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NYSE Rulemaking Archive: 2006

We invite comments on the following New York Stock Exchange, Inc. (NYSE) 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 2006

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NYSE-2006-120
34-55026 Dec. 29, 2006 Notice of Filing of Proposed Rule Change Regarding Proposed Combination Between NYSE Group, Inc. and Euronext N.V.
Comments due:  January 29, 2007
Additional Materials:   Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H, Exhibit 5I, Exhibit 5J, Exhibit 5K, Exhibit 5L, and Exhibit 5M
See also:  Order: Rel. No. 34-55293
Comments received are available for this notice.

SR-NYSE-2006-109
34-55003 Dec. 22, 2006 Notice of Filing of Proposed Rule Change Relating to NYSE Regulation, Inc. Policies Regarding Exercise of Power to Fine NYSE Member Organizations and Use of Money Collected as Fines
Comments due:  January 19, 2007
See also:  Order: Rel. No. 34-55216

SR-NYSE-2006-30
34-54999 Dec. 21, 2006 Order Approving a Proposed Rule Change and Amendments No. 1 & 2 Thereto Relating to the Treasury Share Exception in NYSE Listed Company Manual Section 312.03, Section 312.04, Section 703.01(A), and Section 903.02
See also:  Notice: Rel. No. 34-54579
Comments received are available for this notice.

SR-NYSE-2006-98
34-54998 Dec. 21, 2006 Order Approving Proposed Rule Change and Notice of filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto, Regarding the Amendment of NYSE Rule 300 Relating to Trading Licenses and the Deletion of NYSE Rule 300T
Comments due:  January 19, 2007
See also:  Notice: Rel. No. 34-54713

SR-NYSE-2006-75
34-54992 Dec. 21, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Four iShares® GS® Commodity Indexed Trusts
Comments due:  January 16, 2007
See also:  Order: Rel. No. 34-55585

SR-NYSE-2006-113
34-54985 Dec. 21, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Moratorium on the Qualification and Registration of New Registered Competitive Market Makers and New Competitive Traders, Governed by Rules 107A and 110, Respectively, for an Additional Six Months
Comments due:  January 24, 2007

SR-NYSE-2006-61
34-54982 Dec. 20, 2006 Notice of Filing of Proposed Rule Changes and Amendment No. 1 thereto to Rules 601, 607, 612 and 629 Relating to Single Arbitrators for Claims not Exceeding $200,000
Comments due:  January 19, 2007
Comments received are available for this notice.
* Submit comments on SR-NYSE-2006-61

SR-NYSE-2006-116
34-54977 Dec. 20, 2006 Notice of Filing of Proposed Rule Change Relating to Amendment of Annual Report Timely Filing Requirements
Comments due:  January 18, 2007
See also:  Order: Rel. No. 34-55198

SR-NYSE-2006-114
34-54970 Dec. 19, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 123A.30 to Eliminate the Two Tick Rule to Allow for the Execution of CAP-DI Orders at Consecutive Destabilizing Prices Without Floor Official Approval
Comments due:  January 18, 2007

SR-NYSE-2006-89
34-54955 Dec. 18, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Require Member Organizations to Use Their Own Mnemonics When Entering Orders
Comments due:  January 17, 2007

SR-NYSE-2006-69
34-54944 Dec. 15, 2006 Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the MSCI India Equities Index
See also:  Notice: Rel. No. 34-54800
Comments received are available for this notice.

SR-NYSE-2006-13
34-54918 Dec. 12, 2006 Order Approving a Proposed Rule Change to Rule 431 ("Margin Requirements") and Rule 726 ("Delivery of Options Disclosure Document and Prospectus"), and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to Proposed Rule Change Relating to Customer Portfolio Margining
Comments due:  January 8, 2007
See also:   SR-NYSE-2006-13: Notice: Rel. No. 34-53577 and comments and
SR-CBOE-2006-14: Notice: Rel. No. 34-53576 and comments
See also:  Notices: Rel. Nos. 34-53728; 34-53577

SR-NYSE-2006-45
34-54917 Dec. 11, 2006 Notice of Filing of Proposed Rule Change Relating to Amendments to Exchange Rule 638 Concerning Mediation
Comments due:  January 11, 2007
See also:  Order: Rel. No. 34-55264
Comments received are available for this notice.

SR-NYSE-2006-70
34-54916 Dec. 11, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to iShares® Lehman Bond Funds
Comments due:  January 9, 2007

SR-NYSE-2006-110
34-54912 Dec. 11, 2006 Notice of Filing of Proposed Rule Change Relating to the Retroactive Application of an Increase to Its Linkage Order Fee
Comments due:  January 5, 2007
See also:  Order: Rel. No. 34-55120

SR-NYSE-2006-108
34-54911 Dec. 11, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Linkage Fee
Comments due:  January 5, 2007

SR-NYSE-2006-93
34-54910 Dec. 11, 2006 Order Approving Proposed Rule Change to Amend NYSE Rule 607 Concerning the Use of the Random Selection Method to Appoint Arbitrators in Matters Not Involving Customers
See also:  Notice: Rel. No. 34-54694
Comments received are available for this notice.

SR-NYSE-2005-90
34-54810A Dec. 8, 2006 Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Allow Certain Institutional Customers to Elect Not to Receive Account Statements (CORRECTION)
Comments due:  January 8, 2007
See also:  Order: Rel. No. 34-54810; Notice: Rel. No. 34-53826
Comments received are available for this notice.

SR-NYSE-2005-09
34-54904 Dec. 8, 2006 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Rule 409 Regarding Statements of Accounts to Customers and Proposed New Rule 409A Regarding SIPC Disclosure
See also:  Notice: Rel. No. 34-54491

SR-NYSE-2006-103
34-54887 Dec. 6, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Amendment to the Earnings Standard Included in the Exchange’s Financial Listing Criteria
Comments due:  January 3, 2007

SR-NYSE-2006-76
34-54860 Dec. 1, 2006 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change, as Amended, Relating to Exchange Rule 104.10 ("Dealings by Specialists")
Comments due:  December 29, 2006
See also:  Notice: Rel. No. 34-54504
Comments received are available for this notice.

SR-NYSE-2006-106
34-54856 Dec. 1, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fees Charged to Member Organizations for Transactions in Equity Securities
Comments due:  December 29, 2006
Comments received are available for this notice.

SR-NYSE-2006-105
34-54850 Nov. 30, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Prohibit Specialists from Charging Commissions on Transactions in their Specialty Securities
Comments due:  December 29, 2006
Comments received are available for this notice.

SR-NYSE-2006-104
34-54849 Nov. 30, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive Initial Listing Fee and One-Time Special Charge in Connection with Listing New Class of Common Shares Payable by Any Company Listed on Another National Securities Exchange that Transfers the Listing of its Primary Class of Common Shares to the NYSE
Comments due:  December 29, 2006

SR-NYSE-2006-97
34-54847 Nov. 30, 2006 Notice of Filing of Proposed Rule Change to NYSE Rule 342.30
Comments due:  December 28, 2006
See also:  Order: Rel. No. 34-55079

SR-NYSE-2006-73
34-54843 Nov. 30, 2006 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment Nos. 1, 2, and 3 Relating to Block Positioning
Comments due:  December 28, 2006

SR-NYSE-2006-102
34-54837 Nov. 29, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Inclusion of an Additional Security in the Pilot to Put Into Operation Certain Rule Changes Pending before the Securities and Exchange Commission to Coincide with the Exchange's Implementation of Phase 3 of the NYSE HYBRID MARKETSM and the Substitution of the Name and Trading Symbol of a Security Operating in the Pilot
Comments due:  December 26, 2006

SR-NYSE-2006-65
34-54820 Nov. 27, 2006 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 5 Thereto Relating to Exchange Rules Governing Certain Definitions, Systemic Processing of Certain Orders, and the Implementation Schedule of the NYSE Hybrid Market
Comments due:  December 27, 2006
See also:  Notice: Rel. No. 34-54520

SR-NYSE-2006-57
34-54818 Nov. 27, 2006 Notice of Filing of Proposed Rule Change Amending Rule 180 to Require Member Organizations to Use the Automated Liability Notification System of a Registered Clearing Agency
Comments due:  December 28, 2006
See also:  Order: Rel. No. 34-55132
Comments received are available for this notice.

SR-NYSE-2005-90
34-54810 Nov. 22, 2006 Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Allow Certain Institutional Customers to Elect Not to Receive Account Statements
Comments due:  January 8, 2007
See also:  Order: Rel. No. 34-54810A; Notice: Rel. No. 34-53826
Comments received are available for this notice.

SR-NYSE-2006-80
34-54801 Nov. 21, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to NYSE Rule 1300 (Gold Shares) and NYSE Rule 51 (Hours of Business)
Comments due:  December 19, 2006
See also:  Order: Rel. No. 34-55067

SR-NYSE-2006-69
34-54800 Nov. 21, 2006 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the MSCI India Equities Index
Comments due:  December 19, 2006
See also:  Order: Rel. No. 34-54944
Comments received are available for this notice.

SR-NYSE-2004-69
34-54767 Nov. 16, 2006 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Establish Rules for the Trading of Unregistered Corporate Debt Securities
See also:  Notice: Rel. No. 34-51999
Comments received are available for this notice.

