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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
Third Quarter |  Second Quarter |  First Quarter

NYSE File Number List for 2015

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-NYSE-2015-36
34-75740 Aug. 19, 2015 Notice of Filing of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual (the “Manual”) to (i) Amend the Suite of Complimentary Products and Services that are Offered to Certain Current and Newly Listed Companies, (ii) Update the Value of Complimentary Products and Services Offered to Listed Companies, and (iii) Provide that Complimentary Products and Services Would also be Offered to Companies that Transfer their Listing to the Exchange from Another National Securities Exchange
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSE-2015-35
34-75721 Aug. 18, 2015 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending Certain of Its Disciplinary Rules to Facilitate the Reintegration of Certain Regulatory Functions from Financial Industry Regulatory Authority, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2015-33
34-75695 Aug. 13, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 79A to Delete Supplementary Material .20 Requiring Prior Floor Official Approval Before a Designated Market Maker can Initiate Certain Trades More than One or Two Dollars Away From the Last Sale
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSE-2015-27
34-75659 Aug. 11, 2015 Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange to Establish a Regulatory Oversight Committee as a Committee of the Board of Directors of the Exchange and Make Certain Conforming Amendments to Exchange Rules
Comments due: 21 days after publication in the Federal Register
See also: Notice: Rel. No. 34-75288

SR-NYSE-2015-34
34-75648 Aug. 7, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Manner in which It Calculates Certain Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Suspension of Trading on the Exchange on July 8, 2015
Comments due:  September 3, 2015

SR-NYSE-2015-02
34-75599 Aug. 4, 2015 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party Has A Substantial Interes
Comments due: August 31, 2015
Rebuttal comments due: September 14, 2015
See also: Notice: Rel. No. 34-75248, Notice: Rel. No. 34-74849

SR-NYSE-2015-26
34-75578 Jul. 31, 2015 Order Granting Approval of a Proposed Rule Change Making Permanent the Rules of the NYSE New Market Model Pilot and the NYSE Supplemental Liquidity Providers Pilot
See also: Notice: Rel. No. 34-75153
Additional Materials: Exhibit 5

SR-NYSE-2015-31
34-75556 Jul. 30, 2015 Notice of Filing of Proposed Rule Change Amending the NYSE Trades Market Data Product Offering
Comments due: August 26, 2015
Comments received are available for this proposal.

SR-NYSE-2015-15
34-75444 Jul. 13, 2015 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend NYSE Rule 13 and Related Rules Governing Order Types and Modifiers
Comments due:  August 7, 2015

SR-NYSE-2015-30
34-75353 Jul. 2, 2015 Notice of Filing of Proposed Rule Change to Amend its Price List to Revise: (i) the Non-Tier Adding Credit; (ii) Certain Fees for Executions at the Close; (iii) Credits Applicable to Designated Market Makers; (iv) Credits Applicable to Supplemental Liquidity Providers; and (v) Pricing Related to the Retail Liquidity Program Under Rule 107C as it Relates to Designated Market Maker Transactions, and to Make Non-Substantive Changes to the Price List
Comments due:  July 30, 2015
Additional Materials: Exhibit 5
Second Quarter

SR-NYSE-2015-27
34-75288 Jun. 24, 2015 Notice of Filing of Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange to Establish a Regulatory Oversight Committee as a Committee of the Board of Directors of the Exchange and Make Certain Conforming Amendments to Exchange Rules
Comments due:  July 21, 2015
Additional Materials: Exhibit 5
See also: Notice: 34-75659

SR-NYSE-2015-02
34-75248 Jun. 18, 2015 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party has A Substantial Interest
See also: Order: Rel. No. 34-75599, Notice: Rel. No. 34-74849

SR-NYSE-2015-26
34-75153 Jun. 11, 2015 Notice of Filing of Proposed Rule Change Making Permanent the Rules of the New Market Model Pilot and the Supplemental Liquidity Providers Pilot
Comments due: July 8, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-75578

