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NYSE Rulemaking Archive: 2009
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.
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NYSE File Number List for 2009
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Release No. |
Date |
Details |
Fourth Quarter |
SR-NYSE-2009-134 |
34-61273 |
Dec. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Deleting NYSE Rule 445 and Adopting New Rule 3310 to Correspond with Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: January 29, 2010
|
SR-NYSE-2009-128 |
34-61268 |
Dec. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period to Receive Inbound Routes of Certain Equities Orders from Archipelago Securities LLC
Comments due: January 29, 2010
|
SR-NYSE-2009-130 |
34-61266 |
Dec. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Trading License Fee for 2010
Comments due: January 29, 2010
Additional Materials: Exhibit 5
|
SR-NYSE-2009-131 |
34-61264 |
Dec. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C(8)(a)(1) to Extend Operation of the Extreme Order Imbalances Pilot
Comments due: January 29, 2010
Additional Materials: Exhibit 5
|
SR-NYSE-2009-116 |
34-61257 |
Dec. 30, 2009 |
Order Approving a Proposed Rule Change to Increase the Ceiling on Its Equity Ownership Interest in BIDS Holdings L.P. to Less Than 10%
See also: Notice: Rel. No. 34-61043
|
SR-NYSE-2009-129 |
34-61251 |
Dec. 29, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operative Date of NYSE Rule 92(c)(3) from December 31, 2009 to July 31, 2010
Comments due: January 26, 2010
|
SR-NYSE-2009-126 |
34-61235 |
Dec. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rules 116 and 123C to Allow More Than One Closing Print to be Reported to the Consolidated Tape for Closing Transactions That Exceed 99,999,999 Shares
Comments due: January 25, 2010
Additional Materials: Exhibit 5
|
SR-NYSE-2009-111 |
34-61233 |
Dec. 23, 2009 |
Order Approving the Proposed Rule Change, As Modified by Amendment No. 1, Amending NYSE Rule 123C to Modify the Procedures for Its Closing Process and Making Conforming Changes to NYSE Rules 13 and 15
See also: Notice: Rel. No. 34-60974
|
SR-NYSE-2009-124 |
34-61230 |
Dec. 23, 2009 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Proposing to Amend Section 703.22 of the Listed Company Manual
Comments due: January 20, 2010
Additional Materials: Exhibit 5
|
SR-NYSE-2009-127 |
34-61201 |
Dec. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program that Offers Liquidity Takers a Reduced Transaction Fee Structure for Certain Bond Trades Executed on the NYSE Bonds System and Retiring the Liquidity Provider Credit Pilot Program
Comments due: January 19, 2010
|
SR-NYSE-2009-105 |
34-61177 |
Dec. 16, 2009 |
Order Approving a Proposed Rule Change Relating to the Designation of NYSE Arca, Inc., as the NYSE's Alternative Trading Facility in an Emergency
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-60922
|
SR-NYSE-2009-125 |
34-61176 |
Dec. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rules 312 and 321 and Adopt New Rules 2262 and 2269 Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: January 14, 2010
Additional Materials: Exhibit 5
|
SR-NYSE-2009-123 |
34-61158 |
Dec. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 352 and Adopting New Rule 2150 to Correspond with Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: January 11, 2010
|
SR-NYSE-2009-120 |
34-61145 |
Dec. 10, 2009 |
Notice of Filing of Proposed Rule Change Relating to Changes in NYSE Realtime Reference Prices Service
Comments due: January 8, 2010
See also: Order: Rel. No. 34-61406
|
SR-NYSE-2009-118 |
34-61130 |
Dec. 8, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude Early Closing Days from Certain ADV Calculations
Comments due: January 4, 2010
Additional Materials: Exhibit 5
|
SR-NYSE-2009-121 |
34-61126 |
Dec. 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 1600 to More Fully Incorporate Away Market Contra Side Liquidity in the Execution of New York Block Exchange Orders
Comments due: January 4, 2010
Additional Materials: Exhibit 5
|
SR-NYSE-2009-122 |
34-61125 |
Dec. 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Suspend Certain Provisions of NYSE Rules 116 and 123C Relating to the Requirement That the Closing Transaction Be Reported to the Consolidated Tape as a Single Transaction
Comments due: January 4, 2010
|
SR-NYSE-2009-115 |
34-61099 |
Dec. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Warrant Initial Listing Standard to Exempt from the Minimum Holders Requirement Any Series of Warrants that is Listed in Connection with the Initial Firm Commitment Underwritten Public Offering of Such Warrants
Comments due: December 29, 2009
Additional Materials: Exhibit 5
|
SR-NYSE-2009-117 |
34-61091 |
Dec. 1, 2009 |
Notice of Filing of Proposed Rule Change Amending Its Listing Fees for Structured Products
Comments due: December 29, 2009
See also: Order: Rel. No. 34-61333
|
SR-NYSE-2009-119 |
34-61075 |
Nov. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operation of its Supplemental Liquidity Providers Pilot, Until the Earlier of the Securities and Exchange Commission's Approval to make Such Pilot Permanent or March 30, 2010
Comments due: December 28, 2009
|
SR-NYSE-2009-106 |
34-61072 |
Nov. 30, 2009 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Rule 70 in Order to Update d-Quote Functionality and Provide for e-Quotes to Peg to the National Best Bid or Offer
Comments due: December 28, 2009
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-60888
|
SR-NYSE-2009-89 |
34-61067 |
Nov. 25, 2009 |
Order Approving a Proposed Rule Change as Modified by Amendment No. 1 to Amend Certain Corporate Governance Requirements
See also: Notice: Rel. No. 34-60653
|
SR-NYSE-2009-112 |
34-61048 |
Nov. 23, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Rescinding Information Memoranda 04-27 and 07-66 and Issuing a New Information Memo Concerning the Exchange's Gap Quote Policy
Comments due: December 22, 2009
See also: Order: Rel. No. 34-61275
|
SR-NYSE-2009-114 |
34-61046 |
Nov. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Sample Broker Letters Set Forth In Rule 451
Comments due: December 22, 2009
Additional Materials: Exhibit 5
|
SR-NYSE-2009-116 |
34-61043 |
Nov. 20, 2009 |
Notice of Filing of Proposed Rule Change to Increase the Ceiling on Its Equity Ownership Interest in BIDS Holdings L.P. to Less Than 10%
Comments due: December 21, 2009
See also: Order: Rel. No. 34-61257
|
SR-NYSE-2009-113 |
34-61031 |
Nov. 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or March 30, 2010
Comments due: December 18, 2009
|
SR-NYSE-2009-84 |
34-60983 |
Nov. 10, 2009 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Rule 36 to Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas
See also: Notice: Rel. No. 34-60691
|
SR-NYSE-2009-111 |
34-60974 |
Nov. 9, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 123C to Modify the Procedures for Its Closing Process and Making Conforming Changes to NYSE Rules 13 and 15
Comments due: December 8, 2009
See also: Order: Rel. No. 34-61233
Comments received are available for this notice.
|
SR-NYSE-2009-96 |
34-60969 |
Nov. 9, 2009 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Permitting Affiliation with NYFIX Millennium L.L.C. and NYFIX Securities Corporation
See also: Notice: Rel. No. 34-60737
|
SR-NYSE-2009-110 |
34-60949 |
Nov. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM System, Effective Upon Filing through January 31, 2010
Comments due: December 4, 2009
|
SR-NYSE-2009-105 |
34-60922 |
Nov. 3, 2009 |
Notice of Filing of Proposed Rule Change Adopting NYSE Rule 49 to Provide the Exchange with the Authority to Declare an Emergency Condition with Respect to Trading on or Through the Systems and Facilities of the Exchange and to Transfer Trading of Exchange-Listed Securities to Its Corporate Affiliate, NYSE Arca, Inc.