SR-NYSE-2006-91
34-54743 Nov. 13, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 116 ("Stop" Constitutes Guarantee)
Comments due:  December 11, 2006

SR-NYSE-2006-54
34-54731 Nov. 9, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 to List and Trade Two Series of Commodity-Linked Securities of Wachovia Corporation
Comments due:  December 7, 2006

SR-NYSE-2006-79
34-54727 Nov. 8, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Fee on Orders in Equities and Exchange Traded Funds Routed From the Exchange and Executed in Another Market Pursuant to the Linkage Plan
Comments due:  December 7, 2006

SR-NYSE-2006-98
34-54713 Nov. 6, 2006 Notice of Filing of a Proposed Rule Change Regarding the Amendment of NYSE Rule 300 Relating to Trading Licenses and the Deletion of NYSE Rule 300T
Comments due:  December 5, 2006
Comments received are available for this notice.
See also:  Order: Rel. No. 34-54998

SR-NYSE-2006-93
34-54694 Nov. 2, 2006 Notice of Filing of Proposed Rule Change Relating to Amendments to NYSE Rule 607 Concerning the Use of the Random Selection Method to Appoint Arbitrators in Matters Not Involving Customers
Comments due:  November 30, 2006
See also:  Order: Rel. No. 34-54910
Comments received are available for this notice.

SR-NYSE-2006-95
34-54685 Nov. 1, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include an Additional 32 Securities in the Current Exchange Pilot Operating in Conjunction with the Implementation of Hybrid Market Phase 3
Comments due:  November 29, 2006

SR-NYSE-2006-96
34-54675 Oct. 31, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Request to Extend the Pilot Operating During the Exchange’s Implementation of NYSE Hybrid Market Phase 3 until November 30, 2006
Comments due:  November 27, 2006
Comments received are available for this notice.

SR-NYSE-2006-94
34-54653 Oct. 26, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 122 (Orders with More than One Broker) until the Availability of Full d-Quote Functionality in a Particular Security or February 5, 2007, Whichever Comes First
Comments due:  November 24, 2006

SR-NYSE-2006-88
34-54649 Oct. 24, 2006 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to NYSE Listed Company Manual Section 703.16 (Investment Company Units)
Comments due:  November 21, 2006

SR-NYSE-2006-87
34-54624 Oct. 18, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 13 (Definitions of Orders)
Comments due:  November 15, 2006

SR-NYSE-2006-77
34-54616 Oct. 17, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to NYSE Rule 472 and NASD Rule 2711
Comments due:  November 14, 2006
Additional File No.:  SR-NASD-2006-112
Comments received are available for this notice.

SR-NYSE-2006-37
34-54615 Oct. 17, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Exchange Rule 86 (Automated Bond System®)
Comments due:  November 14, 2006
See also:  Notice/Order: Rel. No. 34-55496
Comments received are available for this notice.

SR-NYSE-2006-86
34-54611 Oct. 16, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 13 ("Definitions of Orders") to clarify that an Immediate or Cancel order must be designated "Regulation NMS-compliant Immediate or Cancel" in order to be so executed, and to modify the definition of an "At the Opening" or "At the Opening Only" order to ensure that it complies with the Securities and Exchange Commission's Regulation NMS
Comments due:  November 13, 2006

SR-NYSE-2006-84
34-54610 Oct. 16, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pilot to Put into Operation Certain Rule Changes Pending before the Securities and Exchange Commission to Coincide with the Exchange's Implementation of Phase 3 of the NYSE HYBRID MARKETsm
Comments due:  November 13, 2006

SR-NYSE-2006-81
34-54594 Oct. 12, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Addition of Real-Time Quotation Information to the NYSE OpenBook® Service
Comments due:  November 9, 2006
Comments received are available for this notice.

SR-NYSE-2006-04
34-54592 Oct. 12, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to NYSE Rule 116 ("Stop" Constitutes Guarantee) and NYSE Rule 123B (Exchange Automated Order Routing Systems)
Comments due:  November 8, 2006
See also:  Order: Rel. No. 34-55337
Comments received are available for this notice.

SR-NYSE-2006-30
34-54579 Oct. 5, 2006 Notice of Filing of Proposed Rule Change and Amendments No. 1 & 2 Thereto Relating to the Treasury Share Exception in NYSE Listed Company Manual Section 312.03, Section 312.04 and Section 703.01(A)
Comments due:  November 6, 2006
See also:  Order: Rel. No. 34-54999
Comments received are available for this notice.

SR-NYSE-2006-82
34-54578 Oct. 5, 2006 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to A Pilot Until 10/31/06 to Put Into Operation Certain Rule Changes Pending Before the Securities and Exchange Commission to Coincide With the Exchange’s Implementation of Phase 3 of the NYSE HYBRID MARKETSM
Comments due:  November 2, 2006
Comments received are available for this notice.

SR-NYSE-2006-36
34-54577 Oct. 5, 2006 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Provide Floor Brokers With the Ability to Enter Discretionary Instructions and/or Pegging Instructions with Respect to Floor Broker Agency Interest Files (e-Quotes)
See also:  Notice: Rel. No. 34-54150
Comments received are available for this notice.

SR-NYSE-2006-74
34-54560 Oct. 2, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 17
Comments due:  November 2, 2006

SR-NYSE-2006-63
34-54559 Oct. 2, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 19 (Locking or Crossing Protected Quotations in NMS Stocks)
Comments due:  November 2, 2006
Third Quarter

SR-NYSE-2006-49
34-54530 Sep. 28, 2006 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Amending Rule 123D (Openings and Halts in Trading) and Rule 15 to Shorten the Minimum Required Time Periods Between Tape Indications and Openings or Reopenings
See also:  Notice: Rel. No. 34-54337

SR-NYSE-2006-65
34-54520 Sep. 27, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to Exchange Rules Governing Certain Definitions, Systemic Processing of Certain Orders, and the Implementation Schedule of the NYSE HYBRID MARKETSM
Comments due:  October 20, 2006
See also:  Order: Rel. No. 34-54820
Comments received are available for this notice.

SR-NYSE-2006-76
34-54504 Sep. 26, 2006 Notice of Filing of Proposed Rule Change Relating to Exchange Rule 104.10 ("Dealings by Specialists")
Comments due:  October 19, 2006
See also:  Notice/Order: Rel. No. 34-54860
Comments received are available for this notice.

SR-NYSE-2005-09
34-54491 Sep. 22, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Rule 409 Regarding Statements of Accounts to Customers and Proposed New Rule 409A Regarding SIPC Disclosure
Comments due:  October 23, 2006
See also:  Order: Rel. No. 34-54904

SR-NYSE-2006-72
34-54480 Sep. 21, 2006 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change, As Amended, Relating to Exchange to Exchange Billing Under the Linkage Plan
Comments due:  October 20, 2006

SR-NYSE-2006-60
34-54458 Sep. 15, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to iShares® S&P Global Index Funds
Comments due:  October 12, 2006

SR-NYSE-2006-58
34-54427 Sep. 12, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of Crowd and to Clarify the Requirements of Exchange Rule 70.20(f)
Comments due:  October 10, 2006

SR-NYSE-2005-43
34-54407 Sep. 6, 2006 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Rule 607 Relating to the Classification of Arbitrators as Public or Industry
See also:  Notice: Rel. No. 34-52314
Comments received are available for this notice.

SR-NYSE-2005-58
34-54368 Aug. 25, 2006 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Exchange Rule 312(f) Regarding Changes Within Member Organizations
See also:  Notice: Rel. No. 34-53840
Comments received are available for this notice.

SR-NYSE-2006-07
34-54362 Aug. 25, 2006 Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto To Amend Exchange Rule 104 Regarding the Requirement that Specialists Obtain Floor Official Approval for Destabilizing Dealer Account Transactions that Match the National Best Bid or Offer
Comments due:  September 22, 2006
See also:  Notice: Rel. No. 34-53782
Comments received are available for this notice.

SR-NYSE-2006-53
34-54359 Aug. 24, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of the Revised Uniform Application for Securities Industry Registration or Transfer (Form U4) and Revised Uniform Termination Notice for Securities Industry Registration (Form U5)
Comments due:  September 21, 2006

SR-NYSE-2006-64
34-54350 Aug. 22, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Amend Section 102.01 of the Listed Company Manual to Reduce its Distribution Requirements for Companies Listing Common Equity Securities in Connection with an IPO, Transfer or Quotation
Comments due:  September 19, 2006

SR-NYSE-2006-62
34-54346 Aug. 22, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Pilot Program Amending Listed Company Manual Section 102.01A
Comments due:  September 19, 2006

SR-NYSE-2006-49
34-54337 Aug. 21, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Amending Rule 123D (Openings and Halts in Trading) to Shorten the Minimum Required Time Periods Between Tape Indications and Openings and Between Halts or "Equipment Changeovers" and Reopenings
Comments due:  September 18, 2006
See also:  Order: Rel. No. 34-54530

SR-NYSE-2005-68
34-54344 Aug. 21, 2006 Order Approving Proposed Rule Change and Amendment No. 1 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3, Relating to Annual Financial Statement Distribution Requirements and Listed Company Manual Sections 103.00, 202.05, 203.00, 203.01, 203.02, 203.03, 204.00 through .33, 303A.14, 313.00, 401.04, and 703.09
Comments due:  September 19, 2006
Comments received are available for this notice.

SR-NYSE-2005-18
34-54320 Aug. 15, 2006 Order Approving Proposed Rule Change and Amendments No. 1 and 2 Thereto Regarding NYSE Rule 619 to Clarify That Failure to Appear or Produce Documents in Arbitration May Be Deemed Conduct Inconsistent with Just and Equitable Principles of Trade
See also:  Notice: Rel. No. 34-53599
Comments received are available for this notice.