SR-NYSE-2015-28
34-75139 Jun. 10, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List to Revise Fees and Credits for Mid-Point Passive Liquidity Orders and Non Displayed Reserve Orders and to Revise Credits Applicable to Certain Transactions at the Open, Certain Designated Market Maker transactions, and Certain Supplemental Liquidity Provider Transactions
Comments due: July 7, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-16
34-75105 Jun. 4, 2015 Order Approving Proposed Rule Change to Amend the Seventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC
See also: Notice: Rel. No. 34-74766

SR-NYSE-2015-25
34-75057 May 28, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 804.00 of the Listed Company Manual to Specify that Issuers Seeking a Review of a Delisting Decision Made by the Staff of NYSE Regulation, Inc. Must Have Paid All Prior Fees Owed to the Exchange
Comments due: June 23, 2015

SR-NYSE-2015-15
34-75048 May 27, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSE Rule 13 and Related Rules Governing Order Types and Modifiers
See also: Notice: Rel. No. 34-75444, Notice: Rel. No. 34-74678

SR-NYSE-2015-06
34-75038 May 22, 2015 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Adopting New NYSE Rule 124 to Conduct a Midday Auction and Amending NYSE Rule 104 to Codify the Obligation of Designated Market Makers to Facilitate the Midday Auction
Comments due: June 19, 2015
See also: Notice: Rel. No. 34-74648, Notice: Rel. No. 34-74281

SR-NYSE-2015-18
34-74928 May 12, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Constituent Documents of Its Intermediate Parent Companies NYSE Holdings LLC., Intercontinental Exchange, Inc., to Eliminate Certain Provisions That by Their Terms Have Become Void and Are of No Further Force and Effect as a Result of the Sale by ICE of Euronext N.V. in June 2014 and Make Conforming Changes to the Independence Policy of the Board of Directors of ICE
Comments due: June 8, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-23
34-74889 May 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Rules 16 and 17T Related to the Terminated Intermarket Trading System ,NMS Linkage Plans, and Amending Rules 45, 47, 52, 54, 93, 94, 95, 104A.50 and 123 to Remove Outdated References to the ITS Plan
Comments due: June 2, 2015

SR-NYSE-2015-21
34-74872 May 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Order Imbalances to Add a Late Fee in Connection with Failure to Submit the Non-display Use Declaration
Comments due:  June 1, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-20
34-74870 May 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE OpenBook to Add a Late Fee in Connection with Failure to Submit the Non-display Use Declaration
Comments due:  June 1, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-22
34-74861 May 4, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades to Add a Late Fee In Connection with Failure to Submit the Non-display Use Declaration
Comments due:  May 29, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-02
34-74849 Apr. 30, 2015 Notice of Filing of Proposed Rule Change Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party has A Substantial Interest
Comments due:  May 27, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-75599, Notice: Rel. No. 34-75248

SR-NYSE-2015-19
34-74837 Apr. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 to Reflect that Exchange Systems Will Not Publish Order Imbalance Information on the Initial Public Offering of a Security
Comments due:  May 26, 2015

SR-NYSE-2015-16
34-74766 Apr. 20, 2015 Notice of Filing of Proposed Rule Change to Amend the Seventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC.
Comments due: May 15, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-75105

SR-NYSE-2014-59
34-74642A Apr. 9, 2015 Notice of Withdrawal of a Proposed Rule Change, as Modified by Partial Amendment No. 1, Amending Rule 13 and Related Rules Governing Order Types and Modifiers; Correction
See also: Notice: Rel. No. 34-74642, Notice: Rel. No. 34-74051, Notice: Rel. No. 34-73703

SR-NYSE-2015-15
34-74678 Apr. 8, 2015 Notice of Filing of Proposed Rule Change Amending Rule 13 and Related Rules Governing Order Types and Modifiers
Comments due: May 5, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-75444, Notice: Rel. No. 34-75048
Comments received are available for this proposal.

