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NYSE Rulemaking
We invite comments on the following New York Stock Exchange LLC (NYSE; formerly New York Stock Exchange, Inc.) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
Second Quarter | First Quarter
NYSE File Number List for 2013
Additional Archives
2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996
| Release No. |
Date |
Details |
| Second Quarter |
SR-NYSE-2013-32 |
| 34-69590 |
May 16, 2013 |
Notice of Filing of a Proposed Rule Change Proposing an Amendment to the Bylaws of its Wholly-Owned Subsidiary, NYSE Regulation, Inc. ("NYSE Regulation"), to Eliminate a Requirement that Not Less than Two Members of the Board of Directors of NYSE Regulation Must Qualify as "Fair Representation Candidates"
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
 Submit comments on SR-NYSE-2013-32
|
SR-NYSE-2012-57 |
| 34-69575 |
May 14, 2013 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d) - Equities and Related Supplementary Material
Additional File No.: SR-NYSEMKT-2012-58
See also: Notice: Rel. No. 34-68923, Notice: Rel. No. 34-68522, Notice: Rel. No. 34-68185 |
SR-NYSE-2013-33 |
| 34-69565 |
May 13, 2013 |
Notice of Filing of Proposed Rule Change Proposing To: (i) Delete the Sections in the Listed Company Manual (the "Manual") Containing the Listing Application Materials (Including the Listing Application and the Listing Agreement) and Adopt Updated Listing Application Materials that will be Posted on the Exchange's Website; and (ii) Adopt As New Rules Certain Provisions that are Currently Included in the Various Forms of Agreements That Are in the Manual, As Well As Some Additional New Rules that Make Explicit Existing Exchange Policies with Respect to Initial Listings
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-33
|
SR-NYSE-2013-08 |
| 34-69513 |
May 3, 2013 |
Order Granting Approval to Proposed Rule Changes Amending the Attestation Requirement of Rule 107C (NYSE) and 107C - Equities (NYSE MKT) To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
See also: Notice: Rel. No. 34-68747, Notice: Rel. No. 34-69187
|
SR-NYSE-2013-30 |
| 34-69502 |
May 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 to Expand the Availability of Self-Trade Prevention Modifiers
Comments due: May 29, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-30
|
SR-NYSE-2013-29 |
| 34-69441 |
Apr. 24, 2013 |
Notice of Filing of Proposed Rule Change Deleting NYSE Rule 476(a)(8), Which Addresses Wash Sales, in Order to Harmonize the Exchange's Rules With the Rules of the Financial Industry Regulatory Authority
Comments due: May 21, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-29
|
SR-NYSE-2013-21 |
| 34-69427 |
Apr. 23, 2013 |
Notice of Filing of Proposed Rule Change Amending NYSE Rule 104 to Codify Certain Traditional Trading Floor Functions that may be Performed by Designated Market Makers, to make Exchange Systems Available to DMMs that would Provide DMMs with Certain Market Information, to Amend the Exchange's Rules Governing the Ability of DMMs to Provide Market Information to Floor brokers, and to Make Conforming Amendments to Other Rules
Comments due: May 20, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-21
|
SR-NYSE-2013-26 |
| 34-69372 |
Apr. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Provide Relief for Floor Brokers from the Annual Telephone Line Charge for January, February and March 2013
Comments due: May 10, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-26
|
SR-NYSE-2013-24 |
| 34-69298 |
Apr. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Certain Fees for the NYSE Trades and NYSE Realtime Reference Prices Market Data Products
Comments due: May 1, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-NYSE-2013-24
|
SR-NYSE-2013-27 |
| 34-69295 |
Apr. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 1000
Comments due: May 1, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-27
|
SR-NYSE-2013-07 |
| 34-69286 |
Apr. 3, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name, and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform
See also: Notice: Rel. No. 34-68936
|
SR-NYSE-2013-25 |
| 34-69278 |
Apr. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Non-Display Usage Fees for NYSE OpenBook, NYSE Trades, and NYSE BBO and a Redistribution Fee for NYSE OpenBook
Comments due: April 29, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-NYSE-2013-25
|
SR-NYSE-2013-23 |
| 34-69272 |
Apr. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Trades Digital Media Data Feed and a Schedule of the NYSE Proprietary Market Data Fees
Comments due: April 29, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-NYSE-2013-23
|
| First Quarter |
SR-NYSE-2013-22 |
| 34-69225 |
Mar. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Commentary .01 to NYSE Rule 2B, Which Provides an Exception Related to the Exchange's Equity Ownership Interest in BIDS Holdings L.P.
