[Federal Register Volume 91, Number 125 (Wednesday, July 1, 2026)]
[Notices]
[Pages 40058-40061]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2026-13212]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-105780; File No. S7-24-89]


Joint Industry Plan; Order Approving the Fifty-Fifth Amendment to 
the 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 Privileges Basis, as Modified by Amendment No. 1 
Thereto

June 26, 2026.

I. Introduction

    On January 12, 2026,\1\ the Participants \2\ in the 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 Privileges 
Basis (``UTP Plan'') filed with the Securities and Exchange Commission 
(``Commission''), pursuant to section 11A of the Securities Exchange 
Act of 1934 (``Act''),\3\ and Rule 608(a) of Regulation National Market 
System (``NMS'') thereunder,\4\ a proposal to amend the UTP Plan to 
extend the Processor's \5\ hours of operation (``Proposal''). The 
Proposal represents the Fifty-Fifth Amendment to the UTP Plan.
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    \1\ See Letter from Jeff Kimsey, Chair, UTP Plan Operating 
Committee, to Vanessa Countryman, Secretary, Commission (Jan. 12, 
2026). The Participants also filed amendments to the Second 
Restatement of the Consolidated Tape Association Plan and the 
Restated Consolidated Quotation Plan (``CTA/CQ Plans''). See also 
Letter from Jeff Kimsey, Chair, CTA/CQ Plans Operating Committee, to 
Vanessa Countryman, Secretary, Commission (Jan. 12, 2026).
    \2\ The Participants are: Cboe BYX Exchange, Inc., Cboe BZX 
Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., 
Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., 
Investors' Exchange LLC, Long Term Stock Exchange, Inc., MEMX LLC, 
MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX LLC, 
The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE 
American LLC, NYSE Arca, Inc., NYSE National, Inc, NYSE Texas, Inc., 
and 24X National Exchange LLC. Effective as of March 12, 2026, the 
UTP Plan was amended to reflect the new name of Nasdaq BX, Inc. as 
Nasdaq Texas, Inc. and Texas Stock Exchange LLC was added as a 
participant to the UTP Plan. See Securities Exchange Act Release No. 
105091 (Mar. 27, 2026), 91 FR 16255 (Apr. 1, 2026).
    \3\ 15 U.S.C. 78k-1.
    \4\ 17 CFR 242.608(a).
    \5\ Section III of the UTP Plan defines Processor as the entity 
selected by the Participants to perform the processing functions set 
forth in the UTP Plan.
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    The Proposal was published for comment in the Federal Register on 
January 27, 2026.\6\ The Commission received no comment letters on the 
Proposal. On April 7, 2026, the Participants filed Amendment No. 1 to 
the Proposal, which: (1) specified the date of implementation; (2) 
clarified operational hours consistent with current practice when the 
markets close early; (3) clarified the times of a trade date for the 
Processor; and (4) described the allocation of the development and 
operating costs associated with the Additional Period (as defined 
herein).\7\ On April 17, 2026, the Commission published Amendment No. 1 
for notice and comment and instituted proceedings to determine whether 
to approve or disapprove the Proposal, as amended by Amendment No. 1 
(``Amended Proposal''), or to approve the Amended Proposal with any 
changes or subject to any conditions the Commission deems necessary or 
appropriate after considering public comment.\8\ The Commission 
received no comments on the Amended Proposal. This order approves the 
Amended Proposal.
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    \6\ See Securities Exchange Act Release No. 104670 (Jan. 22, 
2026), 91 FR 3609.
    \7\ See Letter from Jeff Kimsey, Chair, UTP Plan Operating 
Committee, to Vanessa Countryman, Secretary, Commission dated April 
7, 2026 (``Amendment No. 1'').
    \8\ See Securities Exchange Act Release No. 105268, 91 FR 21541 
(April 22, 2026).
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II. Description of the Amended Proposal

