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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 2012
Additional Archives
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-2012-12 |
| 34-66994 |
May 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 102.01C and 103.01B of the Exchange's Listed Company Manual to Permit the Listing of Emerging Growth Companies on the Basis of Two Years of Reported Financial Data
Comments due: June 11, 2012
Additional Materials: Exhibit 5
 Submit comments on SR-NYSE-2012-12
|
SR-NYSE-2011-56 |
| 34-66981 |
May 14, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and to Permit Designated Market Makers and Floor Brokers Access to Disaggregated Order Information
Additional File Nos.: SR-NYSEAmex-2011-86
See also: Order: Rel. No 34-66397; Notice: Rel. No. 34-66036; and Notice: Rel. No. 34-65736
|
SR-NYSE-2011-55 |
| 34-66928 |
May 4, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, Adopting NYSE Rule 107C to Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, and Adopting NYSE Amex Rule 107C to Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date
|
SR-NYSE-2012-10 |
| 34-66821 |
Apr. 17, 2012 |
Notice of Filing of Proposed Rule Change Amending NYSE Rule 107B to Add a Class of Supplemental Liquidity Providers that are Registered as Market Makers at the Exchange
Comments due: May 14, 2012
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2012-10
|
SR-NYSE-2012-09 |
| 34-66797 |
Apr. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Recent Changes to FINRA Rules 7440 and 7450, and to Adopt Recent Changes to FINRA Rule 5320 by Amending Supplementary Material .02 to NYSE Rule 5320 to Require that Member Organizations Report to the Order Audit Trail System Information Barriers Put Into Place by the Member Organization in Reliance on Supplementary Material .02 to NYSE Rule 5320
Comments due: May 9, 2012
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2012-09
|
SR-NYSE-2012-05 |
| 34-66758 |
Apr. 6, 2012 |
Order Granting Approval of a Proposed Rule Change Amending NYSE Rule 476A to Update Its "List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A"
See also: Notice: Rel. No. 34-66421
|
SR-NYSE-2012-06 |
| 34-66709 |
Apr. 2, 2012 |
Order Approving a Proposed Rule Change Amending the Definition of Approved Person to Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
See also: Notice: Rel. No. 34-66462
|
| First Quarter |
| Release No. |
Date |
Details |
SR-NYSE-2011-48 |
| 34-66680 |
Mar. 29, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also: Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65427
|
SR-NYSE-2012-08 |
| 34-66662 |
Mar. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying that Rule Change in Connection with Proposed Combination Between NYSE Euronext and Deutsche Börse AG Will Not Become Effective
Comments due: April 20, 2012
Submit comments on SR-NYSE-2012-08
|
SR-NYSE-2012-07 |
| 34-66600 |
Mar. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Certain Changes to the Transaction Fees and Credits Within the New York Stock Exchange Price List
Comments due: April 10, 2012
Additional Materials: Exhibit 5
|
SR-NYSE-2012-01 |
| 34-66576 |
Mar. 12, 2012 |
Order Approving a Proposed Rule Change to Establish an NYBX Immediate-or-Cancel Order
See also: Notice: Rel. No. 34-66218
|
SR-NYSE-2011-55 |
| 34-66464 |
Feb. 24, 2012 |
Notice of Filing of Partial Amendment No. 2 to Proposed Rule Changes, As Modified By Amendment No. 1, Adopting New Rule 107C to Establish a Retail Liquidity Program on a Pilot Basis to Attract Additional Retail Order Flow to the Exchanges
Comments due: March 22, 2012
See also: Order: Rel. No. 34-66346; Notice: Rel. No. 34-66003; Notice: Rel. No. 34-65672
Submit comments on SR-NYSE-2011-55
|
SR-NYSE-2012-06 |
| 34-66462 |
Feb. 24, 2012 |
Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person to Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
