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Limit Up-Limit Down - Relevant Links

The FIF Limit Up-Limit Down working group tracks implementation for the Limit Up-Limit Down initiative at the industry level. The following links point to websites and documents and are updated periodically and maintained on a best efforts basis. Please check the source websites (SEC, Exchange, etc.) for the most current information. Email updates for this page to fifinfo@fif.com. Links added since the last update are highlighted as *NEW* or *UPDATED*.

Last updated: May 09, 2014



BATS

BOX

  • Apr 03, 2014: SR-BOX-2014-12 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program that Suspends Certain Obvious Error Provisions During Limit Up-Limit Down States in Securities that Underlie Options Traded on the Exchange
  • Apr 5, 2013: SR-BOX-2013-13 - BOX Order Approving, on an Accelerated Basis, Proposed Rule Change to Clarify How the Exchange Will Treat a Market Maker's Quoting Obligations When the Underlying Equity Security Enters a Limit State or Straddle State
  • Mar 20, 2013: SR-BOX-2013-12 - BOX Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Interpretive Material Rule 7080 in Connection with the Implementation of the Limit Up-Limit Down Plan 
  • Mar 11, 2013: SR-BOX-2013-13 - BOX Notice of Filing of Proposed Rule Change to Clarify How The Exchange Will Treat a Market Maker's Quoting Obligations When the Underlying Equity Security Enters a Limit State or Straddle State 
  • Mar 8, 2013: SR-BOX-2013-12 - BOX Proposal to Add Interpretive Material to Rule 7080 in Connection With the Implementation of the Limit Up-Limit Down Plan 
  • Mar 8, 2013: SR-BOX-2013-13 - BOX Proposal to Amend Rule 7080 to Clarify how the Exchange Will Treat Market Maker's Quoting Obligations When the Underlying Equity Security Enters a Limit State or Straddle State 

CBSX/CBOE/C2

  • Apr 03, 2014: SR-CBOE-2014-033SR-C2-2014-008 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.25 
  • Mar 25, 2014: SR-CBOE-2014-025 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the CBSX Clearly Erroneous Policy 
  • Sep 26, 2013: SR-CBOE-2013-091 - CBOE Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the CBSX Clearly Erroneous Policy Pilot Program
  • Aug 2, 2013: SR-CBOE-2013-077 - CBOE Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Order Handling 
  • Apr 8, 2013: SR-C2-2013-13 - C2 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility
  • Apr 5, 2013: SR-CBOE-2013-30 - CBOE Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility
  • Apr 4, 2013: SR-C2-2013-013 - C2 Notice of Proposed Change Pursuant to the Payment, Clearing, and Settlement Act of 2010
  • Apr 4, 2013: SR-CBOE-2013-030 - CBOE Notice of Proposed Change Pursuant to the Payment, Clearing and Settlement Act of 2010
  • Mar 15, 2013: SR-CBOE-2013-029 - CBOE Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Comply with the Requirements of the NMS Plan to Address Extraordinary Market Volatility 
  • Mar 8, 2013: SR-C2-2013-013 - C2 Notice of Filing of Proposed Rule Change Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility
  • Mar 8, 2013: SR-CBOE-2013-030 - CBOE Notice of Filing of Proposed Rule Change Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility 
  • Mar 6, 2013: SR-C2-2013-013 - C2 Proposal to Modify Rules to Address Option Order Handling Procedures and Quoting Obligations in Accordance with Implementation of LULD 
  • Mar 6, 2013: SR-CBOE-2013-030 - CBOE Proposal to Modify Rules to Address Option Order Handling Procedures and Quoting Obligations in Accordance with Implementation of LULD 
  • Mar 4, 2013: SR-CBOE-2013-029 - Proposal to Amend Stock Exchange Rules to Comply with the NMS Plan to Address Extraordinary Market Volatility 
  • Jan 29, 2013: SR-CBOE-2013-12  - CBSX Clearly Erroneous Rule Extension Filing
  • Jan 28, 2013: SR-CBOE-2013-11 - CBSX Market-Wide Circuit Breaker Extension Filing
  • Jan 28, 2013: SR-CBOE-2013-10 - CBSX Single Stock Circuit Breaker Extension Filing
  • Jan 7, 2013: CBSX Limit Up-Limit Down FAQs 

CHX

  • Mar 24, 2014: SR-CHX-2014-04 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Related to Article 20, Rule 10 Concerning the Handling of Clearly Erroneous Transactions 
  • Sep 26, 2013: SR-CHX-2013-17 - CHX Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Related to Article 20, Rule 10 Concerning the Handling of Clearly Erroneous Transactions
  • Apr 5, 2013: SR-CHX-2013-08 - CHX Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt and Amend Exchange Rules in Connection with Limit Up-Limit Down Plan
  • Mar 28, 2013: SR-CHX-2013-08 - CHX Proposal to Adopt Article 20, Rule 2A and Amend Article 1, Rule 2; Article 16, Rule 8; Article 20, Rule 2, Rule 4, Rule 8, and Rule 10 in connection with the Upcoming Operation of the Plan to Address Extraordinary market Volatility 
  • Mar 15, 2013: SR-CHX-2013-08 - CHX Proposal to Adopt Article 20, Rule 2A and Amend Article 1, Rule 2; Article 20, Rule 2; Article 20, Rule 4; and Article 20, Rule 8 in Connection with Upcoming Operation of Plan to Address Extraordinary Market Volatility 
  • Feb 6, 2013: SR-CHX-2013-03 - CHX Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 20, Rule 2 to Extending the Effective Date of Single Stock Circuit Breaker
  • Feb 1, 2013: SR-CHX-2013-04 - CHX Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 20, Rule 10 to Extend the Effective Date of Clearly Erroneous Rule
  • Jan 31, 2013: SR-CHX-2013-02 - CHX Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of a Rule Change to CHX Article 20, Rule 2
  • Jan 28, 2013: SR-CHX-2013-04 - CHX Clearly Erroneous Rule Extension Filing
  • Jan 28, 2013: SR-CHX-2013-03 - CHX Single Stock Circuit Breaker Extension Filing
  • Jan 25, 2013: SR-CHX-2013-02 - CHX Market-Wide Circuit Breaker Extension Filing
  • Jan 17, 2013: CHX Limit Up-Limit Down FAQ