Comments due: December 3, 2009
See also: Order: Rel. No. 34-61177
|
SR-NYSE-2009-107 |
34-60915 |
Nov. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Exchange Rule 62 to Support Quoting and Trading in a Minimum Price Variation Below $.01 for Securities Traded on the Exchange for Orders or Interest Priced Below $1.00 Per Share
Comments due: November 30, 2009
|
SR-NYSE-2009-108 |
34-60912 |
Nov. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust its Rebates Paid to Supplemental Liquidity Providers
Comments due: November 30, 2009
|
SR-NYSE-2009-109 |
34-60911 |
Nov. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Extend the Pilot Program in Relation to Certain of its Continued Listing Standards
Comments due: November 30, 2009
|
SR-NYSE-2009-106 |
34-60888 |
Oct. 27, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending Rule 70 in Order to Update d-Quote Functionality and Provide for e-Quotes to Peg to the National Best Bid or Offer
Comments due: November 24, 2009
See also: Notice/Order: Rel. No. 34-61072
|
SR-NYSE-2009-83 |
34-60868 |
Oct. 22, 2009 |
Order Approving Proposed Rule Change Amending Its Initial Listing Fees for Operating Companies
See also: Notice: Rel. No. 34-60644
|
SR-NYSE-2009-102 |
34-60812 |
Oct. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 14 to be Consistent with the New System Capability to Receive Orders for Execution on the Exchange Containing Settlement Instructions of "Cash," "Next Day" and "Seller's Option" Directly to a Floor Broker's Hand-Held Device
Comments due: November 9, 2009
|
SR-NYSE-2009-104 |
34-60809 |
Oct. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 123C(8)(a)(1) to Extend the Operation of the Extreme Order Imbalances Pilot
Comments due: November 9, 2009
|
SR-NYSE-2009-103 |
34-60781 |
Oct. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Interim Rule 128 Governing Clearly Erroneous Executions for NYSE Equities
Comments due: October 29, 2009
|
SR-NYSE-2009-98 |
34-60768 |
Oct. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Discontinue Rebates Paid to Floor Brokers for Orders Swept into the Close
Comments due: October 29, 2009
|
SR-NYSE-2009-94 |
34-60763 |
Oct. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Modify its Requirements with Respect to Quarterly Earnings Releases
Comments due: October 29, 2009
|
SR-NYSE-2009-100 |
34-60756 |
Oct. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operation of Its New Market Model Pilot and Supplemental Liquidity Providers Pilot, Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilots Permanent or November 30, 2009
Comments due: October 29, 2009
|
Third Quarter |
SR-NYSE-2009-99 |
34-60755 |
Sep. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amending NYSE Rule 103B to: 1) Codify the Exchange’s Existing Practice that Renders Designated Market Marker Units Ineligible to Interview for Securities that are Directly Related to the Performance or Credit of Any of the DMM’s Affiliated Entities; 2) Define "Related Security" for Purposes of NYSE Rule 103B; 3) Provide that all Related Securities Listed Under Section 703.19 of the Exchange’s Listed Company Manual will be Automatically Assigned to the Designated Market Maker Unit; 4) Define Repackaged Security for Purposes of NYSE Rule 103B, and Provide that Repackaged Securities are Allocated Through the Allocation Process pursuant to NYSE Rule 103B
Comments due: October 29, 2009
|
SR-NYSE-2009-101 |
34-60752 |
Sep. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period to Receive Inbound Routes of Orders from Archipelago Securities LLC
Comments due: October 28, 2009
|
SR-NYSE-2009-96 |
34-60737 |
Sep. 29, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Permitting Affiliation with NYFIX Millennium L.L.C. and NYFIX Securities Corporation
Comments due: October 26, 2009
See also: Order: Rel. No. 34-60969
|
SR-NYSE-2009-97 |
34-60712 |
Sep. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until October 4, 2009, the Operation of Interim NYSE Rule 128 which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if they Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including those Executions that Occur in the Event of a System Disruption or System Malfunction
Comments due: October 20, 2009
|
SR-NYSE-2009-84 |
34-60691 |
Sep. 18, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC, as Modified by Amendment No. 1, Amending NYSE Rule 36 to Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas
Comments due: October 19, 2009
See also: Order: Rel. No. 34-60983
|
SR-NYSE-2009-95 |
34-60678 |
Sep. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until September 22, 2009, the Operation of Interim NYSE Rule 128 which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if they Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including those Executions that Occur in the Event of a System Disruption or System Malfunction
Comments due: October 13, 2009
|
SR-NYSE-2009-71 |
34-60671 |
Sep. 15, 2009 |
Order Approving a Proposed Rule Change Amending NYSE Rule 1000 to Allow Exchange Systems to Access CCS Interest to Partially Fill an Incoming Limit Order
See also: Notice: Rel. No. 34-60429
|
SR-NYSE-2009-89 |
34-60653 |
Sep. 11, 2009 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 to Amend Certain Corporate Governance Requirements
Comments due: October 8, 2009
See also: Order: Rel. No. 34-61067
Comments received are available for this notice.