SR-NYSE-2006-59
34-54316 Aug. 15, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialists Hitting Bids and/or Taking Offers Algorithmically on a Temporary Basis Until Phase II of the Hybrid Market is Fully Implemented
Comments due:  September 11, 2006
Comments received are available for this notice.

SR-NYSE-2006-29
34-54289 Aug. 8, 2006 Order Granting Approval of a Proposed Rule Change Amending the Listed Company Manual to Mandate Listed Companies Become Eligible to Participate in a Direct Registration System
See also:  Notice: Rel. No. 34-53912
Comments received are available for this notice.

SR-NYSE-2006-55
34-54276 Aug. 4, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 36 Communication Between Exchange and Members’ Offices
Comments due:  August 31, 2006

SR-NYSE-2005-03
34-54255 Jul. 31, 2006 Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 to Amend Exchange Rule 325 (Capital Requirements for Member Organizations), Rule 326 (Growth Capital Requirement, Business Reduction Capital Requirement, Unsecured Loans and Advances), and Rule 431 (Margin Requirement)
Comments due:  August 29, 2006
See also:  Notice/Order: Rel. No. 34-55559
Comments received are available for this notice.

SR-NYSE-2004-56
34-54232 Jul. 27, 2006 Notice of Filing of Proposed Rule Change Relating to Amendments to Exchange Rule 611, "Disqualification or Other Disability of Arbitrators"
Comments due:  August 28, 2006
See also:  Order: Rel. No. 34-55593
Comments received are available for this notice.

SR-NYSE-2006-43
34-54223 Jul. 26, 2006 Order Approving Proposed Rule Change to Amend Section 902.02 of the Listed Company Manual to Exempt Companies Transferring from NYSE Arca from Initial Listing Fees and the Annual Fee for the Year of Such Transfer
See also:  Notice: Rel. No. 34-54008

SR-NYSE-2006-52
34-54220 Jul. 26, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Relating to Amendments to Exchange Rule 629 – Schedule of Fees
Comments due:  August 22, 2006

SR-NYSE-2006-51
34-54215 Jul. 26, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 36 to Allow a Registered Competitive Market Maker to Call to and Receive Calls from the Booth
Comments due:  August 22, 2006

SR-NYSE-2005-38
34-54205 Jul. 25, 2006 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Rules 104 (“Dealings by Specialists”) and 123E (“Specialist Combination Review Policy”) to Change the Exchange’s Capital Requirements for Specialist Organizations
See also:  Notice: Rel. No. 34-52969

SR-NYSE-2006-01
34-54195 Jul. 24, 2006 Order Approving Proposed Rule Change to Require Specialists to Publish a 100 x 100 Share Market to Suspend Direct+ for Exchange Rule 127 Block Cross Transactions
See also:  Notice: Rel. No. 34-53932

SR-NYSE-2006-47
34-54178 Jul. 20, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring Member Organizations to Remit a Branch Office System Processing Fee in Connection with the Registration of Branch Offices via the Uniform Branch Office Registration Form through the National Association of Securities Dealers, Inc.’s Central Registration Depository System
Comments due:  August 16, 2006

SR-NYSE-2006-19
34-54177 Jul. 19, 2006 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to List and Trade Index-Linked Notes of Barclays Bank PLC Linked to the Performance of the Goldman Sachs Crude Oil Total Return IndexTM
See also:  Notice: Rel. No. 34-53967

SR-NYSE-2006-36
34-54150 Jul. 14, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Exchange Rule 70 to Provide Floor Brokers With the Ability to Enter Discretionary Instructions and/or Pegging Instructions with respect to Floor Broker Agency Interest Files (e-Quotes)
Comments due:  August 11, 2006
See also:  Order: Rel. No. 34-54577
Comments received are available for this notice.

SR-NYSE-2006-46
34-54142 Jul. 13, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Equity Transaction Fees and to Exempt Specialist Firms from ETF Transaction Fees
Comments due:  August 11, 2006
Comments received are available for this notice.

SR-NYSE-2006-48
34-54140 Jul. 13, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Moratorium on the Qualification and Registration of New Competitive Traders and New Registered Competitive Market Makers, Governed by NYSE Rules 110 and 107A, Respectively, for an Additional Six Months
Comments due:  August 11, 2006

SR-NYSE-2005-93
34-54125 Jul. 11, 2006 Order Approving a Proposed Rule Change to Rule 431 ("Margin Requirements") and Rule 726 ("Delivery of Options Disclosure Document and Prospectus") to Expand the Products Eligible for Customer Portfolio Margining and Cross-Margining Pilot Program
See also:  Notice: Rel. No. 34-53126
Comments received are available for this notice.
Second Quarter

SR-NYSE-2006-24
34-54086 Jun. 30, 2006 Order Approving Proposed Rule Change to Lower the Minimum Display Size Requirement for Specialists to Maintain Undisplayed Reserve Interest at the Exchange Best Bid or Offer in the NYSE Hybrid Market
See also:  Notice: Rel. No. 34-53780

SR-NYSE-2006-32
34-54055 Jun. 28, 2006 Order Granting Approval of Proposed Rule Change Relating to the NYSE Retail Trading Product and the NYSE Program Trading Product
See also:  Notice: Rel. No. 34-53834

SR-NYSE-2005-68
34-54029 Jun. 21, 2006 Notice of Filing of Proposed Rule Change Relating to Annual Financial Statement Distribution Requirements and Listed Company Manual Sections 103.00, 203.00, 203.01, 203.02, 203.03, 204.00 through .33, 303A.14, 313.00, 401.04, and 703.09
Comments due:  July 20, 2006
See also:  Order: Rel. No. 34-54344
Comments received are available for this notice.

SR-NYSE-2006-44
34-54024 Jun. 21, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist Algorithmic Quoting Messages Permitted Pursuant to Exchange Rule 104
Comments due:  July 19, 2006
Comments received are available for this notice.

SR-NYSE-2006-35
34-54020 Jun. 20, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Listing and Trading the Shares of Six CurrencyShares Trusts
Comments due:  July 18, 2006

SR-NYSE-2006-17
34-54013 Jun. 16, 2006 Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2, Relating to Listing and Trading Shares of the iShares GSCI Commodity Indexed Trust under New Rules 1300B and 1301B, et seq.
Comments due:  July 17, 2006
See also:  Notice: Rel. No. 34-53659
Comments received are available for this notice.

SR-NYSE-2006-05
34-54012 Jun. 16, 2006 Order Approving Proposed Rule Change as Amended by Amendments No. 1 and 2 Amending an Interpretation of NYSE Rule 345 (Employees – Registration, Approval, Records)
See also:  Notice: Rel. No. 34-53789

SR-NYSE-2006-43
34-54008 Jun. 16, 2006 Notice of Filing of Proposed Rule Change to Amend Section 902.02 of the Listed Company Manual to Exempt Companies Transferring from NYSE Arca from Initial Listing Fees and the Annual Fee for the Year of Such Transfer
Comments due:  July 17, 2006
See also:  Order: Rel. No. 34-54223

SR-NYSE-2006-41
34-53998 Jun. 15, 2006 Notice of Filing and Amendment No. 1 Thereto and Order Granting Accelerated Approval of Proposed Rule Change To List and Trade Thirty-Four WisdomTree Exchange Traded Funds
Comments due:  July 13, 2006
* Submit comments on SR-NYSE-2006-41

SR-NYSE-2005-60
34-53983 Jun. 14, 2006 Order Approving Proposed Rule Change and Amendment Nos. 2 and 3 Thereto Relating to Proposed New Rules 342.24 ("Annual Branch Office Inspection") and 342.25 ("Risk-Based Surveillance and Branch Office Identification") to Permit Member Organizations to Classify Appropriate Branch Offices for Cyclical Inspections and Proposed New Rule 342.26 ("Criteria for Inspection Programs")
See also:  Notice: Rel. No. 34-53689

SR-NYSE-2006-42
34-53978 Jun. 13, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to American Depositary Receipt Fees
Comments due:  July 11, 2006
Comments received are available for this notice.

SR-NYSE-2006-19
34-53967 Jun. 9, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Index-Linked Notes of Barclays Bank PLC Linked to the Performance of the Goldman Sachs Crude Oil Total Return IndexTM
Comments due:  July 3, 2006
See also:  Order: Rel. No. 34-54177

SR-NYSE-2006-34
34-53958 Jun. 8, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Delete an Obsolete Provision in Its Minor Rule Violation Plan
Comments due:  July 6, 2006

SR-NYSE-2006-39
34-53934 Jun. 1, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Increasing the Maximum Weighting of Certain Component Stocks in Indexes or Portfolios Underlying Investment Company Units
Comments due:  June 29, 2006

SR-NYSE-2006-01
34-53932 Jun. 1, 2006 Notice of Filing of Proposed Rule Change Relating to Exchange Rule 1000 (NYSE Direct+)
Comments due:  June 29, 2006
See also:  Order: Rel. No. 34-54195

SR-NYSE-2006-40
34-53924 Jun. 1, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 476
Comments due:  June 28, 2006

SR-NYSE-2006-29
34-53912 May 31, 2006 Notice of Filing of Proposed Rule Change by the New York Stock Exchange LLC Amending the Listed Company Manual to Mandate Listed Companies Become Eligible to Participate in a Direct Registration System
Comments due:  June 28, 2006
See also:  Order: Rel. No. 34-54289
Comments received are available for this notice.