SR-NYSE-2015-14
34-74649 Apr. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 1000 to Reflect that Exchange Systems will Reject Incoming Orders of Over 1,000,000 Shares that are Marketable Upon Arrival
Comments due: May 1, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-06
34-74648 Apr. 6, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Adopting New Rule 124 to Conduct a Midday Auction and Amending Rule 104 to Codify the Obligation of Designated Market Makers to Facilitate the Midday Auction
See also: Notice: Rel. No. 34-74281, Notice: Rel. No. 34-75038

SR-NYSE-2014-59
34-74642 Apr. 3, 2015 Notice of Withdrawal of a Proposed Rule Change, as Modified by Partial Amendment No. 1, Amending Rule 13 and Related Rules Governing Order Types and Modifiers
See also:  Notice: Rel. No. 34-74642A; Notice: Rel. No. 34-74051, Notice: Rel. No. 34-73703

SR-NYSE-2015-13
34-74640 Apr. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Specify that a Member Organization May Request that The Exchange Aggregate its Eligible Activity with Activity of the Member Organization's Affiliates For Purposes of Charges or Credits Based on Volume
Comments due: April 29, 2015
Additional Materials: Exhibit 5
First Quarter

SR-NYSE-2015-12
34-74570 Mar. 24, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Relating to Pegging Interest
Comments due: April 20, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-10
34-74454 Mar. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program Which is Currently Scheduled to Expire on March 31, 2015, until September 30, 2015
Comments due: April 2, 2015
Additional Materials: Exhibit 5

SR-NYSE-2014-65
34-74412 Mar. 2, 2015 Order Approving a Proposed Rule Change Amending Its Continued Listing Requirements, As Set Forth in Section 802.01E of the Exchange's Listed Company Manual, In Relation to the Late Filing of a Company's Annual or Quarterly Report with the Securities and Exchange Commission
See also: Notice: Rel. No. 34-74184, Notice: Rel. No. 34-73821

SR-NYSE-2015-09
34-74410 Mar. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Specifying in Exchange Rules the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance
Comments due: March 27, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-08
34-74405 Mar. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List
Comments due: March 27, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-07
34-74287 Feb. 18, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 402.05 of the NYSE Listed Company Manual to Clarify that Listed Companies Soliciting Proxy Material Through Brokers or Other Entities Must Comply with SEC Rule 14a-13
Comments due: March 17, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-06
34-74281 Feb. 17, 2015 Notice of Filing of Proposed Rule Change Adopting New Rule 124 to Conduct a Midday Auction and Amending Rule 104 to Codify the Obligation of Designated Market Makers to Facilitate the Midday Auction
Comments due: March 16, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-74648, Notice: Rel. No. 34-75038
Comments received are available for this proposal.

SR-NYSE-2015-05
34-74222 Feb. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include Internet Protocol Network Connections and Fiber Cross Connects Between a User's Cabinet and Non-User's Equipment as Co-Location Services
Comments due: March 5, 2015
Additional Materials: Exhibit 5

SR-NYSE-2014-65
34-74184 Jan. 30, 2015 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Its Continued Listing Requirements In Relation to the Late Filing of a Company's Annual Report with the Securities and Exchange Commission As Set Forth in Section 802.01E of the Exchange's Listed Company Manual
See also: Order: Rel. No. 34-74412; Notice: Rel. No. 34-73821

SR-NYSE-2015-04
34-74174 Jan. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change with the Proposed Amendment of the Restated Certificate of Incorporation of Exchange Subsidiary NYSE Regulation, Inc.
Comments due:  February 25, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-03
34-74128 Jan. 23, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Integrated Feed Data Feed
Comments due:  February 19, 2015

SR-NYSE-2015-01
34-74063 Jan. 15, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Price Protection Mechanism to Prevent the Automatic Execution of Incoming Market Orders and Marketable Limit Orders Outside a Specified Parameter and Eliminate Liquidity Replenishment Points and the Gap Quote Policy
Comments due:  February 12, 2015
Additional Materials: Exhibit 5

