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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
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

NYSE File Number List for 2014

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NYSE-2014-53
34-73373 Oct. 16, 2014 Notice of Filing of Proposed Rule Change in Connection with the Proposed Termination of the Amended and Restated Trust Agreement, dated as of November 13, 2013 and Amended on June 2, 2014 by and Among NYSE Holdings LLC, a Delaware Limited Liability Company, NYSE Group, Inc., a Delaware Corporation, Wilmington Trust Company, as Delaware Trustee, and each of Jacques de Larosière de Champfeu, Alan Trager and John Shepard Reed, as Trustees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSE-2014-50
34-73352 Oct. 15, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 to Specify that Exchange Systems Can Publish Pre-Opening Indications and To Extend the Time Order Imbalance Information is Disseminated When An Opening is Delayed
Comments due: November 12, 2014

SR-NYSE-2014-32
34-73333 Oct. 9, 2014 Order Approving Proposed Rule Changes Amending Exchange Rule 13 to Make the Add Liquidity Only Modifier Available for Limit Orders, and Make the Day Time-In-Force Condition and Add Liquidity Only Modifier Available for Intermarket Sweep Orders
Additional File No.: SR-NYSEMKT-2014-56
See also:  Notice: Rel. No. 34-72893, Notice: Rel. No. 34-72548

SR-NYSE-2014-55
34-73325 Oct. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Amendments to Reflect Recent Deletion of Rule 343
Comments due: November 6, 2014

SR-NYSE-2014-54
34-73304 Oct. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change that Constitutes a Stated Interpretation with Respect to the Meaning, Administration, and Enforcement of Rule 46
Comments due: October 31, 2014
Third Quarter

SR-NYSE-2014-52
34-73265 Sep. 30, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 102.01C of the NYSE Listed Company Manual to Adopt a New Global Market Capitalization Test Initial Listing Standard for Operating Companies and to Eliminate All of the Current Initial Listing Standards for Operating Companies Except the Earnings Test
Comments due: October 27, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-51
34-73153 Sep. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.03, 902.04, 902.05, 902.06 and 902.08 of the Listed Company Manual to Increase Certain of the Fees Set Forth Therein and to Delete Obsolete Rule Text
Comments due: October 16, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-40
34-73137 Sep. 18, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Establishing the NYSE Best Quote & Trades Data Feed
See also: Notice: Rel. No. 34-72750

SR-NYSE-2014-39
34-73096 Sep. 15, 2014 Order Approving Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented from the Exchange
See also: Notice: Rel. No. 34-72681

SR-NYSE-2014-49
34-73071 Sep. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Amend Section 107.03 of the Listed Company Manual to Provide That No Security Shall Be Approved for Listing on the Exchange That is Delinquent in its Filing Obligation With the Securities and Exchange Commission
Comments due: October 7, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-48
34-73028 Sep. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 49, Which Addresses the Exchange's Emergency Powers Revising How Certain Messages are Disseminated
Comments due: October 6, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-47
34-73021 Sep. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List to Provide that the Monthly DMM Credit for Certain Securities be Prorated to the Number of Trading Days in a Month that a Security is Assigned to a DMM
Comments due: October 6, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-45
34-72973 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Establish a Billing Practice with Respect to Billing Disputes
Comments due: September 30, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-46
34-72960 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Increase Certain Fees for Executions at the Close; Simplify the "Tier Adding Credits" for Non-Floor Brokers and Increase the Credit for One Tier; Decrease the Fee and Increase the Credit for Midpoint Passive Liquidity Orders; Eliminate the Transaction Rate for Floor Broker Volume That "Steps Up" over a Baseline Month and Increase a Related Fee for Floor Broker Transactions; Eliminate a Volume Tier and Decrease a Credit Related to Executions of Orders Sent to the Floor Broker That Add Liquidity on the Exchange; Increase a Volume Requirement and Corresponding Credit for Supplemental Liquidity Providers When Adding Liquidity in Assigned Securities; and Adjust the Pricing Related to the Retail Liquidity Program Under Rule 107C
Comments due: September 30, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-43
34-72923 Aug. 26, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE OpenBook, NYSE Trades, and NYSE BBO, and to Establish Fees for Non-Display Use of NYSE Order Imbalances
Comments due: September 23, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-44
34-72916 Aug. 26, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to (i) Delete Obsolete Rules Relating to Exchange-listed Options Trading and Related References (NYSE Rules 700 - 794); (ii) Delete Obsolete Rules Related to the Defunct Exchange Stock Portfolio Service and Related References (NYSE Rules 800 - 817); and (iii) Amend NYSE Rules 15A and 123D to Remove Outdated References to the Terminated Intermarket Trading System Plan
Comments due: September 23, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-32
34-72893 Aug. 21, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 13 to Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders
See also: Order: Rel. No. 34-73333, Notice: Rel. No. 34-72548