SR-NYSE-2006-16
34-53876 May 25, 2006 Order Granting Approval of a Proposed Rule Change and Amendment No. 1 Relating to the Listing and Trading of Index-Linked Securities of Barclays Bank PLC Linked to the Performance of the Dow Jones – AIG Commodity Index Total Return
See also:  Notice: Rel. No. 34-53639

SR-NYSE-2006-20
34-53849 May 22, 2006 Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Index-Linked Securities of Barclays Bank PLC Linked to the Performance of the GSCI® Total Return Index
See also:  Notice: Rel. No. 34-53658

SR-NYSE-2005-78
34-53848 May 19, 2006 Order Approving a Proposed Rule Change Relating to Amendments to New York Stock Exchange Rules 35 ("Floor Employees to be Registered") and 301 ("Proposed Transfer or Lease of Membership")
See also:  Notice: Rel. No. 34-53018

SR-NYSE-2005-58
34-53840 May 19, 2006 Notice of Filing of Proposed Rule Change Relating to Exchange Rule 312(f) Regarding Changes Within Member Organizations
Comments due:  June 16, 2006
See also:  Order: Rel. No. 34-54368
Comments received are available for this notice.

SR-NYSE-2006-31
34-53835 May 18, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the NYSE Retail Trading Product and the NYSE Program Trading Product
Comments due:  June 16, 2006

SR-NYSE-2006-32
34-53834 May 18, 2006 Notice of Filing of Proposed Rule Change Relating to the NYSE Retail Trading Product and the NYSE Program Trading Product
Comments due:  June 14, 2006
See also:  Order: Rel. No. 34-54055

SR-NYSE-2005-90
34-53826 May 18, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 to Allow Certain Institutional Customers to Elect Not to Receive Account Statements
Comments due:  June 15, 2006
See also:  Order: Rel. No. 34-54810A; Order: Rel. No. 34-54810
Comments received are available for this notice.
* Submit comments on SR-NYSE-2005-90

SR-NYSE-2006-38
34-53825 May 17, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Financial Listing Criteria
Comments due:  June 14, 2006

SR-NYSE-2006-26
34-53800 May 15, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Establishment of a NYSE TradeWorks Usage Fee
Comments due:  June 9, 2006

SR-NYSE-2006-33
34-53791 May 11, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pilot Program beginning on May 12, 2006 and ending on October 31, 2006 or sooner, to implement certain Hybrid Market changes and amend certain changes to approved Hybrid Market rules
Comments due:  June 7, 2006

SR-NYSE-2006-05
34-53789 May 11, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Interpretation of NYSE Rule 345 (Employees – Registration, Approval, Records)
Comments due:  June 7, 2006
See also:  Order: Rel. No. 34-54012

SR-NYSE-2006-07
34-53782 May 10, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Exchange Rule 104 Regarding the Requirement that Specialists Obtain Floor Official Approval for Destabilizing Dealer Account Transactions that Match the National Best Bid or Offer
Comments due:  June 6, 2006
See also:  Order: Rel. No. 34-54362
Comments received are available for this notice.

SR-NYSE-2006-24
34-53780 May 10, 2006 Notice of Filing of Proposed Rule Change Relating to Exchange Rule 104(d) Governing Specialist Trading in the NYSE Hybrid Market
Comments due:  June 6, 2006
See also:  Order: Rel. No. 34-54086

SR-NYSE-2006-27
34-53777 May 9, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Pilot Program Amending Listed Company Manual Section 102.01A
Comments due:  June 5, 2006

SR-NYSE-2006-13
34-53728 Apr. 26, 2006 Notice of Extension of Comment Periods for the Proposed Rule Changes Relating to Customer Portfolio Margining Requirements
Comments due:  May 11, 2006
Additional File No.: SR-CBOE-2006-14
See also:   SR-NYSE-2006-13: Order: Rel. No. 34-54918;Notice: Rel. No. 34-53577 and comments and
SR-CBOE-2006-14: Notice: Rel. No. 34-53576 and comments
See also:  Order: Rel. No. 34-54918; Notice: Rel. No. 34-53577

SR-NYSE-2005-60
34-53689 Apr. 20, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto Relating to Proposed New Rules 342.24 ("Annual Branch Office Inspection") and 342.25 ("Risk-Based Surveillance and Branch Office Identification") to Permit Member Organizations to Classify Appropriate Branch Offices for Cyclical Inspections and Proposed New Rule 342.26 ("Criteria for Inspection Programs")
Comments due:  May 18, 2006
See also:  Order: Rel. No. 34-53983

SR-NYSE-2005-72
34-53685 Apr. 20, 2006 Order Granting Approval of a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Thereto to Amend Exchange Delisting Rules to Conform to Recent Amendments to Commission Rules Regarding Removal from Listing and Withdrawal from Registration
Comments due:  May 18, 2006
See also:  Notice: Rel. No. 34-53494

SR-NYSE-2006-17
34-53659 Apr. 17, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Shares of the iShares GSCI Commodity Indexed Trust under New Rules 1300B and 1301B, et seq.
Comments due:  May 9, 2006
See also:  Order: Rel. No. 34-54013
Comments received are available for this notice.

SR-NYSE-2006-20
34-53658 Apr. 14, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Index-Linked Securities of Barclays Bank PLC Linked to the Performance of the GSCI® Total Return Index
Comments due:  May 9, 2006
See also:  Order: Rel. No. 34-53849

SR-NYSE-2006-16
34-53639 Apr. 12, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Relating to the Proposal to List and Trade Index-Linked Securities of Barclays Bank PLC Linked to the Performance of the Dow Jones - AIG Commodity Index Total Return
Comments due:  May 8, 2006
See also:  Order: Rel. No. 34-53876

SR-NYSE-2005-40
34-53602 Apr. 5, 2006 Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to the Exchange's Allocation Policy and Procedures (NYSE Rules 103A, 103B, 123E and 476A)
Comments due:  May 3, 2006 Additional Materials:
Amendment 2, Exhibit 5
* Submit comments on SR-NYSE-2005-40


SR-NYSE-2005- 18
34-53599 Apr. 4, 2006 Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto to Amend NYSE Rule 619 to Clarify That Failure to Appear or Produce Documents in Arbitration May Be Deemed Conduct Inconsistent with Just and Equitable Principles of Trade
Comments due:  May 2, 2006
See also:  Order: Rel. No. 34-54320
Comments received are available for this notice.
First Quarter

SR-NYSE-2005-32
34-53585 Mar. 31, 2006 Order Approving Proposed Rule Change Relating to the Real-Time NYSE OpenBook® Service and OpenBook® Fees and Order Approving Proposed Rule Change Relating to the Contract Terms Governing Vendor Displays of NYSE OpenBook® Data, and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Thereto
Additional File Nos.:  SR-NYSE-2004-43
See also:  SR-NYSE-2005-32: Notice: Rel. No. 34-51925 and comments
SR-NYSE-2004-43: Notice: Rel. No. 34-50275 and comments

SR-NYSE-2006-12
34-53579 Mar. 30, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Related to NYSE Rule 103.12 Regarding Time Tracking Requirements of Specialists and Clerks
Comments due:  April 27, 2006

SR-NYSE-2006-13
34-53577 Mar. 30, 2006 Notice of Filing of Proposed Rule Change to Rule 431 ("Margin Requirements") and Rule 726 ("Delivery of Options Disclosure Document and Prospectus") to Expand the Products Eligible for Customer Portfolio Margining and Cross-Margining and Eliminate Separate Cross-Margin Accounts
Comments due:  April 27, 2006
See also:   SR-NYSE-2006-13: Order: Rel. No. 34-54918 and comments; and
SR-CBOE-2006-14: Notice: Rel. No. 34-53576 and comments
See also:  Order: Rel. No. 34-54918; Notice: Rel. No. 34-53728

SR-NYSE-2006-23
34-53575 Mar. 30, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Exchange Rules 475 and 476
Comments due:  April 27, 2006

SR-NYSE-2005-86
34-53565 Mar. 29, 2006 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Conform NYSE Rules 123C and 476A with NYSE Rule 80A
See also:  Notice: Rel. No. 34-53326

SR-NYSE-2006-11
34-53549 Mar. 24, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Modification to the Existing Moratorium on the Qualification and Registration of Registered Competitive Market Makers
Comments due:  April 21, 2006

SR-NYSE-2004-05
34-53539 Mar. 22, 2006 Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 3, and 5 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 6, 7, and 8 to the Proposed Rule Change to Establish the Hybrid Market
Comments due:  April 21, 2006
See also:  Notices: Rel. Nos. 34-51906, 34-50667, 34-50277, 34-50173
Comments received are available for this notice.