Comments due: April 19, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-22
|
SR-NYSE-2013-08 |
| 34-69187 |
Mar. 20, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Amending the Attestation Requirement of Rules 107C and 107C-Equities, Respectively, To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
See also: Order: Rel. No. 34-69513, Notice: Rel. No. 34-68747
|
SR-NYSE-2013-20 |
| 34-69103 |
Mar. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C to Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as well as in an Agency Capacity
Comments due: April 5, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-20
|
SR-NYSE-2013-17 |
| 34-69102 |
Mar. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Adding Two Self-Trade Prevention ("STP") Modifiers That May Be Used By Certain Market Participants
Comments due: April 5, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-17
|
SR-NYSE-2013-19 |
| 34-69101 |
Mar. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List to Increase the Gross FOCUS Fee
Comments due: April 5, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-19
|
SR-NYSE-2013-02 |
| 34-69045 |
Mar. 5, 2013 |
Order Approving Proposed Rule Change Adopting Investigation, Disciplinary, Sanction, and Other Procedural Rules that are Modeled on the Rules of the Financial Industry Regulatory Authority and To Make Certain Conforming and Technical Changes
See also: Notice: Rel. No. 34-68678
|
SR-NYSE-2013-13 |
| 34-68996 |
Feb. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New York Mercantile Exchange to the Exchange’s Facilities at 20 Broad Street and Amending NYSE Rule 6A, Which Defines the Terms “Trading Floor” and “NYSE Amex Options Trading Floor”
Comments due: March 26, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2013-14 |
| 34-68958 |
Feb. 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully restored or Friday, March 29, 2013
Comments due: March 19, 2013
|
SR-NYSE-2013-07 |
| 34-68936 |
Feb. 15, 2013 |
Notice of Filing of Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform
Comments due: March 15, 2013
Additional Materials: Exhibit 2, Exhibit 5
See also: Notice: Rel. No. 34-69286
Comments received are available for this proposal.
Submit comments on SR-NYSE-2013-07
|
SR-NYSE-2012-57 |
| 34-68923 |
Feb. 13, 2013 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d) - Equities and Related Supplementary Material
Additional File No.: SR-NYSEMKT-2012-58
Comments due: March 13, 2013
Rebuttal comments due: March 27, 2013
See also: Notice: Rel. No. 34-69575, Notice: Rel. No. 34-68522, Notice: Rel. No. 34-68185 |
SR-NYSE-2013-09 |
| 34-68876 |
Feb. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C to Establish Rules to Comply with the Requirements of the Plan to Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS
Comments due: March 7, 2013
Additional Materials: Exhibit 5
|
SR-NYSE-2013-12 |
| 34-68861 |
Feb. 7, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Cease Operating New York Block Exchange and Contemporaneously Delete the Text of Rule 1600, Which Governs NYBX Functionality
Comments due: March 6, 2013
Additional Materials: Exhibit 5
|
SR-NYSE-2013-11 |
| 34-68804 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, which Governs Clearly Erroneous Executions, Extending the Effective Date of the Pilot Until September 30, 2013 and Adopting New Paragraph (i) to NYSE Rule 128 in Connection with the Upcoming Operation of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act
Comments due: February 27, 2013
Additional Materials: Exhibit 5
|
SR-NYSE-2013-10 |
| 34-68784 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of A Rule Change to NYSE Rule 80B, Which Provides for Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility, From the Date of February 4, 2013, Until April 8, 2013
Comments due: February 27, 2013
|
SR-NYSE-2013-08 |
| 34-68747 |
Jan. 28, 2013 |
Notice of Filing of Proposed Rule Change Amending the Attestation Requirement of Rule 107C To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
Comments due: February 25, 2013
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-69513, Notice: Rel. No. 34-69187
Comments received are available for this proposal.