|
SR-NYSE-2009-93 |
34-60649 |
Sep. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until September 15, 2009, the Operation of Interim NYSE Rule 128 which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if they Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including those Executions that Occur in the Event of a System Disruption or System Malfunction
Comments due: October 8, 2009
|
SR-NYSE-2009-83 |
34-60644 |
Sep. 10, 2009 |
Notice of Filing of Proposed Rule Change Amending Its Initial Listing Fees for Operating Companies
Comments due: October 8, 2009
See also: Order: Rel. No. 34-60868
|
SR-NYSE-2009-82 |
34-60618 |
Sep. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Amending Certain Provisions of Exchange Rule 1600 to Align the Rule with the Technology and Functionality of the NYBX Facility in Relation to an NYBX Order's Ability to Interact with Non-Displayed Contra Side Liquidity in the NYSE Display Book® and to Clarify the Processing of NYBX Orders that have An Optional, User-Defined Minimum Triggering Volume
Comments due: October 1, 2009
|
SR-NYSE-2009-90 |
34-60614 |
Sep. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Modify Rebates Payable to Designated Market Makers
Comments due: October 2, 2009
|
SR-NYSE-2009-88 |
34-60612 |
Sep. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Modify the Cure Provisions under its Dollar Stock Price Continued Listing Standard
Comments due: September 30, 2009
|
SR-NYSE-2009-85 |
34-60608 |
Sep. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adding Language to Several NYSE Rules to Clarify That Transactions That Occur Solely Within NYSE MatchPoint(SM) Will Be Treated Differently Than Executions That Occur in the NYSE Display Book® for Certain Order Processing Purposes
Comments due: September 30, 2009
|
SR-NYSE-2009-92 |
34-60597 |
Aug. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until September 8, 2009, the Operation of Interim NYSE Rule 128 which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if they Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including those Executions that Occur in the Event of a System Disruption or System Malfunction
Comments due: September 29, 2009
|
SR-NYSE-2009-91 |
34-60595 |
Aug. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rules 103B and 104 to Increase the Amount of Time that a Designated Market Maker Unit must Maintain a Bid and An Offer at the National Best Bid and National Best Offer for An Aggregate Average Period of Time Monthly
Comments due: September 29, 2009
|
SR-NYSE-2009-86 |
34-60573 |
Aug. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Length of Time that Exchange Systems Transmit Odd-Lot Order-by-Order Information to the DMM Unit Algorithm Prior to the Opening Transaction from August 31, 2009 to October 31, 2009
Comments due: September 23, 2009
|
SR-NYSE-2009-87 |
34-60563 |
Aug. 24, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending until August 31, 2009 the Operation of Interim NYSE Rule 128 which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if they Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including those Executions that Occur in the Event of a System Disruption or System Malfunction
Comments due: September 18, 2009
|
SR-NYSE-2009-60 |
34-60542 |
Aug. 19, 2009 |
Order Approving a Proposed Rule Change in connection with the Proposal of NYSE Euronext to Require that At Least Three-fourths of Its Directors Satisfy Independence Requirements
See also: Notice: Rel. No. 34-60261
|
SR-NYSE-2009-75 |
34-60512 |
Aug. 17, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by New York Stock Exchange LLC Adopting NYSE Rule 406 as New Rule 3250 to Correspond with a Rule Change Recently Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: September 14, 2009
|
SR-NYSE-2009-80 |
34-60501 |
Aug. 13, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Public Float Requirement for Initial Public Offerings
Comments due: September 11, 2009
|
SR-NYSE-2009-81 |
34-60478 |
Aug. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending until August 21, 2009 the Operation of Interim NYSE Rule 128 which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions If They Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including Those Executions that Occur in the Event of a System Disruption or System Malfunction
Comments due: September 8, 2009
|
SR-NYSE-2009-076 |
34-60457 |
Aug. 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Deleting NYSE Rule 409A and Adopting New Rule 2266 to Correspond with Rule Changes Recently Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: September 8, 2009
|
SR-NYSE-2009-78 |
34-60439 |
Aug. 5, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM System Through October 31, 2009
Comments due: September 1, 2009
|
SR-NYSE-2009-77 |
34-60436 |
Aug. 5, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Modify Certain Equity Transaction Fees and Rebates
Comments due: September 1, 2009
|
SR-NYSE-2009-71 |
34-60429 |
Aug. 4, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 1000 to Allow Exchange Systems to Access CCS Interest to Partially Fill an Incoming Limit Order
Comments due: September 1, 2009
See also: Order: Rel. No. 34-60671
|
SR-NYSE-2009-74 |
34-60426 |
Aug. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 103B to Modify the Composition of the Exchange Selection Panel and Prohibit Any Ex Parte Communications During and Regarding the Selection Process between the DMM Units and the Individuals Serving on the Exchange Selection Panel
Comments due: September 1, 2009
|
SR-NYSE-2009-79 |
34-60419 |
Aug. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending until August 10, 2009 the Operation of Interim NYSE Rule 128, Which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions
Comments due: August 31, 2009
|
SR-NYSE-2009-72 |
34-60399 |
Jul. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 476A to Add Rule 104(a)(1)(A) to Its "List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A"
Comments due: August 26, 2009
|
SR-NYSE-2009-73 |
34-60396 |
Jul. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operative Date of NYSE Rule 92(c)(3) from July 31, 2009 to December 31, 2009
Comments due: August 26, 2009
|
SR-NYSE-2009-08 |
34-60356 |
Jul. 21, 2009 |
Order Approving Proposed Rule Change Rescinding NYSE Rule 110 Which Establishes the Role of Competitive Traders and Exchange Rule 107A Which Establishes the Role of the Registered Competitive Market Makers
See also: Notice: Rel. No. 34-59746
|
SR-NYSE-2009-63 |
34-60318 |
Jul. 16, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 2 to Redefine the Term "Member Organization"
Comments due: August 14, 2009
|
SR-NYSE-2009-70 |
34-60312 |
Jul. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending until August 1, 2009 the Operation of Interim NYSE Rule 128, Which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions
Comments due: August 12, 2009
|
SR-NYSE-2009-66 |
34-60305 |
Jul. 14, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Lower its Market Capitalization Continued Listing Standard
Comments due: August 10, 2009
|
SR-NYSE-2009-68 |
34-60289 |
Jul. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rules 60, 70 and 1000 to Reflect Modifications to the Manner in which the Exchange will Quote and Trade With Respect to Liquidity Replenishment Points
Comments due: August 7, 2009
|
SR-NYSE-2009-69 |
34-60287 |
Jul. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 72 to Eliminate Parity Allocations for DMM Interest Added Intra Day During a Slow Quote or When Verbally Trading with Floor Brokers at the Point of Sale
Comments due: August 7, 2009
|
SR-NYSE-2009-67 |
34-60278 |
Jul. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPoint(SM) System
Comments due: August 6, 2009
|
SR-NYSE-2009-64 |
34-60273 |
Jul. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Extend its Suspension of its Dollar Stock Price Continued Listing Standard to July 31, 2009
Comments due: August 6, 2009
|
SR-NYSE-2009-60 |
34-60261 |
Jul. 8, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC in connection with the Proposal of NYSE Euronext to Require that At Least Three-fourths of Its Directors Satisfy Independence Requirements
Comments due: August 6, 2009
See also: Order: Rel. No. 34-60542
|
SR-NYSE-2009-58 |
34-60255 |
Jul. 7, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Scope of the Exchange's Prior Approval to Receive Inbound Routes from Archipelago Securities LLC, an Affiliated Member
Comments due: August 4, 2009
|
SR-NYSE-2009-55 |
34-60251 |
Jul. 7, 2009 |
Order Granting Accelerated Approval to a Proposed Rule Change Amending Rule 70.25 to Permit All Available Contra-Side Liquidity to Trigger the Execution of a d-Quote
See also: Notice: Rel. No. 34-60045
|
SR-NYSE-2009-59 |
34-60216 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Exchange Rules to Allow Customers to Transmit Orders on the Exchange With Settlement Instructions of "Cash," "Next Day," and "Seller's Option" Directly to a Floor Broker for Manual Execution
Comments due: July 31, 2009
|
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
See also: Notice: Rel. No. 34-59464
|
Second Quarter |
SR-NYSE-2009-62 |
34-60197 |
Jun. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Moratorium Related to the Qualification and Registration of Registered Competitive Market Makers Pursuant to NYSE Rule 107A and Competitive Traders Pursuant to NYSE Rule 110 to the Earlier of the Approval of SR-NYSE-2009-08 or July 24, 2009
Comments due: July 29, 2009
|
SR-NYSE-2009-61 |
34-60179 |
Jun. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Decommissioning the Requirement for Member Organizations to Report Program Trading Activity on the Daily Program Trading Report
Comments due: July 23, 2009
Comments received are available for this notice.