SR-NYSE-2005-72
34-53494 Mar. 16, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amending Exchange Delisting Rules to Conform to Recent Amendments to Commission Rules Regarding Removal from Listing and Withdrawal from Registration
Comments due:  April 11, 2006
See also:  Order: Rel. No. 34-53685

SR-NYSE-2006-21
34-53487 Mar. 15, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Pilot Until March 24, 2006 to Put Into Operation Phase 1 of the NYSE HYBRID MARKETSM
Comments due:  April 11, 2006

SR-NYSE-2006-18
34-53472 Mar. 13, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 104, Dealings by Specialists
Comments due:  April 7, 2006

SR-NYSE-2006-14
34-53443 Mar. 8, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Establishment of a Trading License Fee for 2006 and the Creation of Certain Other Fees for Trading License Holders
Comments due:  April 4, 2006

SR-NYSE-2006-15
34-53426 Mar. 7, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to the Restated Certificate of Incorporation of NYSE Regulation, Inc.
Comments due:  April 3, 2006

SR-NYSE-2005-77
34-53382 Feb. 27, 2006 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 3, and 5 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 6 and 8 Relating to the NYSE's Business Combination with Archipelago Holdings, Inc.
Comments due:  March 27, 2006
See also:  Notice: Rel. No. 34-53073
Comments received are available for this notice.
Additional Materials: Amendment 6, Amendment 8, Amendment 8, Exhibit 5

SR-NYSE-2006-09
34-53359 Feb. 24, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Automatic Conversion of CAP-DI Orders
Comments due:  March 23, 2006

SR-NYSE-2006-08
34-53354 Feb. 23, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .26 to Exchange Rule 301 to Waive the Posting Requirements in Relation to Transfers for Nominal Consideration Between Employees of the Same Member Organization and New Leases
Comments due:  March 23, 2006

SR-NYSE-2005-86
34-53327 Feb. 16, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Conform NYSE Rules 123C and 476A with NYSE Rule 80A
Comments due:  March 17, 2006
See also:  Order: Rel. No. 34-53565

SR-NYSE-2006-03
34-53277 Feb. 13, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend for an Additional Six Months the Pilot Program Permitting a Floor Broker and an RCMM to Use an Exchange Authorized and Provided Portable Telephone on the Exchange Floor
Comments due:  March 14, 2006

SR-NYSE-2006-02
34-53275 Feb. 13, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Two Crossing Sessions in the Exchange's Off-Hours Trading Facility
Comments due:  March 10, 2006

SR-NYSE-2005-92
34-53235 Feb. 6, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Increasing Certain Fees Charged by the Exchange to Its Members and Member Organizations
Comments due:  March 7, 2006

SR-NYSE-2005-80
34-53213 Feb. 2, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to NYSE Rule 36, RCMMs’ Ability to Use Exchange Authorized and Issued Portable Phones on the NYSE Floor
Comments due:  March 3, 2006

SR-NYSE-2005-74
34-53208 Feb. 2, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to an Interpretation of Exchange Rule 108(a)
Comments due:  March 2, 2006
Comments received are available for this notice.

SR-NYSE-2005-36
34-53176 Jan. 25, 2006 Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to the Proposed Rule Change to Amend Rule 445
See also:  Notice: Rel. No. 34-51934
Comments received are available for this notice.

SR-NYSE-2005-75
34-53152 Jan. 19, 2006 Order Granting Approval to a Proposed Rule Change Relating to Section 802.01E of the Listed Company Manual Concerning Continued Listing of Companies that Fail to File Their Securities Exchange Act of 1934 Annual Reports in a Timely Manner
See also:  Notice: Rel. No. 34-52760
Comments received are available for this notice.

SR-NYSE-2005-93
34-53126 Jan. 13, 2006 Notice of Filing of Proposed Rule Change to Rule 431 ("Margin Requirements") and Rule 726 ("Delivery of Options Disclosure Document and Prospectus") to Expand the Products Eligible for Customer Portfolio Margining and Cross-Margining
Comments due:  February 13, 2006
See also:  Order: Rel. No. 34-54125
Comments received are available for this notice.

SR-NYSE-2005-37
34-53124 Jan. 13, 2006 Order Approving a Proposed Rule Change and Amendments No. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to Amendments to Certain Sections of the Exchange Constitution Concerning the Exchange's Hearing Board and Related Amendments to Exchange Rule 475 and Rule 476
See also:  Notice: Rel. No. 34-52638

SR-NYSE-2005-77
34-53073 Jan. 6, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, 4 and 5 Relating the Exchange’s Business Combination with Archipelago Holdings, Inc.
Comments due:  February 2, 2006
See also:  Order: Rel. No. 34-53382
Comments received are available for this notice.
Additional Materials: Amendment 5, Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H, Exhibit 5I, Exhibit 5J, Exhibit 5K,

SR-NYSE-2005-91
34-53071 Jan. 6, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Certain of the Exchange’s Facility and Equipment Fees and System Processing Fees Charged to Members
Comments due:  February 3, 2006


NYSE File Number List

Release No. Date Details

SR-NYSE-2006-120
34-55293 Feb. 14, 2007 Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Regarding the Proposed Combination Between NYSE Group, Inc. and Euronext N.V.
Comments due:  March 15, 2007
Additional Materials: Amendment No. 1; Exhibit 5C; Exhibit 5D; Exhibit 5F; Exihibit 5G; Exhibit 5H; Exhibit 5I; Exhibit 5J; Exhibit 5M
Comments received are available for this notice.
34-55026 Dec. 29, 2006 Notice of Filing of Proposed Rule Change Regarding Proposed Combination Between NYSE Group, Inc. and Euronext N.V.
Comments due:  January 29, 2007
Additional Materials:   Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H, Exhibit 5I, Exhibit 5J, Exhibit 5K, Exhibit 5L, and Exhibit 5M
Comments received are available for this notice.

SR-NYSE-2006-117
34-55069 Jan. 9, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Exemption from Equity Trading Fees for Principal Transactions by a Member Organization "Facilitating" a Customer Order of at Least 10,000 Shares
Comments due:  February 9, 2007

SR-NYSE-2006-116
34-55198 Jan. 30, 2007 Order Approving Proposed Rule Change Amending Annual Report Timely Filing Requirements
34-54977 Dec. 20, 2006 Notice of Filing of Proposed Rule Change Relating to Amendment of Annual Report Timely Filing Requirements
Comments due:  January 18, 2007

SR-NYSE-2006-114
34-54970 Dec. 19, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 123A.30 to Eliminate the Two Tick Rule to Allow for the Execution of CAP-DI Orders at Consecutive Destabilizing Prices Without Floor Official Approval
Comments due:  January 18, 2007

SR-NYSE-2006-113
34-54985 Dec. 21, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Moratorium on the Qualification and Registration of New Registered Competitive Market Makers and New Competitive Traders, Governed by Rules 107A and 110, Respectively, for an Additional Six Months
Comments due:  January 24, 2007

SR-NYSE-2006-111
34-55406 Mar. 6, 2007 Order Approving Proposed Rule Changes to Increase the Frequency of the Short Interest Reporting Requirements
Additional File Numbers:  SR-NASD-2006-131; SR-Amex-2007-05
34-55170 Jan. 26, 2007 Notice of Filing of Proposed Rule Changes to Increase the Frequency of the Short Interest Reporting Requirements
Additional File Numbers:  SR-NASD-2006-131; SR-Amex-2007-05
Comments due:  February 22, 2007
Comments received are available for this notice.

SR-NYSE-2006-110
34-55120 Jan. 18, 2007 Order Approving a Proposed Rule Change Relating to Its Linkage Order Fee
34-54912 Dec. 11, 2006 Notice of Filing of Proposed Rule Change Relating to the Retroactive Application of an Increase to Its Linkage Order Fee
Comments due:  January 5, 2007

SR-NYSE-2006-109
34-55216 Jan. 31, 2007 Order Granting Approval of Proposed Rule Change Relating to NYSE Regulation, Inc. Policies Regarding Exercise of Power to Fine NYSE Member Organizations and Use of Money Collected as Fines
34-55003 Dec. 22, 2006 Notice of Filing of Proposed Rule Change Relating to NYSE Regulation, Inc. Policies Regarding Exercise of Power to Fine NYSE Member Organizations and Use of Money Collected as Fines
Comments due:  January 19, 2007

SR-NYSE-2006-108
34-54911 Dec. 11, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Linkage Fee
Comments due:  January 5, 2007

SR-NYSE-2006-106
34-54856 Dec. 1, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fees Charged to Member Organizations for Transactions in Equity Securities
Comments due:  December 29, 2006
Comments received are available for this notice.

SR-NYSE-2006-105
34-54850 Nov. 30, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Prohibit Specialists from Charging Commissions on Transactions in their Specialty Securities
Comments due:  December 29, 2006
Comments received are available for this notice.

SR-NYSE-2006-104
34-54849 Nov. 30, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive Initial Listing Fee and One-Time Special Charge in Connection with Listing New Class of Common Shares Payable by Any Company Listed on Another National Securities Exchange that Transfers the Listing of its Primary Class of Common Shares to the NYSE
Comments due:  December 29, 2006

SR-NYSE-2006-103
34-54887 Dec. 6, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Amendment to the Earnings Standard Included in the Exchange’s Financial Listing Criteria
Comments due:  January 3, 2007

SR-NYSE-2006-102
34-54837 Nov. 29, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Inclusion of an Additional Security in the Pilot to Put Into Operation Certain Rule Changes Pending before the Securities and Exchange Commission to Coincide with the Exchange's Implementation of Phase 3 of the NYSE HYBRID MARKETSM and the Substitution of the Name and Trading Symbol of a Security Operating in the Pilot
Comments due:  December 26, 2006

SR-NYSE-2006-101
34-55113 Jan. 17, 2007 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendments No. 1 and 2 Thereto Adopting Generic Listing Standards for Exchange-Traded Funds Based on International or Global Indexes or Indexes Previously Approved by the Commission as Underlying Benchmarks for Derivative Securities
Comments due:  February 14, 2007

SR-NYSE-2006-99
34-56958 Dec. 13, 2007 Order Approving Proposed Rule Change as Modified by Amendment Nos. 2 and 3 Thereto Relating to Rule 104 (Dealings by Specialists)
34-56747 Nov. 5, 2007 Notice of Filing of a Proposed Rule Change Relating to Rule 104 (Dealings by Specialists)
Comments due:  December 4, 2007

SR-NYSE-2006-98
34-54998 Dec. 21, 2006 Order Approving Proposed Rule Change and Notice of filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto, Regarding the Amendment of NYSE Rule 300 Relating to Trading Licenses and the Deletion of NYSE Rule 300T
Comments due:  January 19, 2007
34-54713 Nov. 6, 2006 Notice of Filing of a Proposed Rule Change Regarding the Amendment of NYSE Rule 300 Relating to Trading Licenses and the Deletion of NYSE Rule 300T
Comments due:  December 5, 2006
Comments received are available for this notice.