|
SR-NYSE-2013-05 |
| 34-68745 |
Jan. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C, which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014
Comments due: February 25, 2013
Additional Materials: Exhibit 5
|
SR-NYSE-2013-03 |
| 34-68724 |
Jan. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 440B to Provide How the Trigger Price Will Be Calculated if Trading Is Interrupted Because of a Systems or Technical Issue and Is Not Restored During the Trading Day
Comments due: February 20, 2013
|
SR-NYSE-2013-04 |
| 34-68709 |
Jan. 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 107C To Allow Retail Liquidity Providers to Enter Retail Price Improvement Orders in a Non-RLP Capacity for Securities to Which the RLP is Not Assigned
Comments due: February 19, 2013
Additional Materials: Exhibit 5
|
SR-NYSE-2013-06 |
| 34-68704 |
Jan. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, February 15, 2013
Comments due: February 19, 2013
|
SR-NYSE-2013-02 |
| 34-68678 |
Jan. 16, 2013 |
Notice of Filing of Proposed Rule Change Adopting Investigation, Disciplinary, Sanction, and Other Procedural Rules that are Modeled on the Rules of the Financial Industry Regulatory Authority and To Make Certain Conforming and Technical Changes
Comments due: February 14, 2013
Additional Materials: Exhibit 3, Exhibit 5
See also: Order: Rel. No. 34-69045
|
SR-NYSE-2013-01 |
| 34-68658 |
Jan. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program that Provides an Exception to NYSE Rule 2B by Permitting the Exchange's Equity Ownership Interest in BIDS Holdings L.P.
Comments due: February 12, 2013
|
SR-NYSE-2012-49 |
| 34-68639 |
Jan. 11, 2013 |
Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval for Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, to Amend the Listing Rules for Compensation Committees to Comply with Securities Exchange Act Rule 10C-1 and Make Other Related Changes
Comments due: February 12, 2013
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-68313, Notice: Rel. No. 34-68011
|
SR-NYSE-2012-54 |
| 34-68635 |
Jan. 11, 2013 |
Order Granting Approval to Proposed Rule Change Amending the Listed Company Manual Section 204.00 to Create a Uniform Method for a Company to Provide Notice to the Exchange When Required Pursuant to Sections 204.06, 204.12, 204.17, 204.21, 204.22, 311.01, 401.02, and 601.00 of the Listed Company Manual, and to Make Conforming Changes
See also: Notice: Rel. No. 34-68276
|
SR-NYSE-2012-80 |
| 34-68607 |
Jan. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Increasing The Fees Paid by Participants in the Exchange's Medallion Signature Program from $1,000 Per Year to $1,300 Per Year
Comments due: February 5, 2013
Additional Materials: Exhibit 5
|
SR-NYSE-2012-77 |
| 34-68587 |
Jan. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price With Respect to Regulatory Fees Related to the Central Registration Depository, Which Are Collected By the Financial Industry Regulatory Authority, Inc.