SR-NYSE-2014-59
34-74051 Jan. 14, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending Rule 13 and Related Rules Governing Order Types and Modifiers, as modified by Partial Amendment No. 1
See also: Notice: Rel. No. 34-74642A; Notice: Rel. No. 34-74642, Notice: Rel. No. 34-73703

SR-NYSE-2014-63
34-74035 Jan. 12, 2015 Order Approving Proposed Rule Change Amending Rules 311 and 313 to Add Limited Liability Companies as Eligible Member Organizations and Delineate the Information Limited Liability Companies Must Submit to the Exchange as Part of the Membership Process; Eliminate the Requirement that a Member Corporation Be Created or Organized, and Maintain its Principal Place of Business, in the United States; and Make Additional Related Amendments to Update Its Membership Rules
See also: Notice: Rel. No. 34-73672

SR-NYSE-2014-78
34-74031 Jan. 12, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Relating to Fees for Bond Trading License Firms
Comments due:  February 6, 2015
Additional Materials: Exhibit 5

SR-NYSE-2014-76
34-74027 Jan. 9, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE OpenBook
Comments due:  February 5, 2015
Additional Materials: Exhibit 5

SR-NYSE-2014-62
34-74010 Jan. 7, 2015 Order Approving Proposed Rule Change Amending the Bylaws of New York Stock Exchange LLC's Wholly-Owned Subsidiary, NYSE Regulation, Inc., to Provide that Non-Affiliated Directors of NYSE Regulation, Inc. Would Not Be Removed for Cause If They Are Acting in Good Faith in Exercising their Responsibilities as Directors Related to NYSE Regulation's Functions and Responsibilities Delegated to It Under the Delegation Agreement between New York Stock Exchange LLC, NYSE Regulation and NYSE Market (DE), Inc.
See also: Notice: Rel. No. 34-73657

SR-NYSE-2014-73
34-74006 Jan. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C to Specify that Exchange Systems May Close One or More Securities Electronically
Comments due: February 2, 2015
Additional Materials: Exhibit 5

SR-NYSE-2014-70
34-73997 Jan. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Eliminate Transaction Fees for Midpoint Passive Liquidity Orders that Remove Liquidity from the Exchange and that Are Designated with a "Retail" Modifier as Defined in Rule 13
Comments due: February 2, 2015
Additional Materials: Exhibit 5

SR-NYSE-2014-74
34-73996 Jan. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Related to Fees for Trading Licenses to Extend the Current Fee Schedule to February 27, 2015 and to Implement New Trading License Fees Effective March 1, 2015
Comments due: February 2, 2015
Additional Materials: Exhibit 5

SR-NYSE-2014-77
34-73994 Jan. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Order Imbalances
Comments due: February 2, 2015
Additional Materials: Exhibit 5

SR-NYSE-2014-75
34-73985 Jan. 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades
Comments due: January 30, 2015
Additional Materials: Exhibit 5


NYSE File Number List for 2015
Release No. Date Details

SR-NYSE-2015-36
34-75740 Aug. 19, 2015 Notice of Filing of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual (the “Manual”) to (i) Amend the Suite of Complimentary Products and Services that are Offered to Certain Current and Newly Listed Companies, (ii) Update the Value of Complimentary Products and Services Offered to Listed Companies, and (iii) Provide that Complimentary Products and Services Would also be Offered to Companies that Transfer their Listing to the Exchange from Another National Securities Exchange
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSE-2015-35
34-75721 Aug. 18, 2015 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending Certain of Its Disciplinary Rules to Facilitate the Reintegration of Certain Regulatory Functions from Financial Industry Regulatory Authority, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2015-34
34-75648 Aug. 7, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Manner in which It Calculates Certain Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Suspension of Trading on the Exchange on July 8, 2015
Comments due:  September 3, 2015

SR-NYSE-2015-33
34-75695 Aug. 13, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 79A to Delete Supplementary Material .20 Requiring Prior Floor Official Approval Before a Designated Market Maker can Initiate Certain Trades More than One or Two Dollars Away From the Last Sale
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSE-2015-31
34-75556 Jul. 30, 2015 Notice of Filing of Proposed Rule Change Amending the NYSE Trades Market Data Product Offering
Comments due: August 26, 2015
Comments received are available for this proposal.