SR-NYSE-2006-97
34-55079 Jan. 10, 2007 Order Approving Proposed Rule Change Relating to Exchange Rule 342 ("Offices – Approval, Supervision and Control")
34-54847 Nov. 30, 2006 Notice of Filing of Proposed Rule Change to NYSE Rule 342.30
Comments due:  December 28, 2006

SR-NYSE-2006-96
34-54675 Oct. 31, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Request to Extend the Pilot Operating During the Exchange’s Implementation of NYSE Hybrid Market Phase 3 until November 30, 2006
Comments due:  November 27, 2006
Comments received are available for this notice.

SR-NYSE-2006-95
34-54685 Nov. 1, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include an Additional 32 Securities in the Current Exchange Pilot Operating in Conjunction with the Implementation of Hybrid Market Phase 3
Comments due:  November 29, 2006

SR-NYSE-2006-94
34-54653 Oct. 26, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 122 (Orders with More than One Broker) until the Availability of Full d-Quote Functionality in a Particular Security or February 5, 2007, Whichever Comes First
Comments due:  November 24, 2006

SR-NYSE-2006-93
34-54910 Dec. 11, 2006 Order Approving Proposed Rule Change to Amend NYSE Rule 607 Concerning the Use of the Random Selection Method to Appoint Arbitrators in Matters Not Involving Customers
34-54694 Nov. 2, 2006 Notice of Filing of Proposed Rule Change Relating to Amendments to NYSE Rule 607 Concerning the Use of the Random Selection Method to Appoint Arbitrators in Matters Not Involving Customers
Comments due:  November 30, 2006
Comments received are available for this notice.

SR-NYSE-2006-92
34-60215 Jul. 1, 2009 Order Approving Proposed Rule Change, as modified by Amendment No. 4, to Amend NYSE Rule 452 and Corresponding Listed Company Manual Section 402.08 to Eliminate Broker Discretionary Voting for the Election of Directors, Except for Companies Registered under the Investment Company Act of 1940, and to Codify Two Previously Published Interpretations that Do Not Permit Broker Discretionary Voting for Material Amendments to Investment Advisory Contracts with an Investment Company
34-59464 Feb. 26, 2009 Notice of Filing of Proposed Rule Change, as modified by Amendment No. 4, to Amend NYSE Rule 452 and Listed Company Manual Section 402.08 to Eliminate Broker Discretionary Voting for the Election of Directors and Codify Two Previously Published Interpretations That Do Not Permit Broker Discretionary Votes for Material Amendments to Investment Advisory Contracts
Comments due:  March 27, 2009
Comments received are available for this notice.

SR-NYSE-2006-91
34-54743 Nov. 13, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 116 ("Stop" Constitutes Guarantee)
Comments due:  December 11, 2006

SR-NYSE-2006-90
34-55084 Jan. 10, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 13 (Definitions of Orders)
Comments due:  February 8, 2007

SR-NYSE-2006-89
34-54955 Dec. 18, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Require Member Organizations to Use Their Own Mnemonics When Entering Orders
Comments due:  January 17, 2007

SR-NYSE-2006-88
34-54649 Oct. 24, 2006 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to NYSE Listed Company Manual Section 703.16 (Investment Company Units)
Comments due:  November 21, 2006

SR-NYSE-2006-87
34-54624 Oct. 18, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 13 (Definitions of Orders)
Comments due:  November 15, 2006

SR-NYSE-2006-86
34-54611 Oct. 16, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 13 ("Definitions of Orders") to clarify that an Immediate or Cancel order must be designated "Regulation NMS-compliant Immediate or Cancel" in order to be so executed, and to modify the definition of an "At the Opening" or "At the Opening Only" order to ensure that it complies with the Securities and Exchange Commission's Regulation NMS
Comments due:  November 13, 2006

SR-NYSE-2006-84
34-54610 Oct. 16, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pilot to Put into Operation Certain Rule Changes Pending before the Securities and Exchange Commission to Coincide with the Exchange's Implementation of Phase 3 of the NYSE HYBRID MARKETsm
Comments due:  November 13, 2006

SR-NYSE-2006-82
34-54578 Oct. 5, 2006 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to A Pilot Until 10/31/06 to Put Into Operation Certain Rule Changes Pending Before the Securities and Exchange Commission to Coincide With the Exchange’s Implementation of Phase 3 of the NYSE HYBRID MARKETSM
Comments due:  November 2, 2006
Comments received are available for this notice.

SR-NYSE-2006-81
34-54594 Oct. 12, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Addition of Real-Time Quotation Information to the NYSE OpenBook® Service
Comments due:  November 9, 2006
Comments received are available for this notice.

SR-NYSE-2006-80
34-55067 Jan. 9, 2007 Order Approving a Proposed Rule Change and Amendment No. 1 Relating To NYSE Rule 1300 (Gold Shares) and NYSE Rule 51 (Hours of Business)

SR-NYSE-2006-80
34-54801 Nov. 21, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to NYSE Rule 1300 (Gold Shares) and NYSE Rule 51 (Hours of Business)
Comments due:  December 19, 2006

SR-NYSE-2006-79
34-54727 Nov. 8, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Fee on Orders in Equities and Exchange Traded Funds Routed From the Exchange and Executed in Another Market Pursuant to the Linkage Plan
Comments due:  December 7, 2006

SR-NYSE-2006-78
34-55072 Jan. 9, 2007 Notice of Filing of Proposed Rule Changes to Amend NYSE Rules 472 and 344, and NASD Rules 1050 and 2711 Relating to Research Analyst Conflicts of Interest
Additional Nos.:   SR-NASD-2006-113
Comments due:  March 5, 2007
Comments received are available for this notice.
* Submit comments on SR-NYSE-2006-78

SR-NYSE-2006-77
34-54616 Oct. 17, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to NYSE Rule 472 and NASD Rule 2711
Comments due:  November 17, 2006
Additional File No.:  SR-NASD-2006-112
Comments received are available for this notice.

SR-NYSE-2006-75
34-55585 Apr. 5, 2007 Order Granting Approval to Proposed Rule Change as Modified by Amendment No. 1 Thereto to List and Trade Four iShares® GS® Commodity Indexed Trusts
See also:  Notice: Rel. No. 34-54992

SR-NYSE-2006-76
34-54860 Dec. 1, 2006 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change, as Amended, Relating to Exchange Rule 104.10 ("Dealings by Specialists")
Comments due:  December 29, 2006
Comments received are available for this notice.
34-54504 Sep. 26, 2006 Notice of Filing of Proposed Rule Change Relating to Exchange Rule 104.10 ("Dealings by Specialists")
Comments due:  October 19, 2006
Comments received are available for this notice.

SR-NYSE-2006-75
34-54992 Dec. 21, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Four iShares® GS® Commodity Indexed Trusts
Comments due:  January 16, 2007
See also:  Order: Rel. No. 34-55585

SR-NYSE-2006-74
34-54560 Oct. 2, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 17
Comments due:  November 2, 2006

SR-NYSE-2006-73
34-54843 Nov. 30, 2006 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment Nos. 1, 2, and 3 Relating to Block Positioning
Comments due:  December 28, 2006

SR-NYSE-2006-72
34-54480 Sep. 21, 2006 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change, As Amended, Relating to Exchange to Exchange Billing Under the Linkage Plan
Comments due:  October 20, 2006

SR-NYSE-2006-71
34-55548 Mar. 28, 2007 Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 to List and Trade Nine Series of Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of Sub-Indices of the Dow Jones - AIG Commodity IndexSM
34-55352 Feb. 26, 2007 Notice of Filing of Proposed Rule Change to List and Trade Nine Series of Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of Sub-Indices of the Dow Jones - AIG Commodity IndexSM
Comments due:  March 19, 2007

SR-NYSE-2006-70
34-54916 Dec. 11, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to iShares® Lehman Bond Funds
Comments due:  January 9, 2007

SR-NYSE-2006-69
34-54944 Dec. 15, 2006 Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the MSCI India Equities Index
34-54800 Nov. 21, 2006 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the MSCI India Equities Index
Comments due:  December 19, 2006
Comments received are available for this notice.