SR-NYSE-2014-42
34-72805 Aug. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List to Modify the Tier 2 Adding Credit
Comments due: September 5, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-41
34-72778 Aug. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Relating to Certain Transactions Involving Floor Brokers
Comments due: September 2, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-40
34-72750 Aug. 4, 2014 Notice of Filing of Proposed Rule Change Establishing the NYSE Best Quote & Trades Data Feed
Comments due: August 29, 2014
See also: Notice: Rel. No. 34-73137
Comments received are available for this proposal.

SR-NYSE-2011-55
34-72732 Jul. 31, 2014 Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs Until March 31, 2015
Additional File No.: SR-NYSEAmex-2011-84
Comments received are available for this proposal.
See also:  Incoming Letter

SR-NYSE-2014-37
34-72721 Jul. 30, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List Related to Co-location Services
Comments due: August 26, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2014-38
34-72710 Jul. 29, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance
Comments due: August 26, 2014
Comments received are available for this proposal.

SR-NYSE-2014-39
34-72681 Jul. 28, 2014 Notice of Filing of Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented from the Exchange
Comments due: August 22, 2014
See also: Order: Rel. No. 34-73096

SR-NYSE-2014-36
34-72632 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Merge New York Block Exchange LLC into NYSE and, Effective as of the Consummation of the Merger, Delete the Text of the Limited Liability Company Agreement of New York Block Exchange LLC
Comments due: August 12, 2014

SR-NYSE-2014-35
34-72629 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Until March 31, 2015
Comments due: August 12, 2014

SR-NYSE-2014-34
34-72628 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Currently Scheduled to Expire on July 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or December 31, 2014
Comments due: August 12, 2014

SR-NYSE-2014-33
34-72627 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of its New Market Model Pilot, Currently Scheduled to Expire on July 31, 2014, Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or December 31, 2014
Comments due: August 12, 2014

SR-NYSE-2014-32
34-72548 Jul. 7, 2014 Notice of Filing of Proposed Rule Change Amending Rule 13 to Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders
Comments due: August 1, 2014
See also: Order: Rel. No. 34-73333, Notice: Rel. No. 34-72893
Comments received are available for this proposal.

SR-NYSE-2014-12
34-72534 Jul. 3, 2014 Order Approving Proposed Rule Change Amending Rule 98 to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
See also: Notice: Rel. No. 34-72203, Notice: Rel. No. 34-71837

SR-NYSE-2013-72
34-72512 Jul. 1, 2014 Notice of Withdrawal of Proposed Rule Changes to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Additional File No.: SR-NYSEMKT-2013-91
See also: Notice: Rel. No. 34-72205, Notice: Rel. No. 34-71609, Notice: Rel. No. 34-71267, Notice: Rel. No. 34-70909

SR-NYSE-2014-30
34-72511 Jul. 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List to Add Certain Charges for Hosting Equipment to Support Internet Connections for Member Organizations Operating on the Floor of the Exchange Starting January 1, 2015
Comments due: July 29, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-31
34-72501 Jul. 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 86 to Extend the SMHours for the Core Bond Trading Session for NYSE Bonds and Amending Rule 88 to Make Corresponding Changes Related to Bonds Liquidity Providers
Comments due: July 29, 2014
Additional Materials: Exhibit 5
Second Quarter

SR-NYSE-2014-22
34-72434 Jun. 19, 2014 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
See also: Notice: Rel. No. 34-72052

SR-NYSE-2014-27
34-72327 Jun. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE BBO Market Data Product Offering
Comments due: July 2, 2014

SR-NYSE-2014-28
34-72302 Jun. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Eliminate a Credit for Certain Non-Floor Broker Transactions
Comments due: June 30, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-26
34-72253 May 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 13 to Introduce a New "Retail" Modifier for Orders and to Make Related, Administrative Changes to Its Price List
Comments due: June 23, 2014
Additional Materials: Exhibit 5