    The Participants propose to amend the UTP Plan to extend the 
Processor's hours of operations to receive and disseminate Quotation 
Information, Transaction Reports, and related information in Eligible 
Securities from 9:00 p.m. Eastern Time (``ET'') Sunday to 8:00 p.m. ET 
Friday; provided however, that the Processor will pause operations at 
8:00 p.m. ET on Monday through Thursday for one hour to accommodate 
technical refreshes for the Processor, Participants, and other market 
participants. Other than extending the hours of operations, the 
Processor will operate as it currently does.\9\
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    \9\ See Amended Proposal, supra note 8 at 21542. Unless 
otherwise noted, all capitalized terms used herein have the same 
meaning as is given such terms in the UTP Plan.
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A. Processor's Hours of Operation

1. Background
    UTP Plan section XI.A provides that: (1) Quotation Information may 
be entered by Participants as to all Eligible Securities in which they 
make a market between 9:30 a.m. and 4:00 p.m. ET on all days the 
Processor is in operation and (2) Transaction Reports shall be entered 
by Participants between 9:30 a.m. and 4:01:30 p.m. ET as to all 
Eligible Securities in which they execute transactions between 9:30 
a.m. and 4:00 p.m. ET on all days the Processor is in operation. In 
addition, UTP Plan section XI.D provides that the Processor shall 
collect, process, and disseminate Quotation Information in Eligible 
Securities at other times between 4:00 a.m. and 9:30 a.m. ET, and after 
4:00 p.m. ET, when any Participant or FINRA Participant is open for 
trading, until 8:00 p.m. ET; provided however, that the national best 
bid and offer quotation will not be disseminated before 4:00 a.m. or 
after 8:00 p.m. ET. Accordingly, the current hours of operation of the 
Processor are 4:00 a.m. to 8:00 p.m. ET Monday through Friday, 
excluding holidays.\10\
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    \10\ See also SIPs Submit Plan Amendment to Extend Operating 
Hours to Accommodate Overnight Trading available at https://
www.prnewswire.com/news-releases/sips-submit-plan-amendment-to-
extend-operating-hours-to-accommodate-overnight-trading-
302647034.html?tc=eml_cleartime.
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    Some exchange Participants have adopted rules that will extend 
their hours of operation to provide for trading during hours that are 
outside of the hours of operation for the Processor (``Exchange 
Extended Hours'').\11\ These

[[Page 40059]]