|
SR-NYSE-2009-49 |
34-60153 |
Jun. 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include Floor Broker Agency Interest Containing Pegging and/or Discretionary Instructions, Eligible for Execution in the Closing Transaction, in the NYSE Order Imbalance Information Datafeed Disseminated Prior to the Closing Transaction
Comments due: July 17, 2009
|
SR-NYSE-2009-45 |
34-60138 |
Jun. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 124 to Clarify the Pricing Methodology for the Odd-Lot Portion of a Part of a Round-Lot Order; Clarify the Systems Capable of Accepting PRL Orders; and Clarify the Systems Capable of Accepting a Good 'Til Cancelled Order During the Implementation of Exchange System Enhancements
Comments due: July 16, 2009
|
SR-NYSE-2009-57 |
34-60131 |
Jun. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending until July 15, 2009 the Operation of Interim NYSE Rule 128, Which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions
Comments due: July 15, 2009
|
SR-NYSE-2009-56 |
34-60088 |
Jun. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee for Use of a Hand Held Device Configured to Provide Only Opening and Closing Order Imbalance Data
Comments due: July 8, 2009
|
SR-NYSE-2009-53 |
34-60062 |
Jun. 8, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Moratorium Related to the Qualification and Registration of Registered Competitive Market Makers Pursuant to NYSE Rule 107A and Competitive Traders Pursuant to NYSE Rule 110 to the Earlier of the Approval of SR-NYSE-2009-08 or June 30, 2009
Comments due: July 6, 2009
|
SR-NYSE-2009-55 |
34-60045 |
Jun. 4, 2009 |
Notice of Filing of a Proposed Rule Change Amending Rule 70.25 to Permit All Available Contra-side Liquidity to Trigger the Execution of a d-Quote
Comments due: July 2, 2009
See also: Order: Rel. No. 34-60251
|
SR-NYSE-2009-42 |
34-60004 |
May 29, 2009 |
Order Approving the Proposed Rule Change Implementing NYSE Realtime Reference Prices Service on a Permanent Basis
See also: Notice: Rel. No. 34-59791
|
SR-NYSE-2009-50 |
34-59997 |
May 28, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Comparison of Executed Transactions
Additional File No.: SR-NYSEAmex-2009-20
Comments due: July 6, 2009
|
SR-NYSE-2009-48 |
34-59996 |
May 28, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending the Exchange's Continued Listing Standards on a Pilot Program Basis
Comments due: June 25, 2009
|
SR-NYSE-2009-52 |
34-59979 |
May 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees Charged for the Floor Member Continuing Education Program for Qualified Floor Members Pursuant to NYSE Rule 103A
Comments due: June 23, 2009
|
SR-NYSE-2009-25 |
34-59965 |
May 21, 2009 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Changing Certain NYSE Rules and Rule Interpretations to Harmonize Them with Changes to Corresponding Rules Filed by the Financial Industry Regulatory Authority, Inc.
See also: Notice: Rel. No. 34-59655
|
SR-NYSE-2009-37 |
34-59898 |
May 11, 2009 |
Order Approving Proposed Rule Change Implementing a Cap on Vendors' Administrative Charges for NYSE OpenBook
See also: Notice: Rel. No. 34-59681
|
SR-NYSE-2009-43 |
34-59884 |
May 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete All References in the NYSE Rule Book to "Alternext" and "Alternext US" and Substitute References to "Amex" to Reflect the Recent Name Change of NYSE Alternext US LLC to NYSE Amex LLC
Comments due: June 4, 2009
|
SR-NYSE-2009-46 |
34-59869 |
May 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending until October 1, 2009 the Six-Month Pilot Program Which Established a New Class of NYSE Market Participants Referred to as "Supplemental Liquidity Providers" and is Designated as Exchange Rule 107B
Comments due: June 4, 2009
|
SR-NYSE-2009-44 |
34-59864 |
May 5, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPoint(SM) System, Effective May 1, 2009 Until June 30, 2009
Comments due: June 2, 2009
|
SR-NYSE-2009-47 |
34-59863 |
May 5, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Modify Certain Equity Transaction Fees and Rebates
Comments due: June 4, 2009
|
SR-NYSE-2009-31 |
34-59844 |
Apr. 29, 2009 |
Order Approving Proposed Rule Change Regarding Initial and Annual Listing Fees for Securities Listed and Traded on the NYSE Bonds System
See also: Notice: Rel. No. 34-59608
|
SR-NYSE-2009-40 |
34-59823 |
Apr. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending the Exchange’s Timely Alert Policy
Comments due: May 26, 2009
|
SR-NYSE-2009-41 |
34-59815 |
Apr. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rules 15 and 123C Regarding the Operation of its NYSE Order Imbalance Information Service to Modify the Reference Price at Which the Exchange Reports the Order Imbalance Information and Clarify what Information is Included and Excluded from the Order Imbalance Information Reports
Comments due: May 20, 2009
|
SR-NYSE-2009-42 |
34-59791 |
Apr. 20, 2009 |
Notice of Filing of Proposed Rule Change Implementing the NYSE Realtime Reference Price Service on a Permanent Basis
Comments due: May 15, 2009
See also: Order: Rel. No. 34-60004
|
SR-NYSE-2009-18 |
34-59755 |
Apr. 13, 2009 |
Order Granting Approval of Proposed Rule Changes Amending Rule 123C to Provide the Exchanges with the Ability to Temporarily Suspend Certain Requirements Relating to the Closing of Securities on the Exchange
See also: Notice: Rel. No. 34-59489
Additional File No.: SR-NYSEALTR-2009-15
|
SR-NYSE-2009-08 |
34-59746 |
Apr. 10, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Rescinding NYSE Rule 110 Which Establishes the Role of Competitive Traders and Exchange Rule 107A Which Establishes the Role of the Registered Competitive Market Makers
Comments due: May 7, 2009
See also: Order: Rel. No. 34-60356
Comments received are available for this notice.