SR-NYSE-2013-72
34-72205 May 21, 2014 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Additional File No.: SR-NYSEMKT-2013-91
See also: Notice: Rel. No. 34-72512, Notice: Rel. No. 34-71609, Notice: Rel. No. 34-71267, Notice: Rel. No. 34-70909

SR-NYSE-2014-12
34-72203 May 21, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 98 to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
See also:  Order: Rel. No. 34-72534; Notice: Rel. No. 34-71837

SR-NYSE-2014-23
34-72158 May 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Name Changes of Its Ultimate Parent, IntercontinentalExchange Group, Inc., and Its Indirect Parents, IntercontinentalExchange, Inc. and NYSE Euronext Holdings LLC
Comments due: June 9, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-24
34-72147 May 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.02 of the Listed Company Manual to Modify How It Calculates Annual Fees for Certain Issuers in Their First Year of Listing on the Exchange Which Will Result in Large Issuers Receiving a Reduction in their First Year's Annual Fee That Is Proportional to Their Reduced Time Listed on the Exchange
Comments due: June 6, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-25
34-72123 May 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List, Effective May 2, 2014, to Set Forth a Fee for a Bond Trading License under Rule 87 and a Rebate for Bond Liquidity Providers that Bring Liquidity to the Exchange's Bond Market in Accordance with Rule 88 and to Delete an Obsolete Fee
Comments due: June 4, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-22
34-72052 Apr. 30, 2014 Notice of Filing of Proposed Rule Change Adding New Paragraphs (j) and (k) to Rule 128, Entitled "Clearly Erroneous Executions For NYSE Equities" 1 2 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the "Act") and 3Rule 19b-4 thereunder, notice is hereby given that, on April 21, 2014, New York Stock Exchange LLC ("NYSE" or the "Exchange") filed with the Securities and Exchange Commission (the "Commission") the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due: May 27, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72434

SR-NYSE-2014-08
34-72026 Apr. 25, 2014 Order Approving a Proposed Rule Change to Adopt the Bond Trading License and the Bond Liquidity Provider Progra
See also: Notice: Rel. No. 34-71671

SR-NYSE-2014-21
34-71989 Apr. 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 343 and Its Interpretation to Harmonize the NYSE's Rules with Changes by Financial Industry Regulatory Authority, Inc. to Amend the Uniform Branch Office Registration Form
Comments due: May 19, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-20
34-71986 Apr. 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 9268, 9559, and 9620 to conform the Exchange's rules to changes recently adopted by the Financial Industry Regulatory Authority, Inc.
Comments due: May 19, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-16
34-71897 Apr. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Governing Pegging Interest
Comments due: May 5, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-18
34-71890 Apr. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List for Certain Executions at the Opening
Comments due: May 2, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-15
34-71879 Apr. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Introduce a New Credit for Certain Retail Providing Liquidity on the Exchange
Comments due: May 1, 2014

SR-NYSE-2014-12
34-71837 Apr. 1, 2014 Notice of Filing of Proposed Rule Change Amending Rule 98 to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
Comments due: April 28, 2014
Additional Materials:  Exhibit 5
See also: Order: Rel. No. 34-72534; Notice: Rel. No. 34-72203
Comments received are available for this proposal.
First Quarter

SR-NYSE-2014-17
34-71821 Mar. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128, entitled "Clearly Erroneous Executions For NYSE Equities"
Comments due: April 23, 2014
Additional Materials:  Exhibit 5

SR-NYSE-2014-04
34-71721 Mar. 13, 2014 Order Granting Approval of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange, Inc.
Additional File Nos.: SR-NYSEMKT-2014-10, SR-NYSEArca-2014-08
See also:  Notice: Rel. No. 34-71393

SR-NYSE-2014-10
34-71718 Mar. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Specify Pricing Applicable to Executions of Mid-Point Passive Liquidity Orders Against Retail Orders within the Retail Liquidity Program, effective March 1, 2014
Comments due: April 9, 2014

SR-NYSE-2014-11
34-71689 Mar. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Modify the Current Adding Credit Tiers and Add a New Adding Credit Tier
Comments due: April 7, 2014
Additional Materials:  Exhibit 5

SR-NYSE-2014-09
34-71684 Mar. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Price List and to Make the Fee Changes Operative March 1, 2014
Comments due: April 7, 2014