SR-NYSE-2006-68
34-55222 Feb. 1, 2007 Notice of Filing of a Proposed Rule Change and Amendments No. 1, 2, and 3 Thereto to List and Trade Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the U.S. Dollar/Japanese Yen Exchange Rate
Comments due:  February 23, 2007
* Submit comments on SR-NYSE-2006-68

SR-NYSE-2006-67
34-55189 Jan. 29, 2007 Notice of Filing of a Proposed Rule Change and Amendments No. 1 and 2 Thereto to List and Trade Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the British pound/U.S. Dollar Exchange Rate
Comments due:  February 20, 2007
* Submit comments on SR-NYSE-2006-67

SR-NYSE-2006-66
34-55188 Jan. 29, 2007 Notice of Filing of a Proposed Rule Change and Amendments No. 1 and 2 Thereto to List and Trade Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the euro/U.S. Dollar Exchange Rate
Comments due:  February 20, 2007
* Submit comments on SR-NYSE-2006-66

SR-NYSE-2006-65
34-54820 Nov. 27, 2006 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 5 Thereto Relating to Exchange Rules Governing Certain Definitions, Systemic Processing of Certain Orders, and the Implementation Schedule of the NYSE Hybrid Market
Comments due:  December 27, 2006
34-54520 Sep. 27, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to Exchange Rules Governing Certain Definitions, Systemic Processing of Certain Orders, and the Implementation Schedule of the NYSE HYBRID MARKETSM
Comments due:  October 20, 2006
Comments received are available for this notice.

SR-NYSE-2006-64
34-54350 Aug. 22, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Amend Section 102.01 of the Listed Company Manual to Reduce its Distribution Requirements for Companies Listing Common Equity Securities in Connection with an IPO, Transfer or Quotation
Comments due:  September 19, 2006

SR-NYSE-2006-63
34-54559 Oct. 2, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 19 (Locking or Crossing Protected Quotations in NMS Stocks)
Comments due:  November 2, 2006

SR-NYSE-2006-62
34-54346 Aug. 22, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Pilot Program Amending Listed Company Manual Section 102.01A
Comments due:  September 19, 2006

SR-NYSE-2006-61
34-54982 Dec. 20, 2006 Notice of Filing of Proposed Rule Changes and Amendment No. 1 thereto to Rules 601, 607, 612 and 629 Relating to Single Arbitrators for Claims not Exceeding $200,000
Comments due:  January 19, 2007
Comments received are available for this notice.
* Submit comments on SR-NYSE-2006-61

SR-NYSE-2006-60
34-54458 Sep. 15, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to iShares® S&P Global Index Funds
Comments due:  October 12, 2006

SR-NYSE-2006-59
34-54316 Aug. 15, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialists Hitting Bids and/or Taking Offers Algorithmically on a Temporary Basis Until Phase II of the Hybrid Market is Fully Implemented
Comments due:  September 11, 2006
Comments received are available for this notice.

SR-NYSE-2006-58
34-54427 Sep. 12, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of Crowd and to Clarify the Requirements of Exchange Rule 70.20(f)
Comments due:  October 10, 2006

SR-NYSE-2006-57
34-55132 Jan. 19, 2007 Order Granting Approval of a Proposed Rule Change Amending Rule 180 to Require Member Organizations to Use the Automated Liability Notification System of a Registered Clearing Agency
34-54818 Nov. 27, 2006 Notice of Filing of Proposed Rule Change Amending Rule 180 to Require Member Organizations to Use the Automated Liability Notification System of a Registered Clearing Agency
Comments due:  December 28, 2006
Comments received are available for this notice.

SR-NYSE-2006-55
34-54276 Aug. 4, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 36 Communication Between Exchange and Members’ Offices
Comments due:  August 31, 2006

SR-NYSE-2006-54
34-54731 Nov. 9, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 to List and Trade Two Series of Commodity-Linked Securities of Wachovia Corporation
Comments due:  December 7, 2006

SR-NYSE-2006-53
34-54359 Aug. 24, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of the Revised Uniform Application for Securities Industry Registration or Transfer (Form U4) and Revised Uniform Termination Notice for Securities Industry Registration (Form U5)
Comments due:  September 21, 2006

SR-NYSE-2006-52
34-54220 Jul. 26, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Relating to Amendments to Exchange Rule 629 – Schedule of Fees
Comments due:  August 22, 2006

SR-NYSE-2006-51
34-54215 Jul. 26, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 36 to Allow a Registered Competitive Market Maker to Call to and Receive Calls from the Booth
Comments due:  August 22, 2006

SR-NYSE-2006-49
34-54530 Sep. 28, 2006 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Amending Rule 123D (Openings and Halts in Trading) and Rule 15 to Shorten the Minimum Required Time Periods Between Tape Indications and Openings or Reopenings
34-54337 Aug. 21, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Amending Rule 123D (Openings and Halts in Trading) to Shorten the Minimum Required Time Periods Between Tape Indications and Openings and Between Halts or "Equipment Changeovers" and Reopenings
Comments due:  September 18, 2006

SR-NYSE-2006-48
34-54140 Jul. 13, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Moratorium on the Qualification and Registration of New Competitive Traders and New Registered Competitive Market Makers, Governed by NYSE Rules 110 and 107A, Respectively, for an Additional Six Months
Comments due:  August 11, 2006

SR-NYSE-2006-47
34-54178 Jul. 20, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring Member Organizations to Remit a Branch Office System Processing Fee in Connection with the Registration of Branch Offices via the Uniform Branch Office Registration Form through the National Association of Securities Dealers, Inc.’s Central Registration Depository System
Comments due:  August 16, 2006

SR-NYSE-2006-46
34-54142 Jul. 13, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Equity Transaction Fees and to Exempt Specialist Firms from ETF Transaction Fees
Comments due:  August 11, 2006
Comments received are available for this notice.

SR-NYSE-2006-45
34-55264 Feb. 9, 2007 Order Approving Proposed Rule Change to Amend NYSE Rule 638 Concerning Mediation
Comments received are available for this notice.
34-54917 Dec. 11, 2006 Notice of Filing of Proposed Rule Change Relating to Amendments to Exchange Rule 638 Concerning Mediation
Comments due:  January 11, 2007
Comments received are available for this notice.

SR-NYSE-2006-44
34-54024 Jun. 21, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist Algorithmic Quoting Messages Permitted Pursuant to Exchange Rule 104
Comments due:  July 19, 2006
Comments received are available for this notice.

SR-NYSE-2006-43
34-54223 Jul. 26, 2006 Order Approving Proposed Rule Change to Amend Section 902.02 of the Listed Company Manual to Exempt Companies Transferring from NYSE Arca from Initial Listing Fees and the Annual Fee for the Year of Such Transfer
34-54008 Jun. 16, 2006 Notice of Filing of Proposed Rule Change to Amend Section 902.02 of the Listed Company Manual to Exempt Companies Transferring from NYSE Arca from Initial Listing Fees and the Annual Fee for the Year of Such Transfer
Comments due:  July 17, 2006

SR-NYSE-2006-42
34-53978 Jun. 13, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to American Depositary Receipt Fees
Comments due:  July 11, 2006
Comments received are available for this notice.

SR-NYSE-2006-41
34-53998 Jun. 15, 2006 Notice of Filing and Amendment No. 1 Thereto and Order Granting Accelerated Approval of Proposed Rule Change To List and Trade Thirty-Four WisdomTree Exchange Traded Funds
Comments due:  July 13, 2006
* Submit comments on SR-NYSE-2006-41

SR-NYSE-2006-40
34-53924 Jun. 1, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 476
Comments due:  June 28, 2006

SR-NYSE-2006-39
34-53934 Jun. 1, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Increasing the Maximum Weighting of Certain Component Stocks in Indexes or Portfolios Underlying Investment Company Units
Comments due:  June 29, 2006

SR-NYSE-2006-38
34-53825 May 17, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Financial Listing Criteria
Comments due:  June 14, 2006

SR-NYSE-2006-37
34-55496 Mar. 20, 2007 Notice of Filing of Amendment No. 3 to and Order Granting Accelerated Approval of Proposed Rule Change, as amended, Relating to the Establishment of NYSE Bonds
Comments due:  April 18, 2007
Comments received are available for this notice.
34-54615 Oct. 17, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Exchange Rule 86 (Automated Bond System®)
Comments due:  November 14, 2006
Comments received are available for this notice.

SR-NYSE-2006-36
34-54577 Oct. 5, 2006 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Provide Floor Brokers With the Ability to Enter Discretionary Instructions and/or Pegging Instructions with Respect to Floor Broker Agency Interest Files (e-Quotes)
34-54150 Jul. 14, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Exchange Rule 70 to Provide Floor Brokers With the Ability to Enter Discretionary Instructions and/or Pegging Instructions with respect to Floor Broker Agency Interest Files (e-Quotes)
Comments due:  August 11, 2006
Comments received are available for this notice.

SR-NYSE-2006-35
34-54020 Jun. 20, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Listing and Trading the Shares of Six CurrencyShares Trusts
Comments due:  July 18, 2006

SR-NYSE-2006-34
34-53958 Jun. 8, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Delete an Obsolete Provision in Its Minor Rule Violation Plan
Comments due:  July 6, 2006

SR-NYSE-2006-33
34-53791 May 11, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pilot Program beginning on May 12, 2006 and ending on October 31, 2006 or sooner, to implement certain Hybrid Market changes and amend certain changes to approved Hybrid Market rules
Comments due:  June 7, 2006

SR-NYSE-2006-32
34-54055 Jun. 28, 2006 Order Granting Approval of Proposed Rule Change Relating to the NYSE Retail Trading Product and the NYSE Program Trading Product
34-53834 May 18, 2006 Notice of Filing of Proposed Rule Change Relating to the NYSE Retail Trading Product and the NYSE Program Trading Product
Comments due:  June 14, 2006

SR-NYSE-2006-31
34-53835 May 18, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the NYSE Retail Trading Product and the NYSE Program Trading Product
Comments due:  June 16, 2006

SR-NYSE-2006-30
34-54999 Dec. 21, 2006 Order Approving a Proposed Rule Change and Amendments No. 1 & 2 Thereto Relating to the Treasury Share Exception in NYSE Listed Company Manual Section 312.03, Section 312.04, Section 703.01(A), and Section 903.02
34-54579 Oct. 5, 2006 Notice of Filing of Proposed Rule Change and Amendments No. 1 & 2 Thereto Relating to the Treasury Share Exception in NYSE Listed Company Manual Section 312.03, Section 312.04 and Section 703.01(A)
Comments due:  November 6, 2006
Comments received are available for this notice.