SR-NYSE-2015-30
34-75353 Jul. 2, 2015 Notice of Filing of Proposed Rule Change to Amend its Price List to Revise: (i) the Non-Tier Adding Credit; (ii) Certain Fees for Executions at the Close; (iii) Credits Applicable to Designated Market Makers; (iv) Credits Applicable to Supplemental Liquidity Providers; and (v) Pricing Related to the Retail Liquidity Program Under Rule 107C as it Relates to Designated Market Maker Transactions, and to Make Non-Substantive Changes to the Price List
Comments due:  July 30, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-28
34-75139 Jun. 10, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List to Revise Fees and Credits for Mid-Point Passive Liquidity Orders and Non Displayed Reserve Orders and to Revise Credits Applicable to Certain Transactions at the Open, Certain Designated Market Maker transactions, and Certain Supplemental Liquidity Provider Transactions
Comments due: July 7, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-27
34-75659 Aug. 11, 2015 Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange to Establish a Regulatory Oversight Committee as a Committee of the Board of Directors of the Exchange and Make Certain Conforming Amendments to Exchange Rules
Comments due: 21 days after publication in the Federal Register
34-75288 Jun. 24, 2015 Notice of Filing of Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange to Establish a Regulatory Oversight Committee as a Committee of the Board of Directors of the Exchange and Make Certain Conforming Amendments to Exchange Rules
Comments due:  July 21, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-26
34-75578 Jul. 31, 2015 Order Granting Approval of a Proposed Rule Change Making Permanent the Rules of the NYSE New Market Model Pilot and the NYSE Supplemental Liquidity Providers Pilo
See also: Notice: Rel. No. 34-75153
Additional Materials: Exhibit 5
34-75153 Jun. 11, 2015 Notice of Filing of Proposed Rule Change Making Permanent the Rules of the New Market Model Pilot and the Supplemental Liquidity Providers Pilot
Comments due: July 8, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-25
34-75057 May 28, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 804.00 of the Listed Company Manual to Specify that Issuers Seeking a Review of a Delisting Decision Made by the Staff of NYSE Regulation, Inc. Must Have Paid All Prior Fees Owed to the Exchange
Comments due: June 23, 2015

SR-NYSE-2015-23
34-74889 May 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Rules 16 and 17T Related to the Terminated Intermarket Trading System ,NMS Linkage Plans, and Amending Rules 45, 47, 52, 54, 93, 94, 95, 104A.50 and 123 to Remove Outdated References to the ITS Plan
Comments due: June 2, 2015

SR-NYSE-2015-22
34-74861 May 4, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades to Add a Late Fee In Connection with Failure to Submit the Non-display Use Declaration
Comments due:  May 29, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-21
34-74872 May 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Order Imbalances to Add a Late Fee in Connection with Failure to Submit the Non-display Use Declaration
Comments due:  June 1, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-20
34-74870 May 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE OpenBook to Add a Late Fee in Connection with Failure to Submit the Non-display Use Declaration
Comments due:  June 1, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-19
34-74837 Apr. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 to Reflect that Exchange Systems Will Not Publish Order Imbalance Information on the Initial Public Offering of a Security
Comments due:  May 26, 2015