SR-NYSE-2014-08
34-71671 Mar. 10, 2014 Notice of Filing of Proposed Rule Change to Adopt the Bond Trading License and the Bond Liquidity Provider Programs Pursuant to NYSE Rules 87 and 88
Comments due: April 4, 2014
Additional Materials:  Exhibit 5
See also: Order: Rel. No. 34-72026

SR-NYSE-2014-02
34-71620 Feb. 27, 2014 Order Granting Approval of Proposed Rule Change Amending Supplementary Material .20 to NYSE Rule 103 Setting Forth Net Liquid Assets Requirements for Member Organizations that Operate as Designated Market Maker Units
See also:  Notice: Rel. No. 34-71360

SR-NYSE-2013-72
34-71609 Feb. 25, 2014 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Rebuttal comments due: April 7, 2014
Additional File No.: SR-NYSEMKT-2013-91
See also: Notice: Rel. No. 34-72512, Notice: Rel. No. 34-72205, Notice: Rel. No. 34-71267, Notice: Rel. No. 34-70909

SR-NYSE-2014-07
34-71488 Feb. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 13 to Modify The Manner By Which MPL-ALO Orders Trade When Triggered By Arriving Interest
Comments due: March 4, 2014
Additional Materials:  Exhibit 5

SR-NYSE-2014-06
34-71454 Jan. 31, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to (i) Increase the Credit for Agency Cross Trades; (ii) Increase the Fee for Certain Executions at the Close; (iii) Increase the "Tier 1 Adding Credit;" (iv) Increase the Fee for Certain Floor broker Discretionary e-Quotes; (v) Increase the Credit for Certain Floor broker Executions that Add Liquidity; (vi) Increase the Credit for Certain Supplemental Liquidity Provider Executions; and (vii) Increase the Fee for Executions in Crossing Session II
Comments due: February 27, 2014

SR-NYSE-2014-05
34-71452 Jan. 31, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Introduce Fees and Credits for A New Order Type Called a Midpoint Passive Liquidity Order
Comments due: February 27, 2014
Additional Materials:  Exhibit 5

SR-NYSE-2014-04
34-71393 Jan. 24, 2014 Notice of Filing of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange, Inc.
Comments due: February 20, 2014
Additional Materials:  Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D1, Exhibit 5D2,   Exhibit 5E, and Exhibit 5F
See also:  Order: Rel. No. 34-71721

SR-NYSE-2014-03
34-71362 Jan. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend the Operation of its Supplemental Liquidity Providers Pilot, Currently Scheduled to Expire on January 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or July 31, 2014
Comments due: February 18, 2014
Additional Materials:  Exhibit 5

SR-NYSE-2014-02
34-71360 Jan. 21, 2014 Notice of Filing of Proposed Rule Change Amending Supplementary Material .20 to Rule 103 Which Sets Forth Net Liquid Assets Requirements for Member Organizations that Operate as Designated Market Maker Units
Comments due: February 18, 2014
See also:  Notice: Rel. No. 34-71620

SR-NYSE-2014-01
34-71345 Jan. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend 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, 2014
Comments due: February 14, 2014

SR-NYSE-2013-71
34-71330 Jan. 16, 2014 Order Approving Proposed Rule Change Amending NYSE Rules 13, 70.25, 107C and 1000 to Adopt a New Order Type Called a Midpoint Passive Liquidity Order
See also:  Notice: Rel. No. 34-70956

SR-NYSE-2013-83
34-71273 Jan. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Effective as of January 1, 2014 Recently Approved Changes to NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual Concerning Charges by Member Organizations for Processing and Forwarding Proxy and Other Issuer Communications to Beneficial Owners, and Establishing a Fee Under Certain Conditions for an Enhanced Brokers' Internet Platform
Comments due: February 5, 2014
Additional Materials:  Exhibit 5

SR-NYSE-2013-72
34-71267 Jan. 9, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Additional File No.: SR-NYSEMKT-2013-91
See also: Notice: Rel. No. 34-72512, Notice: Rel. No. 34-72205, Notice: Rel. No. 34-71609, Notice: Rel. No. 34-70909

SR-NYSE-2013-84
34-71246 Jan. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C(7)(b) to Provide that G Orders with A Price Equal to the Closing Price Are the Last Interest Eligible To Be Used to Offset A Closing Imbalance
Comments due: February 3, 2014
Comments received are available for this proposal.