Comments due: February 1, 2013
Additional Materials: Exhibit 5
|
SR-NYSE-2012-79 |
| 34-68580 |
Jan. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Adopt a Trading License Fee for Calendar Year 2013
Comments due: January 31, 2013
Additional Materials: Exhibit 5
|
SR-NYSE-2012-78 |
| 34-68579 |
Jan. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Eliminating Certain Credits Within the New York Stock Exchange LLC Price List
Comments due: January 31, 2013
Additional Materials: Exhibit 5
|
SR-NYSE-2012-76 |
| 34-68560 |
Jan. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of its Supplemental Liquidity Providers Pilot (Rule 107B) Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 2013
Comments due: January 29, 2013
Additional Materials: Exhibit 5
|
SR-NYSE-2012-75 |
| 34-68558 |
Jan. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2013
Comments due: January 29, 2013
Additional Materials: Exhibit 5
|
| NYSE File Number List for 2013 |
| Release No. |
Date |
Details |
SR-NYSE-2013-33 |
| 34-69565 |
May 13, 2013 |
Notice of Filing of Proposed Rule Change Proposing To: (i) Delete the Sections in the Listed Company Manual (the "Manual") Containing the Listing Application Materials (Including the Listing Application and the Listing Agreement) and Adopt Updated Listing Application Materials that will be Posted on the Exchange's Website; and (ii) Adopt As New Rules Certain Provisions that are Currently Included in the Various Forms of Agreements That Are in the Manual, As Well As Some Additional New Rules that Make Explicit Existing Exchange Policies with Respect to Initial Listings
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-33
|
SR-NYSE-2013-32 |
| 34-69590 |
May 16, 2013 |
Notice of Filing of a Proposed Rule Change Proposing an Amendment to the Bylaws of its Wholly-Owned Subsidiary, NYSE Regulation, Inc. ("NYSE Regulation"), to Eliminate a Requirement that Not Less than Two Members of the Board of Directors of NYSE Regulation Must Qualify as "Fair Representation Candidates"
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-32
|
SR-NYSE-2013-30 |
| 34-69502 |
May 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 to Expand the Availability of Self-Trade Prevention Modifiers
Comments due: May 29, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-30
|
SR-NYSE-2013-29 |
| 34-69441 |
Apr. 24, 2013 |
Notice of Filing of Proposed Rule Change Deleting NYSE Rule 476(a)(8), Which Addresses Wash Sales, in Order to Harmonize the Exchange's Rules With the Rules of the Financial Industry Regulatory Authority
Comments due: May 21, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-29
|
SR-NYSE-2013-27 |
| 34-69295 |
Apr. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 1000
Comments due: May 1, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-27
|
SR-NYSE-2013-26 |
| 34-69372 |
Apr. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Provide Relief for Floor Brokers from the Annual Telephone Line Charge for January, February and March 2013
Comments due: May 10, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-26
|
SR-NYSE-2013-25 |
| 34-69278 |
Apr. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Non-Display Usage Fees for NYSE OpenBook, NYSE Trades, and NYSE BBO and a Redistribution Fee for NYSE OpenBook
Comments due: April 29, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-NYSE-2013-25
|
SR-NYSE-2013-24 |
| 34-69298 |
Apr. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Certain Fees for the NYSE Trades and NYSE Realtime Reference Prices Market Data Products
Comments due: May 1, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-NYSE-2013-24
|
SR-NYSE-2013-23 |
| 34-69272 |
Apr. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Trades Digital Media Data Feed and a Schedule of the NYSE Proprietary Market Data Fees
Comments due: April 29, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-NYSE-2013-23
|
SR-NYSE-2013-22 |
| 34-69225 |
Mar. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Commentary .01 to NYSE Rule 2B, Which Provides an Exception Related to the Exchange's Equity Ownership Interest in BIDS Holdings L.P.
Comments due: April 19, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-22
|
SR-NYSE-2013-21 |
| 34-69427 |
Apr. 23, 2013 |
Notice of Filing of Proposed Rule Change Amending NYSE Rule 104 to Codify Certain Traditional Trading Floor Functions that may be Performed by Designated Market Makers, to make Exchange Systems Available to DMMs that would Provide DMMs with Certain Market Information, to Amend the Exchange's Rules Governing the Ability of DMMs to Provide Market Information to Floor brokers, and to Make Conforming Amendments to Other Rules
Comments due: May 20, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-21
|
SR-NYSE-2013-20 |
| 34-69103 |
Mar. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C to Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as well as in an Agency Capacity
Comments due: April 5, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-20
|
SR-NYSE-2013-19 |
| 34-69101 |
Mar. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List to Increase the Gross FOCUS Fee
Comments due: April 5, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-19
|
SR-NYSE-2013-17 |
| 34-69102 |
