provide for a Trading Pause for Individual Securities When the Price Moves 10 percent or More