NYSE File Number List for 2014
Release No. Date Details

SR-NYSE-2014-55
34-73325 Oct. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Amendments to Reflect Recent Deletion of Rule 343
Comments due: November 6, 2014

SR-NYSE-2014-54
34-73304 Oct. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change that Constitutes a Stated Interpretation with Respect to the Meaning, Administration, and Enforcement of Rule 46
Comments due: October 31, 2014

SR-NYSE-2014-53
34-73373 Oct. 16, 2014 Notice of Filing of Proposed Rule Change in Connection with the Proposed Termination of the Amended and Restated Trust Agreement, dated as of November 13, 2013 and Amended on June 2, 2014 by and Among NYSE Holdings LLC, a Delaware Limited Liability Company, NYSE Group, Inc., a Delaware Corporation, Wilmington Trust Company, as Delaware Trustee, and each of Jacques de Larosière de Champfeu, Alan Trager and John Shepard Reed, as Trustees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSE-2014-52
34-73265 Sep. 30, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 102.01C of the NYSE Listed Company Manual to Adopt a New Global Market Capitalization Test Initial Listing Standard for Operating Companies and to Eliminate All of the Current Initial Listing Standards for Operating Companies Except the Earnings Test
Comments due: October 27, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-51
34-73153 Sep. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.03, 902.04, 902.05, 902.06 and 902.08 of the Listed Company Manual to Increase Certain of the Fees Set Forth Therein and to Delete Obsolete Rule Text
Comments due: October 16, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-50
34-73352 Oct. 15, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 to Specify that Exchange Systems Can Publish Pre-Opening Indications and To Extend the Time Order Imbalance Information is Disseminated When An Opening is Delayed
Comments due: November 12, 2014

SR-NYSE-2014-49
34-73071 Sep. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Amend Section 107.03 of the Listed Company Manual to Provide That No Security Shall Be Approved for Listing on the Exchange That is Delinquent in its Filing Obligation With the Securities and Exchange Commission
Comments due: October 7, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-48
34-73028 Sep. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 49, Which Addresses the Exchange's Emergency Powers Revising How Certain Messages are Disseminated
Comments due: October 6, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-47
34-73021 Sep. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List to Provide that the Monthly DMM Credit for Certain Securities be Prorated to the Number of Trading Days in a Month that a Security is Assigned to a DMM
Comments due: October 6, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-46
34-72960 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Increase Certain Fees for Executions at the Close; Simplify the "Tier Adding Credits" for Non-Floor Brokers and Increase the Credit for One Tier; Decrease the Fee and Increase the Credit for Midpoint Passive Liquidity Orders; Eliminate the Transaction Rate for Floor Broker Volume That "Steps Up" over a Baseline Month and Increase a Related Fee for Floor Broker Transactions; Eliminate a Volume Tier and Decrease a Credit Related to Executions of Orders Sent to the Floor Broker That Add Liquidity on the Exchange; Increase a Volume Requirement and Corresponding Credit for Supplemental Liquidity Providers When Adding Liquidity in Assigned Securities; and Adjust the Pricing Related to the Retail Liquidity Program Under Rule 107C
Comments due: September 30, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-45
34-72973 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Establish a Billing Practice with Respect to Billing Disputes
Comments due: September 30, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-44
34-72916 Aug. 26, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to (i) Delete Obsolete Rules Relating to Exchange-listed Options Trading and Related References (NYSE Rules 700 - 794); (ii) Delete Obsolete Rules Related to the Defunct Exchange Stock Portfolio Service and Related References (NYSE Rules 800 - 817); and (iii) Amend NYSE Rules 15A and 123D to Remove Outdated References to the Terminated Intermarket Trading System Plan
Comments due: September 23, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-43
34-72923 Aug. 26, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE OpenBook, NYSE Trades, and NYSE BBO, and to Establish Fees for Non-Display Use of NYSE Order Imbalances
Comments due: September 23, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-42
34-72805 Aug. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List to Modify the Tier 2 Adding Credit
Comments due: September 5, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-41
34-72778 Aug. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Relating to Certain Transactions Involving Floor Brokers
Comments due: September 2, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-40
34-73137 Sep. 18, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Establishing the NYSE Best Quote & Trades Data Feed
34-72750 Aug. 4, 2014 Notice of Filing of Proposed Rule Change Establishing the NYSE Best Quote & Trades Data Feed
Comments due: August 29, 2014
Comments received are available for this proposal.