SR-NYSE-2015-18
34-74928 May 12, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Constituent Documents of Its Intermediate Parent Companies NYSE Holdings LLC., Intercontinental Exchange, Inc., to Eliminate Certain Provisions That by Their Terms Have Become Void and Are of No Further Force and Effect as a Result of the Sale by ICE of Euronext N.V. in June 2014 and Make Conforming Changes to the Independence Policy of the Board of Directors of ICE
Comments due: June 8, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-16
34-75105 Jun. 4, 2015 Order Approving Proposed Rule Change to Amend the Seventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC
34-74766 Apr. 20, 2015 Notice of Filing of Proposed Rule Change to Amend the Seventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC.
Comments due: May 15, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-15
34-75444 Jul. 13, 2015 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend NYSE Rule 13 and Related Rules Governing Order Types and Modifiers
Comments due:  August 7, 2015
34-75048 May 27, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSE Rule 13 and Related Rules Governing Order Types and Modifiers
34-74678 Apr. 8, 2015 Notice of Filing of Proposed Rule Change Amending Rule 13 and Related Rules Governing Order Types and Modifiers
Comments due: May 5, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2015-14
34-74649 Apr. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 1000 to Reflect that Exchange Systems will Reject Incoming Orders of Over 1,000,000 Shares that are Marketable Upon Arrival
Comments due: May 1, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-13
34-74640 Apr. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Specify that a Member Organization May Request that The Exchange Aggregate its Eligible Activity with Activity of the Member Organization's Affiliates For Purposes of Charges or Credits Based on Volume
Comments due: April 29, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-12
34-74570 Mar. 24, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Relating to Pegging Interest
Comments due: April 20, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-10
34-74454 Mar. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program Which is Currently Scheduled to Expire on March 31, 2015, until September 30, 2015
Comments due: April 2, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-09
34-74410 Mar. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Specifying in Exchange Rules the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance
Comments due: March 27, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-08
34-74405 Mar. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List
Comments due: March 27, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-07
34-74287 Feb. 18, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 402.05 of the NYSE Listed Company Manual to Clarify that Listed Companies Soliciting Proxy Material Through Brokers or Other Entities Must Comply with SEC Rule 14a-13
Comments due: March 17, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-06
34-75038 May 22, 2015 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Adopting New NYSE Rule 124 to Conduct a Midday Auction and Amending NYSE Rule 104 to Codify the Obligation of Designated Market Makers to Facilitate the Midday Auction
Comments due: June 19, 2015
34-74648 Apr. 6, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Adopting New Rule 124 to Conduct a Midday Auction and Amending Rule 104 to Codify the Obligation of Designated Market Makers to Facilitate the Midday Auction
34-74281 Feb. 17, 2015 Notice of Filing of Proposed Rule Change Adopting New Rule 124 to Conduct a Midday Auction and Amending Rule 104 to Codify the Obligation of Designated Market Makers to Facilitate the Midday Auction
Comments due: March 16, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2015-05
34-74222 Feb. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include Internet Protocol Network Connections and Fiber Cross Connects Between a User's Cabinet and Non-User's Equipment as Co-Location Services
Comments due: March 5, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-04
34-74174 Jan. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change with the Proposed Amendment of the Restated Certificate of Incorporation of Exchange Subsidiary NYSE Regulation, Inc.
Comments due:  February 25, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-03
34-74128 Jan. 23, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Integrated Feed Data Feed
Comments due:  February 19, 2015

SR-NYSE-2015-02
34-75599 Aug. 4, 2015 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party Has A Substantial Interes
Comments due: August 31, 2015
Rebuttal comments due: September 14, 2015
See also: Notice: Rel. No. 34-75248, Notice: Rel. No. 34-74849
34-75248 Jun. 18, 2015 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party has A Substantial Interest
34-74849 Apr. 30, 2015 Notice of Filing of Proposed Rule Change Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party has A Substantial Interest
Comments due:  May 27, 2015
Additional Materials: Exhibit 5

SR-NYSE-2015-01
34-74063 Jan. 15, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Price Protection Mechanism to Prevent the Automatic Execution of Incoming Market Orders and Marketable Limit Orders Outside a Specified Parameter and Eliminate Liquidity Replenishment Points and the Gap Quote Policy
Comments due:  February 12, 2015
Additional Materials: Exhibit 5

 

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


Modified: 08/20/2015