exchange Participants have not started trading during the Exchange 
Extended Hours because their rules state that the exchanges will not 
commence operations until the Equity Data Plans \12\ have (1) 
established a mechanism to collect, consolidate, process and 
disseminate quotation and transaction information at all times during 
the Exchange Extended Hours that is equivalent to the mechanism 
established for times outside of Exchange Extended Hours; and (2) 
provided the exchanges with notification that they are prepared to 
collect, consolidate, process and disseminate quotation and transaction 
information during the Exchange Extended Hours.\13\
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    \11\ See, e.g., Securities Exchange Act Release Nos. 101777 
(Nov. 27, 2024), 89 FR 97092 (Dec. 6, 2024) (Approval of the 24X 
Form 1 application (``24X Approval Order'')) and 104086 (Sept. 26, 
2025), 90 FR 46978 (Sept. 30, 2025) (amending 24X Rule 1.5(c) 
defining the 24X Market Session to generally include times from 9:00 
p.m. through 4:00 a.m. Sunday through Thursday); Securities Exchange 
Act Release No. 105532 (May 21, 2026), 91 FR 31509 (May 27, 2026) 
(amending NYSE Arca Rule 7.34-E(T) to extend NYSE Arca's trading 
hours to 23 hours a day, five days a week); Securities Exchange Act 
Release No. 105199 (Apr. 10, 2026), 91 FR 20222 (Apr. 15, 2026) 
(adopting rules to extend Nasdaq's trading hours to 23 hours a day, 
five days a week); and Securities Exchange Act Release No. 105587 
(May 29, 2026), 91 FR 33238 (June 3, 2026) (adopting rules to extend 
Cboe EDGX's trading hours to 23 hours a day, five days a week).
    \12\ See, e.g., 24X Rule 1.5(o); NYSE Arca Rule 1.1; and Nasdaq 
Equity 1, Sec. 1(a)(16). The ``Equity Data Plans'' are collectively 
the UTP Plan, the CTA/CQ Plans, and the CT Plan LLC.
    \13\ See 24X Rule 1.5(c); NYSE Arca Rule 7.34-E (Preamble); and 
Nasdaq Equity 1. Sec. 1(a)(19).
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2. Extending the Processor's Hours
    The Participants propose to extend the Processor's hours of 
operation to receive and disseminate Quotation Information and 
Transaction Reports in Eligible Securities from 9:00 p.m. to 4:00 a.m. 
ET on Sunday through Thursday (the ``Additional Period'').\14\ As 
proposed, the Processor's hours of operation will begin at 9:00 p.m. ET 
Sunday and continue through 8:00 p.m. ET Friday; provided, however, 
that the Processor would pause operations at 8:00 p.m. ET on Monday 
through Thursday for one hour to accommodate technical refreshes for 
the Processor, Participants, and other market participants.\15\ In the 
event of a holiday where U.S. markets are closed, the Processor would 
not operate from 8:00 p.m. ET the day before the holiday through 9:00 
p.m. ET the day of the holiday.\16\ With respect to a holiday where 
U.S. markets close early on the day before the holiday, the Processor 
would not operate from 5:00 p.m. ET on the day before the holiday 
through 9:00 p.m. ET on the day of the holiday.\17\ The Participants 
stated that the Processor would endeavor to reduce the length of the 
pause where technically feasible, and in the event the length of the 
pause is reduced, the Participants would amend the UTP Plan and notify 
the industry at least 90 days prior to the implementation of a 
reduction.
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    \14\ See proposed UTP Plan section XI.
    \15\ See proposed UTP Plan section XI.A. According to the 
Participants, requiring a pause at 8:00 p.m. ET each Monday through 
Thursday would lessen the cost, complexity, and burden of designing 
a system that did not have a pause.
    \16\ See proposed UTP Plan section XI.A.
    \17\ See proposed UTP Plan section XI.A and Amended Proposal, 
supra note 8 at 21542.
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    Consistent with the current hours of operation, the Participants 
proposed the following provisions regarding the Processor's operation 
during hours outside of Regular Trading Hours: \18\
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    \18\ See Amended Proposal, supra note 8 at 21543. The 
Participants propose amending the UTP Plan to include a definition 
of Regular Trading Hours. See proposed section XI.B and Exhibit 1, 
which state that Regular Trading Hours will have the meaning 
specified in Rule 600 of Regulation NMS. See Amended Proposal, supra 
note 8 at n.19.
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     For transactions reported outside the hours of 9:30 a.m. 
ET and 4:00 p.m. ET, such transactions will be designated as ``.T'' 
trades to denote their execution outside of Regular Trading Hours.\19\
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    \19\ See proposed UTP Plan section XI.C.
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     Late trades will be reported in accordance with the rules 
of the Participant in whose market the transaction occurred and can be 
reported at any time the Processor is able to receive Transaction 
Reports.\20\
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    \20\ See proposed UTP Plan section XI.D.
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     Transactions reported outside the hours of 9:30 a.m. ET 
and 4:00 p.m. ET will be included in the calculation of total trade 
volume for purposes of determining net distributable operating revenue, 
but will not be included in the calculation of the daily high, low, or 
last sale.\21\
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    \21\ See proposed UTP Plan section XI.C.
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     Quote Credits may be earned only in connection with 
quotations transmitted by a Participant to the Processor during Regular 
Trading Hours.\22\
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    \22\ See proposed UTP Plan section Exhibit 1.
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B. Trade Date