Comments due: March 21, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-66709
|
SR-NYSE-2012-05 |
| 34-66421 |
Feb. 17, 2012 |
Notice of Filing of Proposed Rule Change Amending NYSE Rule 476A to Update Its "List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A"
Comments due: March 16, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-66758
|
SR-NYSE-2012-04 |
| 34-66411 |
Feb. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 319 and its Interpretation, Which Address Fidelity Bond Requirements, and Adopt New Rule Text that is Substantially Similar to FINRA Rule 4360
Comments due: March 15, 2012
|
SR-NYSE-2012-03 |
| 34-66401 |
Feb. 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 123C(4) to Provide for How Certain Interest is Included in the Calculation of MOC and LOC Imbalances
Comments due: March 14, 2012
Additional Materials: Exhibit 5
|
SR-NYSE-2011-56 |
| 34-66397 |
Feb. 15, 2012 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and to Permit Designated Market Makers and Floor Brokers Access to Disaggregated Order Information
Comments due: March 14, 2012
Rebuttal comments due: March 28, 2012
Additional File No.: SR-NYSEAmex-2011-86
See also: Notice: Rel. No. 34-66981; Notice: Rel. No. 34-66036; and Notice: Rel. No. 34-65736
Comments received are available for this proposal.
|
SR-NYSE-2011-55 |
| 34-66346 |
Feb. 7, 2012 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, Adopting NYSE Rule 107C to Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 months From Implementation Date, Which Shall Occur No Later Than 90 Days After Approval, If Granted and Adopting NYSE Amex Rule 107C to Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 months From Implementation Date, Which Shall Occur No Later Than 90 Days After Approval, If Granted
Comments due: March 5, 2012
Rebuttal comments due: March 19, 2012
Additional File No.: SR-NYSEAmex-2011-84
See also: Order: Rel. No. 34-66464; Notice: Rel. No. 34-66003; Notice: Rel. No. 34-65672
|
SR-NYSE-2012-01 |
| 34-66218 |
Jan. 24, 2012 |
Notice of Filing of Proposed Rule Change to Establish an NYBX Immediate-or-Cancel Order
Comments due: February 21, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-66576
|
SR-NYSE-2011-51 |
| 34-66171 |
Jan. 17, 2012 |
Order Granting Approval of Proposed Rule Change Relating to a Corporate Transaction in which Deutsche Börse AG and NYSE Euronext Would Become Subsidiaries of Alpha Beta Netherlands Holding N.V.
See also: Notice: Rel. No. 34-65562
Comments received are available for this notice.
|
SR-NYSE-2011-70 |
| 34-66138 |
Jan. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Price List to Revise Its Schedule of Rebates Paid to Designated Market Makers for Providing Liquidity on the Exchange and to Delete References to Round and Odd Lot Transactions
Comments due: February 8, 2012
Additional Materials: Exhibit 5
|
SR-NYSE-2011-69 |
| 34-66136 |
Jan. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, Which Governs Clearly Erroneous Executions, to Extend the Effective Date of The Pilot by Which Portions of Such Rule Operate Until July 31, 2012
Comments due: February 8, 2012
Additional Materials: Exhibit 5
|
SR-NYSE-2011-68 |
| 34-66134 |
Jan. 11, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Rule 80C, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Effective Date of The Pilot Until July 31, 2012
Comments due: February 8, 2012
Additional Materials: Exhibit 5
|
SR-NYSE-2011-71 |
| 34-66108 |
Jan. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to (1) Adopting a Trading License Fee for Calendar Year 2012 and (2) Eliminating the NYSE e-Broker® Hand Held Device Fee and the NYSE e-Broker® Hand Held Device - Opening and Closing Order Imbalances Only (Together the "Hand Held Device fees"), the Fee for Approval of a Pre-Qualified Substitute, and the Badge Maintenance Fee
Comments due: February 1, 2012
Additional Materials: Exhibit 5
|
SR-NYSE-2011-72 |
| 34-66107 |
