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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 2014

Additional Archives


Chronological List
Release No. Date Details
Second Quarter

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
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

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. 34-71267, 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:  Order: 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


NYSE File Number List for 2013

Release No. Date Details

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
34-71837 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
34-71671 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: 04/17/2014