SR-NYSE-2006-29
34-54289 Aug. 8, 2006 Order Granting Approval of a Proposed Rule Change Amending the Listed Company Manual to Mandate Listed Companies Become Eligible to Participate in a Direct Registration System
Comments received are available for this notice.
34-53912 May 31, 2006 Notice of Filing of Proposed Rule Change by the New York Stock Exchange LLC Amending the Listed Company Manual to Mandate Listed Companies Become Eligible to Participate in a Direct Registration System
Comments due:  June 28, 2006
Comments received are available for this notice.

SR-NYSE-2006-28
34-55859 Jun. 5, 2007 Notice of Filing of Amendment No. 4 to Proposed Rule Change and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 2, 3, and 4 Relating to NYSE Rules 134 and 411
Comments due:  July 3, 2007
34-55361 Feb. 27, 2007 Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 2 Thereto Relating to NYSE Rules 134 and 411
Comments due:  March 27, 2007

SR-NYSE-2006-27
34-53777 May 9, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Pilot Program Amending Listed Company Manual Section 102.01A
Comments due:  June 5, 2006

SR-NYSE-2006-26
34-53800 May 15, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Establishment of a NYSE TradeWorks Usage Fee
Comments due:  June 9, 2006

SR-NYSE-2006-24
34-54086 Jun. 30, 2006 Order Approving Proposed Rule Change to Lower the Minimum Display Size Requirement for Specialists to Maintain Undisplayed Reserve Interest at the Exchange Best Bid or Offer in the NYSE Hybrid Market
34-53780 May 10, 2006 Notice of Filing of Proposed Rule Change Relating to Exchange Rule 104(d) Governing Specialist Trading in the NYSE Hybrid Market
Comments due:  June 6, 2006

SR-NYSE-2006-23
34-53575 Mar. 30, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Exchange Rules 475 and 476
Comments due:  April 27, 2006

SR-NYSE-2006-21
34-53487 Mar. 15, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Pilot Until March 24, 2006 to Put Into Operation Phase 1 of the NYSE HYBRID MARKETSM
Comments due:  April 11, 2006

SR-NYSE-2006-20
34-53849 May 22, 2006 Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Index-Linked Securities of Barclays Bank PLC Linked to the Performance of the GSCI® Total Return Index
34-53658 Apr. 14, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Index-Linked Securities of Barclays Bank PLC Linked to the Performance of the GSCI® Total Return Index
Comments due:  May 9, 2006

SR-NYSE-2006-19
34-54177 Jul. 19, 2006 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to List and Trade Index-Linked Notes of Barclays Bank PLC Linked to the Performance of the Goldman Sachs Crude Oil Total Return IndexTM
34-53967 Jun. 9, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Index-Linked Notes of Barclays Bank PLC Linked to the Performance of the Goldman Sachs Crude Oil Total Return IndexTM
Comments due:  July 3, 2006

SR-NYSE-2006-18
34-53472 Mar. 13, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 104, Dealings by Specialists
Comments due:  April 7, 2006

SR-NYSE-2006-17
34-54013 Jun. 16, 2006 Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2, Relating to Listing and Trading Shares of the iShares GSCI Commodity Indexed Trust under New Rules 1300B and 1301B, et seq.
Comments due:  July 17, 2006
34-53659 Apr. 17, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Shares of the iShares GSCI Commodity Indexed Trust under New Rules 1300B and 1301B, et seq.
Comments due:  May 9, 2006
Comments received are available for this notice.

SR-NYSE-2006-16
34-53876 May 25, 2006 Order Granting Approval of a Proposed Rule Change and Amendment No. 1 Relating to the Listing and Trading of Index-Linked Securities of Barclays Bank PLC Linked to the Performance of the Dow Jones – AIG Commodity Index Total Return
34-53639 Apr. 12, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Relating to the Proposal to List and Trade Index-Linked Securities of Barclays Bank PLC Linked to the Performance of the Dow Jones - AIG Commodity Index Total Return
Comments due:  May 8, 2006

SR-NYSE-2006-15
34-53426 Mar. 7, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to the Restated Certificate of Incorporation of NYSE Regulation, Inc.
Comments due:  April 3, 2006

SR-NYSE-2006-14
34-53443 Mar. 8, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Establishment of a Trading License Fee for 2006 and the Creation of Certain Other Fees for Trading License Holders
Comments due:  April 4, 2006

SR-NYSE-2006-13
34-54918 Dec. 12, 2006 Order Approving a Proposed Rule Change to Rule 431 ("Margin Requirements") and Rule 726 ("Delivery of Options Disclosure Document and Prospectus"), and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to Proposed Rule Change Relating to Customer Portfoio Margining
Comments due:  January 8, 2007
34-53728 Apr. 26, 2006 Notice of Extension of Comment Periods for the Proposed Rule Changes Relating to Customer Portfolio Margining Requirements
Comments due:  May 11, 2006
Additional File No.: SR-CBOE-2006-14
See also:   SR-CBOE-2006-14: Notice: Rel. No. 34-53576 and comments
34-53577 Mar. 30, 2006 Notice of Filing of Proposed Rule Change to Rule 431 ("Margin Requirements") and Rule 726 ("Delivery of Options Disclosure Document and Prospectus") to Expand the Products Eligible for Customer Portfolio Margining and Cross-Margining and Eliminate Separate Cross-Margin Accounts
Comments due:  April 27, 2006
Comments received are available for this notice.

SR-NYSE-2006-12
34-53579 Mar. 30, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Related to NYSE Rule 103.12 Regarding Time Tracking Requirements of Specialists and Clerks
Comments due:  April 27, 2006

SR-NYSE-2006-11
34-53549 Mar. 24, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Modification to the Existing Moratorium on the Qualification and Registration of Registered Competitive Market Makers
Comments due:  April 11, 2006

SR-NYSE-2006-09
34-53359 Feb. 24, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Automatic Conversion of CAP-DI Orders
Comments due:  March 23, 2006

SR-NYSE-2006-08
34-53354 Feb. 23, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .26 to Exchange Rule 301 to Waive the Posting Requirements in Relation to Transfers for Nominal Consideration Between Employees of the Same Member Organization and New Leases
Comments due:  March 23, 2006

SR-NYSE-2006-07
34-54362 Aug. 25, 2006 Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto To Amend Exchange Rule 104 Regarding the Requirement that Specialists Obtain Floor Official Approval for Destabilizing Dealer Account Transactions that Match the National Best Bid or Offer
Comments due:  September 22, 2006
34-53782 May 10, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Exchange Rule 104 Regarding the Requirement that Specialists Obtain Floor Official Approval for Destabilizing Dealer Account Transactions that Match the National Best Bid or Offer
Comments due:  June 6, 2006
Comments received are available for this notice.

SR-NYSE-2006-06
34-55766 May 15, 2007 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed New Rule 350A ("Business Entertainment") Concerning Policies and Procedures Addressing Business Entertainment
Comments due:  June 11, 2007
Comments received are available for this notice.
* Submit comments on SR-NYSE-2006-06

SR-NYSE-2006-05
34-54012 Jun. 16, 2006 Order Approving Proposed Rule Change as Amended by Amendments No. 1 and 2 Amending an Interpretation of NYSE Rule 345 (Employees – Registration, Approval, Records)
34-53789 May 11, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Interpretation of NYSE Rule 345 (Employees – Registration, Approval, Records)
Comments due:  June 7, 2006

SR-NYSE-2006-04
34-55337 Feb. 23, 2007 Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto Relating to NYSE Rule 116 ("Stop" Constitutes Guarantee) and NYSE Rule 123B (Exchange Automated Order Routing Systems)
Comments received are available for this notice.
34-54592 Oct. 12, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to NYSE Rule 116 ("Stop" Constitutes Guarantee) and NYSE Rule 123B (Exchange Automated Order Routing Systems)
Comments due:  November 8, 2006
Comments received are available for this notice.

SR-NYSE-2006-03
34-53277 Feb. 13, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend for an Additional Six Months the Pilot Program Permitting a Floor Broker and an RCMM to Use an Exchange Authorized and Provided Portable Telephone on the Exchange Floor
Comments due:  March 14, 2006

SR-NYSE-2006-02
34-53275 Feb. 13, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Two Crossing Sessions in the Exchange's Off-Hours Trading Facility
Comments due:  March 10, 2006

SR-NYSE-2006-01
34-54195 Jul. 24, 2006 Order Approving Proposed Rule Change to Require Specialists to Publish a 100 x 100 Share Market to Suspend Direct+ for Exchange Rule 127 Block Cross Transactions
34-53932 Jun. 1, 2006 Notice of Filing of Proposed Rule Change Relating to Exchange Rule 1000 (NYSE Direct+)
Comments due:  June 29, 2006

 

http://www.sec.gov/rules/sro/nyse/nysearchive/nysearchive2006.shtml


Modified: 10/16/2014