|
SR-NYSE-2009-39 |
34-59710 |
Apr. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Revised Liquidity Credits for Supplemental Liquidity Providers
Comments due: May 5, 2009
|
SR-NYSE-2009-32 |
34-59684 |
Apr. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Extend until August 31, 2009, the Application of the NYSE Arca Transfer Standard
Comments due: April 29, 2009
|
SR-NYSE-2009-12 |
34-59683 |
Apr. 1, 2009 |
Order Approving a Proposed Rule Change Amending Its Limited Liability Company Operating Agreement and the Bylaws of Its Wholly-Owned Subsidiary NYSE Market, Inc. to Eliminate, in Each Case, a Requirement That Not Less than Two Members of the Board of Directors Must Qualify as “Non-Affiliated Directors” and a Related Requirement That Not Less than Two Members of the Board of Directors Must Qualify as “Fair Representation Candidates”
See also: Notice: Rel. No. 34-59400
|
SR-NYSE-2009-37 |
34-59681 |
Apr. 1, 2009 |
Notice of Filing of Proposed Rule Change Implementing a Cap on Vendors’ Administrative Charges for NYSE OpenBook
Comments due: April 29, 2009
See also: Order: Rel. No. 34-59898
|
SR-NYSE-2009-38 |
34-59677 |
Apr. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Transaction Fees for the New York Block Exchange
Comments due: April 28, 2009
|
First Quarter |
SR-NYSE-2009-35 |
34-59666 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Rule 48.10 to Extend the Temporary Provisions of the Rule Relating to the Ability of the Exchange to Declare an Extreme Market Volatility Condition and Suspend Certain NYSE Requirements Relating to the Closing of Securities at the Exchange
Comments due: April 28, 2009
|
SR-NYSE-2009-36 |
34-59659 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending to September 1, 2009, the Operative Date of New York Stock Exchange Rule 2 Requirement that NYSE-Only Member Organizations Apply for and be Approved as a Member of the Financial Industry Regulatory Authority, Inc.
Comments due: April 27, 2009
|
SR-NYSE-2009-25 |
34-59655 |
Mar. 30, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC, as modified by Amendment No. 2, Changing Certain NYSE Rules and Rule Interpretations to Harmonize Them with Changes to Corresponding Rules Recently Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: April 27, 2009
See also: Order: Rel. No. 34-59965
|
SR-NYSE-2009-34 |
34-59653 |
Mar. 30, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Extend the Pilot Period for the NYSE Realtime Reference Prices Pilot Program
Comments due: April 27, 2009
|
SR-NYSE-2009-33 |
34-59626 |
Mar. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Wireless Data Communications Initiatives and Codifying the Wireless Policy
Comments due: April 22, 2009
|
SR-NYSE-2009-30 |
34-59621 |
Mar. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Rule 92(c)(3) from March 31, 2009 to July 31, 2009
Comments due: April 20, 2009
|
SR-NYSE-2009-27 |
34-59613 |
Mar. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 124 to Execute the Odd-Lot Portion of a Part of a Round-Lot Order Pursuant to the Same Pricing Methodology Used for Odd-Lot Orders
Comments due: April 17, 2009
Comments received are available for this notice.
|
SR-NYSE-2009-31 |
34-59608 |
Mar. 19, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending the Listed Company Manual Section 902.08 to Establish an Initial Listing Fee and an Annual Listing Fee for Securities Listed Under Section 102.03 and Traded on the NYSE Bonds System
Comments due: April 16, 2009
See also: Order: Rel. No. 34-59844
|
SR-NYSE-2009-04 |
34-59606 |
Mar. 19, 2009 |
Order Approving Proposed Rule Change to Establish Fees for NYSE Trades
See also: Notice: Rel. No. 34-59309
|
SR-NYSE-2009-29 |
34-59592 |
Mar. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Rule Book to Delete References to Specific Exchange Systems and to Remove the Requirement that Opening Transactions Receive Specific Designations Pursuant to NYSE Rules 79A and 115A
Comments due: April 14, 2009
|
SR-NYSE-2009-26 |
34-59581 |
Mar. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until June 9, 2009, the Operation of Interim NYSE Rule 128 Which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if they Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including those Executions that Occur in the Event of a System Disruption or System Malfunction
Comments due: April 14, 2009
|
SR-NYSE-2009-28 |
34-59570 |
Mar. 12, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Rules 13, 902, 903, 904, 905 and Rule 906 to Eliminate Certain Order Types From the Off-Hours Trading Facility
Comments due: April 9, 2009
|
SR-NYSE-2009-03 |
34-59559 |
Mar. 11, 2009 |
Order Approving Proposed Rule Change to Adopt Listing Fees for Securities Listed under Section 703.21 and 703.22 and Traded on NYSE Bonds
See also: Notice: Rel. No. 34-59313
|
SR-NYSE-2009-24 |
34-59551 |
Mar. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending for Two Months to May 31, 2009 the Moratorium Related to the Qualification and Registration of Registered Competitive Market Makers Pursuant to NYSE Rule 107A and Competitive Traders Pursuant to NYSE Rule 110
Comments due: April 8, 2009
|
SR-NYSE-2008-131 |
34-59544 |
Mar. 9, 2009 |
Order Approving Proposed Rule Change to Introduce a NYSE OpenBook Nonprofessional Subscriber Fee and to Revise the Unit of Count that Determines the Device Fees Payable by Data Recipients
See also: Notice: Rel. No. 34-59198
|
SR-NYSE-2008-132 |
34-59543 |
Mar. 9, 2009 |
Order Approving Proposed Rule Change to Introduce a NYSE Order Imbalance Information Fee
See also: Notice: Rel. No. 34-59202
|
SR-NYSE-2009-21 |
34-59510 |
Mar. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Temporarily Suspend its Price Continued Listing Standard and Extend the Period of the Temporary Lowering of its Average Global Market Capitalization Continued Listing Standard
Comments due: April 1, 2009
|
SR-NYSE-2009-20 |
34-59491 |
Mar. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM System, Effective March 1, 2009 until April 30, 2009
Comments due: March 30, 2009
|
SR-NYSE-2009-18 |
34-59489 |
Mar. 3, 2009 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 123C to Provide the Exchange with the Ability to Temporarily Suspend Certain NYSE Requirements Relating to the Closing of Securities at the Exchange
Comments due: March 31, 2009
See also: Order: Rel. No. 34-59755
|
SR-NYSE-2009-16 |
34-59486 |
Mar. 2, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NYSE Rule 17 to Address Issues Related to Vendor Liability and to Make Amendments and Conforming Changes to NYSE Rule 18
Comments due: March 30, 2009
|
SR-NYSE-2009-22 |
34-59483 |
Mar. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain Equity Transaction Fees and Rebates
Comments due: March 31, 2009
|
SR-NYSE-2009-23 |
34-59479 |
Mar. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adopting New NYSE Rule 6A and Amending Existing NYSE Rule 36 Concerning the Use of Personal Portable or Wireless Communication Devices and the Use or Possession of Wireless Trading Devices On and Off the Exchange Trading Floor
Comments due: March 31, 2009
|
SR-NYSE-2009-19 |
34-59469 |
Feb. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 300.10T to Provide a Grace Period Under that Rule for NYSE Alternext US LLC Member Organizations that have Applied for a Trading License to Comply with Certain Exchange Rules
Comments due: March 26, 2009
|
SR-NYSE-2006-92 |
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
See also: Order: Rel. No. 34-60215
Comments received are available for this notice.