    The Participants propose to define a trade date for purposes of the 
UTP Plan.\23\ Specifically, under the UTP Plan, the Processor will 
consider a trade date to be between 8:00 p.m. ET on the day before 
Regular Trading Hours begin and 8:00 p.m. ET on the same day as when 
Regular Trading Hours begin.\24\ For example, Wednesday's trading day 
would be between 8:00 p.m. ET on Tuesday and 8:00 p.m. ET on Wednesday. 
The Participants stated that having the start of a trading day prior to 
the opening of markets would reduce complexity and burden--as the 
alternative would have required a new trading day to start in the 
middle of a trading session (i.e., at midnight)--and would align with 
current practice for venues already trading during the proposed 
extended hours.
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    \23\ See proposed UTP Plan section XI.B.
    \24\ The Participants stated that setting the start of the 
trading day is only applicable to the operation of the Processor. 
The Operating Committee further stated that it does not have the 
authority to set the start of the trading day for rules and 
regulations that might be dependent on when a trading day begins. 
See Amended Proposal, supra note 8 at n.22.
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C. Extended Hours Development and Operating Costs

    As proposed, Participants that utilize the Additional Period are 
required to pay for the development and operating costs and expenses 
which are incurred by the Processor to accommodate the Additional 
Period.\25\ Participants that utilize the Additional Period at a later 
time, will be required to pay a proportionate share of the aggregate 
development costs previously paid by other Participants, and will 
contribute to the operating costs from the point at which it begins 
operating during the Additional Period.\26\ In addition, while the UTP 
Plan contains provisions relating to the allocation of development 
costs for technical enhancements made at the request of a Participant 
and solely for its use, the UTP Plan does not address allocation of 
operating costs in such situations.\27\ Accordingly, the Amended 
Proposal amends the cost allocation provisions to address the 
allocation of operating costs in a manner similar to the Additional 
Period.\28\
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    \25\ See proposed UTP Plan section XI.E.
    \26\ See proposed UTP Plan section XI.E and Amended Proposal, 
supra note 8 at 21543.
    \27\ See UTP Plan section XIII.A.
    \28\ See proposed UTP Plan section XIII.A and Amended Proposal, 
supra note 8 at 21543.
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D. Implementation of the Amended Proposal

    In the Amended Proposal, the Operating Committee stated that it 
``expects that the implementation of the amendment will occur on 
December 6, 2026.'' \29\ The Operating Committee also stated that prior 
to the implementation, the Processor will announce testing dates.\30\
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    \29\ The Proposal stated that the implementation would occur in 
December 2026. See Proposal, supra note 6 at 3610.
    \30\ See Amended Proposal, supra note 8 at 21544.
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    The Amended Proposal also stated that, if approved, the amendments 
to the UTP Plan, ``including the proposed changes to the language of 
the UTP Plan, will not become operative until the Operating Committee 
determines

[[Page 40060]]

that market conditions will support the extended hours of operation.'' 
\31\ The Amended Proposal further stated that the ``specific market 
conditions to be considered by the Operating Committee include, but are 
not limited to, the following:
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    \31\ See Amended Proposal, supra note 8 at 21543.
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     Depository Trust & Clearing Corporation (``DTCC'') offers 
clearing during the extended hours of operation.
     The Processor has implemented changes to symbol directory 
messages as specified in a previously approved change request, which 
requires the Processors to disseminate specified reference information 
for Eligible Securities in symbol directory messages.
     Listing markets are able to support the changes to the 
symbol directory messages, including corporate actions information.
     The Processor will be able to disseminate all quotes and 
trades, including off-exchange trades, during the extended trading 
hours.'' \32\
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    \32\ See Amended Proposal, supra note 8 at 21543. See also 
Proposal, supra note 6 at 3610.
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    In the Amended Proposal, the Participants stated that the 
Processors and listing markets anticipate meeting ``the final three 
requirements before the planned December 6, 2026, launch of the 
extended hours.'' \33\ In addition, in the Amended Proposal, the 
Participants stated that ``based on publicly available information, 
DTCC will support the extended hours by the second quarter of 2026.'' 
\34\
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    \33\ See Amended Proposal, supra note 8 at 21543.
    \34\ See Amended Proposal, supra note 8 at 21543.
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    The Participants also requested a determination by the Commission 
as to whether the ``dissemination of real-time Trade Reporting Facility 
(``TRF'') information outside of Regular Trading Hours is a 
prerequisite for implementation.'' \35\
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    \35\ See Amended Proposal, supra note 8 at 21543-21544. See also 
Proposal, supra note 6 at 3610.
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III. Discussion and Commission Findings