Mar. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Adding Two Self-Trade Prevention ("STP") Modifiers That May Be Used By Certain Market Participants
Comments due: April 5, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2013-17
|
SR-NYSE-2013-14 |
| 34-68958 |
Feb. 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully restored or Friday, March 29, 2013
Comments due: March 19, 2013
|
SR-NYSE-2013-13 |
| 34-68996 |
Feb. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New York Mercantile Exchange to the Exchange’s Facilities at 20 Broad Street and Amending NYSE Rule 6A, Which Defines the Terms “Trading Floor” and “NYSE Amex Options Trading Floor”
Comments due: March 26, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2013-12 |
| 34-68861 |
Feb. 7, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Cease Operating New York Block Exchange and Contemporaneously Delete the Text of Rule 1600, Which Governs NYBX Functionality
Comments due: March 6, 2013
Additional Materials: Exhibit 5
|
SR-NYSE-2013-11 |
| 34-68804 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, which Governs Clearly Erroneous Executions, Extending the Effective Date of the Pilot Until September 30, 2013 and Adopting New Paragraph (i) to NYSE Rule 128 in Connection with the Upcoming Operation of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act
Comments due: February 27, 2013
Additional Materials: Exhibit 5
|
SR-NYSE-2013-10 |
| 34-68784 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of A Rule Change to NYSE Rule 80B, Which Provides for Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility, From the Date of February 4, 2013, Until April 8, 2013
Comments due: February 27, 2013
|
SR-NYSE-2013-09 |
| 34-68876 |
Feb. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C to Establish Rules to Comply with the Requirements of the Plan to Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS
Comments due: March 7, 2013
Additional Materials: Exhibit 5
|
SR-NYSE-2013-08 |
| 34-69513 |
May 3, 2013 |
Order Granting Approval to Proposed Rule Changes Amending the Attestation Requirement of Rule 107C (NYSE) and 107C - Equities (NYSE MKT) To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders" |
| 34-69187 |
Mar. 20, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Amending the Attestation Requirement of Rules 107C and 107C-Equities, Respectively, To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
|
| 34-68747 |
Jan. 28, 2013 |
Notice of Filing of Proposed Rule Change Amending the Attestation Requirement of Rule 107C To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
Comments due: February 25, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2013-07 |
| 34-69286 |
Apr. 3, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name, and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform
|
| 34-68936 |
Feb. 15, 2013 |
Notice of Filing of Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform
Comments due: March 15, 2013
Additional Materials: Exhibit 2, Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-NYSE-2013-07
|
SR-NYSE-2013-06 |
| 34-68704 |
Jan. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, February 15, 2013
Comments due: February 19, 2013
|
SR-NYSE-2013-05 |
| 34-68745 |
Jan. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C, which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014
Comments due: February 25, 2013
Additional Materials: Exhibit 5
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SR-NYSE-2013-04 |
| 34-68709 |
Jan. 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 107C To Allow Retail Liquidity Providers to Enter Retail Price Improvement Orders in a Non-RLP Capacity for Securities to Which the RLP is Not Assigned
Comments due: February 19, 2013
Additional Materials: Exhibit 5
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SR-NYSE-2013-03 |
| 34-68724 |
Jan. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 440B to Provide How the Trigger Price Will Be Calculated if Trading Is Interrupted Because of a Systems or Technical Issue and Is Not Restored During the Trading Day
Comments due: February 20, 2013
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SR-NYSE-2013-02 |
| 34-69045 |
Mar. 5, 2013 |
Order Approving Proposed Rule Change Adopting Investigation, Disciplinary, Sanction, and Other Procedural Rules that are Modeled on the Rules of the Financial Industry Regulatory Authority and To Make Certain Conforming and Technical Changes
|
| 34-68678 |
Jan. 16, 2013 |
Notice of Filing of Proposed Rule Change Adopting Investigation, Disciplinary, Sanction, and Other Procedural Rules that are Modeled on the Rules of the Financial Industry Regulatory Authority and To Make Certain Conforming and Technical Changes
Comments due: February 14, 2013
Additional Materials: Exhibit 3, Exhibit 5
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SR-NYSE-2013-01 |
| 34-68658 |
Jan. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program that Provides an Exception to NYSE Rule 2B by Permitting the Exchange's Equity Ownership Interest in BIDS Holdings L.P.
Comments due: February 12, 2013
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http://www.sec.gov/rules/sro/nyse.shtml
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