|
SR-NYSE-2009-14 |
34-59450 |
Feb. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by New York Stock Exchange LLC Amending NYSE Rule 472 (Communications with the Public)
Comments due: March 25, 2009
|
SR-NYSE-2009-17 |
34-59446 |
Feb. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Eliminating the Ability to Enter Orders on the Exchange with the Settlement Instructions of “Cash”, “Next Day” and “Seller’s Option”
Comments due: March 24, 2009
|
SR-NYSE-2009-15 |
34-59430 |
Feb. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Its New Risk Management Gateway Service
Comments due: March 20, 2009
|
SR-NYSE-2009-13 |
34-59415 |
Feb. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Certain NYSE Rules to Reflect that Designated Market Makers on the Exchange No Longer Act as Agents for Orders Entered on the Exchange
Comments due: March 18, 2009
|
SR-NYSE-2009-12 |
34-59400 |
Feb. 12, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending Its Limited Liability Company Operating Agreement and the Bylaws of Its Wholly-Owned Subsidiary NYSE Market, Inc. to Eliminate, in Each Case, a Requirement That Not Less than Two Members of the Board of Directors must Qualify as “Non-Affiliated Directors” and a Related Requirement That Not Less than Two Members of the Board of Directors Must Qualify as “Fair Representation Candidates”
Comments due: March 13, 2009
See also: Order: Rel. No. 34-59683
|
SR-NYSE-2009-07 |
34-59383 |
Feb. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 123E (“DMM Combination Review Policy”) to be More Consistent with the Exchange’s Current Designated Market Maker (“DMM”) System
Comments due: March 13, 2009
|
SR-NYSE-2008-101 |
34-59354 |
Feb. 3, 2009 |
Order Approving Proposed Rule Change to Establish the Risk Management Gateway Service [Corrected]
See also: Notice: Rel. No. 34-59145
|
SR-NYSE-2009-10 |
34-59345 |
Feb. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rules 116 and 123C to Create a Single Closing Print to be Reported to the Consolidated Tape for Each Security
Comments due: March 2, 2009
|
SR-NYSE-2009-09 |
34-59327 |
Jan. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing an Equity Transaction Fee for Shares Executed on or through the New York Block Exchange Effective Upon Filing with the Commission
Comments due: February 26, 2009
|
SR-NYSE-2008-112 |
34-59320 |
Jan. 30, 2009 |
Order Granting Approval of Proposed Rule Change to Discontinue Policy of Prohibiting Transfer Agents from Charging Fees for Issuing Stock Certificates
See also: Notice: Rel. No. 34-59106
|
SR-NYSE-2009-03 |
34-59313 |
Jan. 28, 2009 |
Notice of Filing of Proposed Rule Change to Adopt Listing Fees for Securities Listed under Section 703.21 and 703.22 and Traded on NYSE Bonds
Comments due: February 25, 2009
See also: Order: Rel. No. 34-59559
|
SR-NYSE-2009-04 |
34-59309 |
Jan. 28, 2009 |
Notice of Filing of Proposed Rule Change to Establish Fees for NYSE Trades
Comments due: February 25, 2009
See also: Order: Rel. No. 34-59606
|
SR-NYSE-2009-06 |
34-59299 |
Jan. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Temporarily Lower its Average Global Market Capitalization Continued Listing Standard
Comments due: February 20, 2009
|
SR-NYSE-2009-05 |
34-59290 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce a Pilot Program for NYSE Trades
Comments due: February 20, 2009
|
SR-NYSE-2008-119 |
34-59282 |
Jan. 22, 2009 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Trading Rules for the New York Block Exchange
Comments due: February 18, 2009
See also: Notice: Rel. No. 34-58969
|
SR-NYSE-2008-120 |
34-59281 |
Jan. 22, 2009 |
Order Approving Proposed Rule Change Relating to the Limited Liability Company Agreement of New York Block Exchange, a Facility of NYSE
See also: Notice: Rel. No. 34-58970
|
SR-NYSE-2009-02 |
34-59255 |
Jan. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until March 9, 2009, the Operation of Interim NYSE Rule 128 Which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if They Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including Those Executions That Occur in the Event of a System Disruption or System Malfunction
Comments due: February 17, 2009
|
SR-NYSE-2008-143 |
34-59231 |
Jan. 12, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 103B (“Security Allocation and Reallocation”) to: 1) Prohibit DMM Units from Communicating with Issuers After Receipt of Notice from the Exchange of the Issuer’s Impending Listing; 2) Provide DMM Unit Marketing Materials to the Issuer Prior to the Scheduled Interview Rather than the Day Before; and 3) Allow An Issuer Transferring from NYSE Alternext US LLC to the NYSE to Retain its DMM Unit if such DMM Unit is An Approved and Registered DMM on the NYSE
Comments due: February 6, 2009
|
SR-NYSE-2009-01 |
34-59229 |
Jan. 12, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adopting a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM System, Effective Upon Filing with the Securities and Exchange Commission until February 28, 2009
Comments due: February 6, 2009
|
SR-NYSE-2008-138 |
34-59217 |
Jan. 8, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC to Memorialize an Interpretation of the Listed Company Manual Concerning Shareholder Approval Requirements and to Describe a Certain Application of its Audit Committee Rule
Comments due: February 6, 2009
Submit comments on SR-NYSE-2008-138
|
SR-NYSE-2008-134 |
34-59207 |
Jan. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1500 ("MatchPoint") to Clarify the Functionality of the Intra-Day Matching Sessions in Relation to Order Entry, Correction and Cancellation Capabilities, and When the MatchPoint System Cancels Unexecuted Orders Back to the User and Disseminates Intra-Day and After Hours Trade Reports
Comments due: February 3, 2009
|
SR-NYSE-2008-132 |
34-59202 |
Jan. 6, 2009 |
Notice of Filing of Proposed Rule Change to Introduce a NYSE Order Imbalance Information Fee
Comments due: February 3, 2009
See also: Order: Rel. No. 34-59543
|
SR-NYSE-2008-131 |
34-59198 |
Jan. 5, 2009 |
Notice of Filing of Proposed Rule Change to Introduce a NYSE OpenBook® Nonprofessional Subscriber Fee and to Revise the Unit of Count that Determines the Device Fees Payable by Data Recipients
Comments due: February 2, 2009
See also: Order: Rel. No. 34-59544
Comments received are available for this notice.