    After careful review, the Commission is approving the Amended 
Proposal. Section 11A of the Act authorizes the Commission, by rule or 
order, to authorize or require the self-regulatory organizations 
(``SROs'') to act jointly with respect to matters as to which they 
share authority under the Act in planning, developing, operating, or 
regulating a facility of the national market system.\36\ Rule 603(b)(3) 
of Regulation NMS, among other things, requires the SROs to act jointly 
pursuant to effective national market system plans to ``disseminate 
consolidated information, including a national best bid and national 
best offer and odd-lot information, on quotations for and transactions 
in NMS stocks.'' \37\ In addition, Rule 608 of Regulation NMS 
authorizes two or more SROs, acting jointly, to file with the 
Commission a proposed amendment to an effective national market system 
plan and Rule 608 provides that the Commission shall approve an 
amendment to an effective national market system plan if it finds that 
the amendment is necessary or appropriate in the public interest, for 
the protection of investors and the maintenance of fair and orderly 
markets, to remove impediments to, and perfect the mechanisms of, a 
national market system, or otherwise in furtherance of the purposes of 
the Act.\38\
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    \36\ See 15 U.S.C. 78k-1(a)(3)(B).
    \37\ 17 CFR 242.603(b)(3).
    \38\ See 17 CFR 242.608(a)(1) and 17 CFR 242.608(b)(2).
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    The Commission has approved the rules of certain national 
securities exchanges that intend to operate during Exchange Extended 
Hours.\39\ As discussed above, as part of the exchange rules to permit 
Exchange Extended Hours, exchange rules require the Equity Data Plans 
to have: (1) established a mechanism to collect, consolidate, process, 
and disseminate quotation and transaction information at all times 
during the Exchange Extended Hours that is equivalent to the mechanism 
established for times outside of Exchange Extended Hours,\40\ and (2) 
provided the exchanges with notification that they are prepared to 
collect, consolidate, process, and disseminate quotation and 
transaction information to accommodate the Exchange Extended Hours.\41\ 
In the Amended Proposal, the Participants stated that ``[o]ther than 
extending the hours of operations, the Processor will operate as it 
currently does.'' \42\ The Commission stated in the context of 
approving Exchange Extended Hours, that requiring the operation of the 
Equity Data Plans during Exchange Extended Hours ``is designed to 
ensure that consolidated quotation and transaction data are provided in 
a manner that is consistent with existing extended hours sessions on 
exchanges.'' \43\ The Amended Proposal will provide for the operation 
of the Processor pursuant to the UTP Plan during the times that 
coincide with the Exchange Extended Hours.\44\
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    \39\ See supra note 11.
    \40\ See supra note 13.
    \41\ See supra note 13.
    \42\ See Amended Proposal, supra note 8 at 21542.
    \43\ See 24X Approval Order, supra note 11 at 97105.
    \44\ Pursuant to the exchanges' rules, the exchanges are 
required to file proposed rule changes confirming that the exchange 
can comply with its obligations under the Act and that the Equity 
Data Plans are prepared to collect, consolidate, process, and 
disseminate quotation and transaction information at all times 
during the Exchange Extended Hours. See 24X Rule 1.5(c); NYSE Arca 
Rule 7.34-E (Preamble); Nasdaq Equity 1., Sec 1(a)(19); and Cboe 
EDGX Rule 1.5(ii).
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    The Amended Proposal will expand the hours of operation for the 
Processor to collect, consolidate, process, and disseminate Quotation 
Information, Transaction Reports, and related information in Eligible 
Securities consistent with the hours of trading that will be available 
on certain national securities exchanges and is available in the over-
the-counter market, which will provide transparency of information with 
respect to quotations for and transactions in NMS stocks during the 
Additional Period. Under the Amended Proposal, other than extending the 
hours of operation, the Processor will operate as it currently 
operates.\45\ Accordingly, the Amended Proposal furthers the goals of 
section 11A of the Act by assuring ``the availability to brokers, 
dealers, and investors of information with respect to quotations for 
and transactions in securities'' \46\ because it amends the UTP Plan to 
require the Processor to collect, consolidate, process, and disseminate 
quotation and transaction information during the Additional Period. The 
Amended Proposal will enhance transparency and promote the goals of the 
national market system during the Additional Period.\47\
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    \45\ See Amended Proposal, supra note 8 at 21542.
    \46\ 15 U.S.C. 78k-1(a)(1)(C)(iii).
    \47\ See, e.g., 15 U.S.C. 78k-1(a)(1)(C)(iii).
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    In addition to amending the hours of the Processor's operations 
under the UTP Plan, the Amended Proposal defines a trade date for 
purposes of the UTP Plan. This definition will help to provide clarity 
as to a specified trade date in light of the Processor's expanded hours 
of operation. Further, the Amended Proposal provides for a one-hour 
trading pause from 8:00 p.m. to 9:00 p.m. ET Monday through Thursday, 
which will provide the Processor, the Participants, and other market 
participants with the time to perform systems updates and refreshes 
prior to the start of a new trade day. These amendments are appropriate 
and will help to support the expanded hours of operation of the 
Processor.
    Moreover, the Amended Proposal amends the UTP Plan to require the 
Participants that operate during the Additional Period to pay for the 
costs