SR-NYSE-2014-39
34-73096 Sep. 15, 2014 Order Approving Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented from the Exchange
34-72681 Jul. 28, 2014 Notice of Filing of Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented from the Exchange
Comments due: August 22, 2014

SR-NYSE-2014-38
34-72710 Jul. 29, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance
Comments due: August 26, 2014

SR-NYSE-2014-37
34-72721 Jul. 30, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List Related to Co-location Services
Comments due: August 26, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2014-36
34-72632 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Merge New York Block Exchange LLC into NYSE and, Effective as of the Consummation of the Merger, Delete the Text of the Limited Liability Company Agreement of New York Block Exchange LLC
Comments due: August 12, 2014

SR-NYSE-2014-35
34-72629 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Until March 31, 2015
Comments due: August 12, 2014

SR-NYSE-2014-34
34-72628 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Currently Scheduled to Expire on July 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or December 31, 2014
Comments due: August 12, 2014

SR-NYSE-2014-33
34-72627 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of its New Market Model Pilot, Currently Scheduled to Expire on July 31, 2014, Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or December 31, 2014
Comments due: August 12, 2014

SR-NYSE-2014-32
34-73333 Oct. 9, 2014 Order Approving Proposed Rule Changes Amending Exchange Rule 13 to Make the Add Liquidity Only Modifier Available for Limit Orders, and Make the Day Time-In-Force Condition and Add Liquidity Only Modifier Available for Intermarket Sweep Orders
Additional File No.: SR-NYSEMKT-2014-56
34-72893 Aug. 21, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 13 to Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders
34-72548 Jul. 7, 2014 Notice of Filing of Proposed Rule Change Amending Rule 13 to Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders
Comments due: August 1, 2014
Comments received are available for this proposal.

SR-NYSE-2014-31
34-72501 Jul. 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 86 to Extend the SMHours for the Core Bond Trading Session for NYSE Bonds and Amending Rule 88 to Make Corresponding Changes Related to Bonds Liquidity Providers
Comments due: July 29, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-30
34-72511 Jul. 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List to Add Certain Charges for Hosting Equipment to Support Internet Connections for Member Organizations Operating on the Floor of the Exchange Starting January 1, 2015
Comments due: July 29, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-28
34-72302 Jun. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Eliminate a Credit for Certain Non-Floor Broker Transactions
Comments due: June 30, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-27
34-72327 Jun. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE BBO Market Data Product Offering
Comments due: July 2, 2014

SR-NYSE-2014-26
34-72253 May 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 13 to Introduce a New "Retail" Modifier for Orders and to Make Related, Administrative Changes to Its Price List
Comments due: June 23, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-25
34-72123 May 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List, Effective May 2, 2014, to Set Forth a Fee for a Bond Trading License under Rule 87 and a Rebate for Bond Liquidity Providers that Bring Liquidity to the Exchange's Bond Market in Accordance with Rule 88 and to Delete an Obsolete Fee
Comments due: June 4, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-24
34-72147 May 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.02 of the Listed Company Manual to Modify How It Calculates Annual Fees for Certain Issuers in Their First Year of Listing on the Exchange Which Will Result in Large Issuers Receiving a Reduction in their First Year's Annual Fee That Is Proportional to Their Reduced Time Listed on the Exchange
Comments due: June 6, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-23
34-72158 May 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Name Changes of Its Ultimate Parent, IntercontinentalExchange Group, Inc., and Its Indirect Parents, IntercontinentalExchange, Inc. and NYSE Euronext Holdings LLC
Comments due: June 9, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-22
34-72434 Jun. 19, 2014 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
34-72052 Apr. 30, 2014 Notice of Filing of Proposed Rule Change Adding New Paragraphs (j) and (k) to Rule 128, Entitled "Clearly Erroneous Executions For NYSE Equities" 1 2 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the "Act") and 3Rule 19b-4 thereunder, notice is hereby given that, on April 21, 2014, New York Stock Exchange LLC ("NYSE" or the "Exchange") filed with the Securities and Exchange Commission (the "Commission") the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due: May 27, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-21
34-71989 Apr. 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 343 and Its Interpretation to Harmonize the NYSE's Rules with Changes by Financial Industry Regulatory Authority, Inc. to Amend the Uniform Branch Office Registration Form
Comments due: May 19, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-20
34-71986 Apr. 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 9268, 9559, and 9620 to conform the Exchange's rules to changes recently adopted by the Financial Industry Regulatory Authority, Inc.
Comments due: May 19, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-18
34-71890 Apr. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List for Certain Executions at the Opening
Comments due: May 2, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-17
34-71821 Mar. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128, entitled "Clearly Erroneous Executions For NYSE Equities"
Comments due: April 23, 2014
Additional Materials:  Exhibit 5