|
Release No. |
Date |
Details |
SR-NYSE-2009-135 |
34-61294 |
Jan. 6, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 18 to Eliminate the $500 Minimum Net Loss Requirement for a Member Organization to Seek Compensation in the Event of an Exchange System Failure
Comments due: February 2, 2010
Additional Materials: Exhibit 5
|
SR-NYSE-2009-134 |
34-61273 |
Dec. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Deleting NYSE Rule 445 and Adopting New Rule 3310 to Correspond with Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: January 29, 2010
|
SR-NYSE-2009-133 |
34-61309 |
Jan. 7, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Modify the Liquidity Credits Paid to Supplemental Liquidity Providers
Comments due: February 4, 2010
Additional Materials: Exhibit 5
|
SR-NYSE-2009-131 |
34-61264 |
Dec. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C(8)(a)(1) to Extend Operation of the Extreme Order Imbalances Pilot
Comments due: January 29, 2010
Additional Materials: Exhibit 5
|
SR-NYSE-2009-130 |
34-61266 |
Dec. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Trading License Fee for 2010
Comments due: January 29, 2010
Additional Materials: Exhibit 5
|
SR-NYSE-2009-129 |
34-61251 |
Dec. 29, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operative Date of NYSE Rule 92(c)(3) from December 31, 2009 to July 31, 2010
Comments due: January 26, 2010
|
SR-NYSE-2009-128 |
34-61268 |
Dec. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period to Receive Inbound Routes of Certain Equities Orders from Archipelago Securities LLC
Comments due: January 29, 2010
|
SR-NYSE-2009-127 |
34-61201 |
Dec. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program that Offers Liquidity Takers a Reduced Transaction Fee Structure for Certain Bond Trades Executed on the NYSE Bonds System and Retiring the Liquidity Provider Credit Pilot Program
Comments due: January 19, 2010
|
SR-NYSE-2009-126 |
34-61235 |
Dec. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rules 116 and 123C to Allow More Than One Closing Print to be Reported to the Consolidated Tape for Closing Transactions That Exceed 99,999,999 Shares
Comments due: January 25, 2010
Additional Materials: Exhibit 5
|
SR-NYSE-2009-125 |
34-61176 |
Dec. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rules 312 and 321 and Adopt New Rules 2262 and 2269 Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: January 14, 2010
Additional Materials: Exhibit 5
|
SR-NYSE-2009-124 |
34-61230 |
Dec. 23, 2009 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Proposing to Amend Section 703.22 of the Listed Company Manual
Comments due: January 20, 2010
Additional Materials: Exhibit 5
|
SR-NYSE-2009-123 |
34-61158 |
Dec. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 352 and Adopting New Rule 2150 to Correspond with Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: January 11, 2010
|
SR-NYSE-2009-122 |
34-61125 |
Dec. 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Suspend Certain Provisions of NYSE Rules 116 and 123C Relating to the Requirement That the Closing Transaction Be Reported to the Consolidated Tape as a Single Transaction
Comments due: January 4, 2010
|
SR-NYSE-2009-121 |
34-61126 |
Dec. 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 1600 to More Fully Incorporate Away Market Contra Side Liquidity in the Execution of New York Block Exchange Orders
Comments due: January 4, 2010
Additional Materials: Exhibit 5
|
SR-NYSE-2009-120 |
34-61406 |
Jan. 22, 2010 |
Order Approving Proposed Rule Change Relating to Changes in NYSE Realtime Reference Prices Service
|
34-61145 |
Dec. 10, 2009 |
Notice of Filing of Proposed Rule Change Relating to Changes in NYSE Realtime Reference Prices Service
Comments due: January 8, 2010
|
SR-NYSE-2009-119 |
34-61075 |
Nov. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operation of its Supplemental Liquidity Providers Pilot, Until the Earlier of the Securities and Exchange Commission's Approval to make Such Pilot Permanent or March 30, 2010
Comments due: December 28, 2009
|
SR-NYSE-2009-118 |
34-61130 |
Dec. 8, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude Early Closing Days from Certain ADV Calculations
Comments due: January 4, 2010
Additional Materials: Exhibit 5
|
SR-NYSE-2009-117 |
34-61333 |
Jan. 12, 2010 |
Order Approving Proposed Rule Change Amending Its Listing Fees for Structured Products
|
34-61091 |
Dec. 1, 2009 |
Notice of Filing of Proposed Rule Change Amending Its Listing Fees for Structured Products
Comments due: December 29, 2009
|
SR-NYSE-2009-116 |
34-61257 |
Dec. 30, 2009 |
Order Approving a Proposed Rule Change to Increase the Ceiling on Its Equity Ownership Interest in BIDS Holdings L.P. to Less Than 10%
|
34-61043 |
Nov. 20, 2009 |
Notice of Filing of Proposed Rule Change to Increase the Ceiling on Its Equity Ownership Interest in BIDS Holdings L.P. to Less Than 10%
Comments due: December 21, 2009
|
SR-NYSE-2009-115 |
34-61099 |
Dec. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Warrant Initial Listing Standard to Exempt from the Minimum Holders Requirement Any Series of Warrants that is Listed in Connection with the Initial Firm Commitment Underwritten Public Offering of Such Warrants
Comments due: December 29, 2009
Additional Materials: Exhibit 5
|
SR-NYSE-2009-114 |
34-61046 |
Nov. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Sample Broker Letters Set Forth In Rule 451
Comments due: December 22, 2009
Additional Materials: Exhibit 5
|
SR-NYSE-2009-113 |
34-61031 |
Nov. 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or March 30, 2010
Comments due: December 18, 2009
|
SR-NYSE-2009-112 |
34-61275 |
Jan. 4, 2010 |
Order Approving a Proposed Rule Change Rescinding Information Memoranda 04-27 and 07-66 and Issuing a New Information Memo Concerning the Exchange’s Gap Quote Policy
|
34-61048 |
Nov. 23, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Rescinding Information Memoranda 04-27 and 07-66 and Issuing a New Information Memo Concerning the Exchange's Gap Quote Policy
Comments due: December 22, 2009
|
SR-NYSE-2009-111 |
34-61233 |
Dec. 23, 2009 |
Order Approving the Proposed Rule Change, As Modified by Amendment No. 1, Amending NYSE Rule 123C to Modify the Procedures for Its Closing Process and Making Conforming Changes to NYSE Rules 13 and 15
|
34-60974 |
Nov. 9, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 123C to Modify the Procedures for Its Closing Process and Making Conforming Changes to NYSE Rules 13 and 15
Comments due: December 8, 2009
Comments received are available for this notice.
|
SR-NYSE-2009-110 |
34-60949 |
Nov. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM System, Effective Upon Filing through January 31, 2010
Comments due: December 4, 2009
|
SR-NYSE-2009-109 |
34-60911 |
Nov. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Extend the Pilot Program in Relation to Certain of its Continued Listing Standards
Comments due: November 30, 2009
|
SR-NYSE-2009-108 |
34-60912 |
Nov. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust its Rebates Paid to Supplemental Liquidity Providers
Comments due: November 30, 2009
|
SR-NYSE-2009-107 |
34-60915 |
Nov. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Exchange Rule 62 to Support Quoting and Trading in a Minimum Price Variation Below $.01 for Securities Traded on the Exchange for Orders or Interest Priced Below $1.00 Per Share
Comments due: November 30, 2009
|
SR-NYSE-2009-106 |
34-61072 |
Nov. 30, 2009 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Rule 70 in Order to Update d-Quote Functionality and Provide for e-Quotes to Peg to the National Best Bid or Offer
Comments due: December 28, 2009
Additional Materials: Exhibit 5
|
34-60888 |
Oct. 27, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending Rule 70 in Order to Update d-Quote Functionality and Provide for e-Quotes to Peg to the National Best Bid or Offer
Comments due: November 24, 2009
|
SR-NYSE-2009-105 |
34-61177 |
Dec. 16, 2009 |
Order Approving a Proposed Rule Change Relating to the Designation of NYSE Arca, Inc., as the NYSE's Alternative Trading Facility in an Emergency
Additional Materials: Exhibit 5
|
34-60922 |
Nov. 3, 2009 |
Notice of Filing of Proposed Rule Change Adopting NYSE Rule 49 to Provide the Exchange with the Authority to Declare an Emergency Condition with Respect to Trading on or Through the Systems and Facilities of the Exchange and to Transfer Trading of Exchange-Listed Securities to Its Corporate Affiliate, NYSE Arca, Inc.