Jan. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Change the Monthly Fees for the Use of Ports that Provide Connectivity to Its Equity Trading Systems
Comments due: February 1, 2012
Additional Materials: Exhibit 5
|
SR-NYSE-2011-73 |
| 34-66106 |
Jan. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Rebates Paid to Supplemental Liquidity Providers for Providing Liquidity
Comments due: February 1, 2012
Additional Materials: Exhibit 5
|
| NYSE File Number List for 2012 |
| Release No. |
Date |
Details |
SR-NYSE-2012-12 |
| 34-66994 |
May 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 102.01C and 103.01B of the Exchange's Listed Company Manual to Permit the Listing of Emerging Growth Companies on the Basis of Two Years of Reported Financial Data
Comments due: June 11, 2012
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2012-12
|
SR-NYSE-2012-10 |
| 34-66821 |
Apr. 17, 2012 |
Notice of Filing of Proposed Rule Change Amending NYSE Rule 107B to Add a Class of Supplemental Liquidity Providers that are Registered as Market Makers at the Exchange
Comments due: May 14, 2012
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2012-10
|
SR-NYSE-2012-09 |
| 34-66797 |
Apr. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Recent Changes to FINRA Rules 7440 and 7450, and to Adopt Recent Changes to FINRA Rule 5320 by Amending Supplementary Material .02 to NYSE Rule 5320 to Require that Member Organizations Report to the Order Audit Trail System Information Barriers Put Into Place by the Member Organization in Reliance on Supplementary Material .02 to NYSE Rule 5320
Comments due: May 9, 2012
Additional Materials: Exhibit 5
Submit comments on SR-NYSE-2012-09
|
SR-NYSE-2012-08 |
| 34-66662 |
Mar. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying that Rule Change in Connection with Proposed Combination Between NYSE Euronext and Deutsche Börse AG Will Not Become Effective
Comments due: April 20, 2012
Submit comments on SR-NYSE-2012-08
|
SR-NYSE-2012-07 |
| 34-66600 |
Mar. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Certain Changes to the Transaction Fees and Credits Within the New York Stock Exchange Price List
Comments due: April 10, 2012
Additional Materials: Exhibit 5
|
SR-NYSE-2012-06 |
| 34-66709 |
Apr. 2, 2012 |
Order Approving a Proposed Rule Change Amending the Definition of Approved Person to Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
|
| 34-66462 |
Feb. 24, 2012 |
Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person to Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
Comments due: March 21, 2012
Additional Materials: Exhibit 5
|
SR-NYSE-2012-05 |
| 34-66758 |
Apr. 6, 2012 |
Order Granting Approval of a Proposed Rule Change Amending NYSE Rule 476A to Update Its "List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A"
|
| 34-66421 |
Feb. 17, 2012 |
Notice of Filing of Proposed Rule Change Amending NYSE Rule 476A to Update Its "List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A"
Comments due: March 16, 2012
Additional Materials: Exhibit 5
|
SR-NYSE-2012-04 |
| 34-66411 |
Feb. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 319 and its Interpretation, Which Address Fidelity Bond Requirements, and Adopt New Rule Text that is Substantially Similar to FINRA Rule 4360
Comments due: March 15, 2012
|
SR-NYSE-2012-03 |
| 34-66401 |
Feb. 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 123C(4) to Provide for How Certain Interest is Included in the Calculation of MOC and LOC Imbalances
Comments due: March 14, 2012
Additional Materials: Exhibit 5
|
SR-NYSE-2012-01 |
| 34-66576 |
Mar. 12, 2012 |
Order Approving a Proposed Rule Change to Establish an NYBX Immediate-or-Cancel Order
|
| 34-66218 |
Jan. 24, 2012 |
Notice of Filing of Proposed Rule Change to Establish an NYBX Immediate-or-Cancel Order
Comments due: February 21, 2012
Additional Materials: Exhibit 5
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