SR-NYSE-2014-16
34-71897 Apr. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Governing Pegging Interest
Comments due: May 5, 2014
Additional Materials: Exhibit 5

SR-NYSE-2014-15
34-71879 Apr. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Introduce a New Credit for Certain Retail Providing Liquidity on the Exchange
Comments due: May 1, 2014

SR-NYSE-2014-12
34-72534 Jul. 3, 2014 Order Approving Proposed Rule Change Amending Rule 98 to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
34-72203 May 21, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 98 to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
34-71837 Apr. 1, 2014 Notice of Filing of Proposed Rule Change Amending Rule 98 to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
Comments due: April 28, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2014-11
34-71689 Mar. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Modify the Current Adding Credit Tiers and Add a New Adding Credit Tier
Comments due: April 7, 2014
Additional Materials:  Exhibit 5

SR-NYSE-2014-10
34-71718 Mar. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Specify Pricing Applicable to Executions of Mid-Point Passive Liquidity Orders Against Retail Orders within the Retail Liquidity Program, effective March 1, 2014
Comments due: April 9, 2014

SR-NYSE-2014-09
34-71684 Mar. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Price List and to Make the Fee Changes Operative March 1, 2014
Comments due: April 7, 2014

SR-NYSE-2014-08
34-72026 Apr. 25, 2014 Order Approving a Proposed Rule Change to Adopt the Bond Trading License and the Bond Liquidity Provider Progra
34-71671 Mar. 10, 2014 Notice of Filing of Proposed Rule Change to Adopt the Bond Trading License and the Bond Liquidity Provider Programs Pursuant to NYSE Rules 87 and 88
Comments due: April 4, 2014
Additional Materials:  Exhibit 5

SR-NYSE-2014-07
34-71488 Feb. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 13 to Modify The Manner By Which MPL-ALO Orders Trade When Triggered By Arriving Interest
Comments due: March 4, 2014
Additional Materials:  Exhibit 5

SR-NYSE-2014-06
34-71454 Jan. 31, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to (i) Increase the Credit for Agency Cross Trades; (ii) Increase the Fee for Certain Executions at the Close; (iii) Increase the "Tier 1 Adding Credit;" (iv) Increase the Fee for Certain Floor broker Discretionary e-Quotes; (v) Increase the Credit for Certain Floor broker Executions that Add Liquidity; (vi) Increase the Credit for Certain Supplemental Liquidity Provider Executions; and (vii) Increase the Fee for Executions in Crossing Session II
Comments due: February 27, 2014

SR-NYSE-2014-05
34-71452 Jan. 31, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Introduce Fees and Credits for A New Order Type Called a Midpoint Passive Liquidity Order
Comments due: February 27, 2014
Additional Materials:  Exhibit 5

SR-NYSE-2014-04
34-71721 Mar. 13, 2014 Order Granting Approval of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange, Inc.
Additional File Nos.: SR-NYSEMKT-2014-10, SR-NYSEArca-2014-08
34-71393 Jan. 24, 2014 Notice of Filing of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange, Inc.
Comments due: February 20, 2014
Additional Materials:  Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D1, Exhibit 5D2,   Exhibit 5E, and Exhibit 5F

SR-NYSE-2014-03
34-71362 Jan. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend the Operation of its Supplemental Liquidity Providers Pilot, Currently Scheduled to Expire on January 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or July 31, 2014
Comments due: February 18, 2014
Additional Materials:  Exhibit 5

SR-NYSE-2014-02
34-71620 Feb. 27, 2014 Order Granting Approval of Proposed Rule Change Amending Supplementary Material .20 to NYSE Rule 103 Setting Forth Net Liquid Assets Requirements for Member Organizations that Operate as Designated Market Maker Units
34-71360 Jan. 21, 2014 Notice of Filing of Proposed Rule Change Amending Supplementary Material .20 to Rule 103 Which Sets Forth Net Liquid Assets Requirements for Member Organizations that Operate as Designated Market Maker Units
Comments due: February 18, 2014

SR-NYSE-2014-01
34-71345 Jan. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend 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, 2014
Comments due: February 14, 2014

 

http://www.sec.gov/rules/sro/nyse.shtml


Modified: 10/24/2014