DIRECT EDGE

FINRA / NASDAQ TRF

ISE

  • Mar 26, 2014: SR-ISE-2014-19 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE Rule 2128 Relating to Clearly Erroneous Trades
  • Nov 15, 2013: SR-ISE-2013-59 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Address the Treatment of Certain Stop Orders During a Limit State or Straddle State 
  • Sep 26, 2013: SR-ISE-2013-49 - ISE Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE Rule 2128 Relating to Clearly Erroneous Trades 
  • Apr 5, 2013: SR-ISE-2013-22 - ISE Order Approving, on an Accelerated Basis, Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Suspend Certain Market Maker Quotation Requirements and to Suspend Rule 720 Regarding Obvious Errors During Limit Up-Limit Down States in Securities that Underlie Options Traded on the ISE
  • Mar 15, 2013: SR-ISE-2013-20 - ISE Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Limit Up/Limit Down 
  • Mar 11, 2013: SR-ISE-2013-22 - ISE Notice of Filing of Proposed Rule Change to Suspend Certain Market Maker Quotation Requirements and to Suspend Rule 720 Regarding Obvious Errors During LULD States in Securities that Underlie Options Traded on the ISE
  • Mar 8, 2013: SR-ISE-2013-22- ISE Proposed Rule Change to Suspend Certain Market Maker Quotation Requirements and to Suspend Rule 720 Regarding Obvious Errors During LULD States in Securities that Underlie Options Traded on the ISE 
  • Mar 4, 2013: SR-ISE-2013-20 - ISE Proposed Changes to Rules in light of Implementation of LULD Procedures for Securities that Underlie Options 
  • Feb 4, 2013: SR-ISE-2013-12 - ISE Filing and Immediate Effectiveness of Proposed Rule to Amend ISE Rule 2128 Relating to Clearly Erroneous Trades

MIAX

  • Apr 9, 2013: SR-MIAX-2013-15 - MIAX Order Approving, on an Accelerated Basis, Proposed Rule Change Relating to Limit Up-Limit Down Functionality
  • Apr 8, 2013: SR-MIAX-2013-48 - MIAX Order Granting Accelerated Approval of a Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophe Error review
  • Apr 8, 2013: SR-MIAX-2013-12 - MIAX Order Granting Accelerated Approval of a Proposed Rule Change Relating to Obvious Errors in Limit or Straddle States
  • Apr 4, 2013: Regulatory Circular 2013-16 - MIAX Rule 530 for Limit Up-Limit Down
  • Mar 25, 2013: SR-MIAX-2013-15 - MIAX Notice of Filing of Proposed Rule Change Relating to Limit Up-Limit Down Functionality
  • Mar 22, 2013: SR-MIAX-2013-12 - MIAX Notice of Filing of a Proposed Rule Change Relating to Obvious Errors in Limit or Straddle States 
  • Mar 19, 2013: SR-MIAX-2013-07 - MIAX Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt MIAX Rule 530, Limit Up-Limit Down 
  • Mar 7, 2013: SR-MIAX-2013-07 - Proposed Rule Change Relating to Limit Up-Limit Down Processes 

NASDAQ

NSX

  • Mar 25, 2014: SR-NSX-2014-07 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Related to Rule 11.19, Titled “Clearly Erroneous Executions”
  • Oct 1, 2013: SR-NSX-2013-19 - NSX Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.19 to Extend Pilot Program Regarding Clearly Erroneous Executions
  • Apr 4, 2013: SR-NSX-2013-12 - NSX Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rule 11.24, Limit Up-Limit Down
  • Mar 8, 2013: SR-NSX-2013-09 - NSX Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Rules to Comply with the Requirements of the Plan to Address Extraordinary Market Volatility 
  • Mar 1, 2013: SR-NSX-2013-09 - NSX Proposal to Amend Rules to Comply with the NMS Plan to Address Extraordinary Market Volatility
  • Jan 30, 2013: SR-NSX-2013-06 - NSX Clearly Erroneous Rule Extension Filing
  • Jan 28, 2013: SR-NSX-2013-05 - NSX Single Stock Circuit Breaker Extension Filing
  • Jan 25, 2013: SR-NSX-2013-04 - NSX Market-Wide Circuit Breaker Extension Filing
  • Jan 9, 2013: NSX Limit Up-Limit Down FAQ

NYSE

SEC / NMS PLAN

UTP

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