[[Page 40061]]

and expenses to develop and expand the Processor's system to account 
for the Additional Period. Similarly, the Amended Proposal amends the 
UTP Plan to require Participants that decide to operate during the 
Additional Period at a later date, after the initial launch of the 
Additional Period, to pay a proportionate share of the aggregate 
development costs and contribute to the operating costs going forward. 
These amendments are appropriate and consistent with the UTP Plan's 
previous language.
    Finally, the Operating Committee stated that it ``expects that 
implementation of the amendment will occur on December 6, 2026.'' \48\ 
Pursuant to Rule 608(c) of Regulation NMS, the Participants must comply 
with the terms of any effective NMS plan of which it is a sponsor or 
participant and must enforce compliance with the terms of such a plan 
by its members and persons associated with its members.\49\ The 
Participants have proposed amendments to the UTP Plan to accommodate 
the move to overnight trading and have specified the date upon which 
the Operating Committee expects the changes to the operation of the 
Processor under the UTP Plan to occur. Accordingly, under the Amended 
Proposal, the effective UTP Plan that the Participants must comply and 
enforce compliance with will be the UTP Plan as amended by the Amended 
Proposal starting December 6, 2026.\50\
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    \48\ See Amended Proposal, supra note 8 at 21544. Regarding the 
Participants' query about whether dissemination of real-time TRF 
information outside of Regular Trading Hours is a prerequisite for 
implementation, FINRA has announced its plans to amend its TRF 
reporting rules to extend the operating hours of the TRFs starting 
on December 6, 2026, which would align with the Amended Proposal. 
See FINRA, Extension of TRF Operating Hours (May 22, 2026), 
available at https://www.finra.org/filing-reporting/technical-
notices/extension-of-trf-operating-hours.
    \49\ 17 CFR 242.608(c).
    \50\ To the extent that the UTP Plan is unable to implement the 
Amended Proposal by December 6, 2026, the Participants must submit 
an amendment to the UTP Plan pursuant to Rule 608 of Regulation NMS.
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    For the reasons discussed above, the Commission finds that the 
Amended Proposal is consistent with the requirements of the Act and the 
rules and regulations thereunder, and in particular, section 11A of the 
Act, and Rule 608 of Regulation NMS, in that the Amended Proposal is 
necessary or appropriate in the public interest, for the protection of 
investors and the maintenance of fair and orderly markets, to improve 
impediments to, and perfect the mechanisms of, a national market 
system.

IV. Conclusion

    It is therefore ordered, pursuant to section 11A of the Act,\51\ 
and Rule 608(b)(2) thereunder,\52\ that the Amended Proposal to the UTP 
Plan (File No. S7-24-89) is approved.
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    \51\ 15 U.S.C. 78k-1.
    \52\ 17 CFR 242.608(b)(2).

    By the Commission.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026-13212 Filed 6-30-26; 8:45 am]
BILLING CODE 8011-01-P