Comments due: December 3, 2009
|
SR-NYSE-2009-104 |
34-60809 |
Oct. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 123C(8)(a)(1) to Extend the Operation of the Extreme Order Imbalances Pilot
Comments due: November 9, 2009
|
SR-NYSE-2009-103 |
34-60781 |
Oct. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Interim Rule 128 Governing Clearly Erroneous Executions for NYSE Equities
Comments due: October 29, 2009
|
SR-NYSE-2009-102 |
34-60812 |
Oct. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 14 to be Consistent with the New System Capability to Receive Orders for Execution on the Exchange Containing Settlement Instructions of "Cash," "Next Day" and "Seller's Option" Directly to a Floor Broker's Hand-Held Device
Comments due: November 9, 2009
|
SR-NYSE-2009-101 |
34-60752 |
Sep. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period to Receive Inbound Routes of Orders from Archipelago Securities LLC
Comments due: October 28, 2009
|
SR-NYSE-2009-100 |
34-60756 |
Oct. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operation of Its New Market Model Pilot and Supplemental Liquidity Providers Pilot, Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilots Permanent or November 30, 2009
Comments due: October 29, 2009
|
SR-NYSE-2009-99 |
34-60755 |
Sep. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amending NYSE Rule 103B to: 1) Codify the Exchange’s Existing Practice that Renders Designated Market Marker Units Ineligible to Interview for Securities that are Directly Related to the Performance or Credit of Any of the DMM’s Affiliated Entities; 2) Define "Related Security" for Purposes of NYSE Rule 103B; 3) Provide that all Related Securities Listed Under Section 703.19 of the Exchange’s Listed Company Manual will be Automatically Assigned to the Designated Market Maker Unit; 4) Define Repackaged Security for Purposes of NYSE Rule 103B, and Provide that Repackaged Securities are Allocated Through the Allocation Process pursuant to NYSE Rule 103B
Comments due: October 29, 2009
|
SR-NYSE-2009-98 |
34-60768 |
Oct. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Discontinue Rebates Paid to Floor Brokers for Orders Swept into the Close
Comments due: October 29, 2009
|
SR-NYSE-2009-97 |
34-60712 |
Sep. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until October 4, 2009, the Operation of Interim NYSE Rule 128 which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if they Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including those Executions that Occur in the Event of a System Disruption or System Malfunction
Comments due: October 20, 2009
|
SR-NYSE-2009-96 |
34-60969 |
Nov. 9, 2009 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Permitting Affiliation with NYFIX Millennium L.L.C. and NYFIX Securities Corporation
|
34-60737 |
Sep. 29, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Permitting Affiliation with NYFIX Millennium L.L.C. and NYFIX Securities Corporation
Comments due: October 26, 2009
|
SR-NYSE-2009-95 |
34-60678 |
Sep. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until September 22, 2009, the Operation of Interim NYSE Rule 128 which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if they Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including those Executions that Occur in the Event of a System Disruption or System Malfunction
Comments due: October 13, 2009
|
SR-NYSE-2009-94 |
34-60763 |
Oct. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Modify its Requirements with Respect to Quarterly Earnings Releases
Comments due: October 29, 2009
|
SR-NYSE-2009-93 |
34-60649 |
Sep. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until September 15, 2009, the Operation of Interim NYSE Rule 128 which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if they Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including those Executions that Occur in the Event of a System Disruption or System Malfunction
Comments due: October 8, 2009
|
SR-NYSE-2009-92 |
34-60597 |
Aug. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until September 8, 2009, the Operation of Interim NYSE Rule 128 which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if they Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including those Executions that Occur in the Event of a System Disruption or System Malfunction
Comments due: September 29, 2009
|
SR-NYSE-2009-91 |
34-60595 |
Aug. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rules 103B and 104 to Increase the Amount of Time that a Designated Market Maker Unit must Maintain a Bid and An Offer at the National Best Bid and National Best Offer for An Aggregate Average Period of Time Monthly
Comments due: September 29, 2009
|
SR-NYSE-2009-90 |
34-60614 |
Sep. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Modify Rebates Payable to Designated Market Makers
Comments due: October 2, 2009
|
SR-NYSE-2009-89 |
34-61067 |
Nov. 25, 2009 |
Order Approving a Proposed Rule Change as Modified by Amendment No. 1 to Amend Certain Corporate Governance Requirements
|
34-60653 |
Sep. 11, 2009 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 to Amend Certain Corporate Governance Requirements
Comments due: October 8, 2009
Comments received are available for this notice.
|
SR-NYSE-2009-88 |
34-60612 |
Sep. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Modify the Cure Provisions under its Dollar Stock Price Continued Listing Standard
Comments due: September 30, 2009
|
SR-NYSE-2009-87 |
34-60563 |
Aug. 24, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending until August 31, 2009 the Operation of Interim NYSE Rule 128 which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if they Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including those Executions that Occur in the Event of a System Disruption or System Malfunction
Comments due: September 18, 2009
|
SR-NYSE-2009-86 |
34-60573 |
Aug. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Length of Time that Exchange Systems Transmit Odd-Lot Order-by-Order Information to the DMM Unit Algorithm Prior to the Opening Transaction from August 31, 2009 to October 31, 2009
Comments due: September 23, 2009
|
SR-NYSE-2009-85 |
34-60608 |
Sep. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adding Language to Several NYSE Rules to Clarify That Transactions That Occur Solely Within NYSE MatchPoint(SM) Will Be Treated Differently Than Executions That Occur in the NYSE Display Book® for Certain Order Processing Purposes
Comments due: September 30, 2009
|
SR-NYSE-2009-84 |
34-60983 |
Nov. 10, 2009 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Rule 36 to Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas
|
34-60691 |
Sep. 18, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC, as Modified by Amendment No. 1, Amending NYSE Rule 36 to Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas
Comments due: October 19, 2009
|
SR-NYSE-2009-83 |
34-60868 |
Oct. 22, 2009 |
Order Approving Proposed Rule Change Amending Its Initial Listing Fees for Operating Companies
|
34-60644 |
Sep. 10, 2009 |
Notice of Filing of Proposed Rule Change Amending Its Initial Listing Fees for Operating Companies
Comments due: October 8, 2009
|
SR-NYSE-2009-82 |
34-60618 |
Sep. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Amending Certain Provisions of Exchange Rule 1600 to Align the Rule with the Technology and Functionality of the NYBX Facility in Relation to an NYBX Order's Ability to Interact with Non-Displayed Contra Side Liquidity in the NYSE Display Book® and to Clarify the Processing of NYBX Orders that have An Optional, User-Defined Minimum Triggering Volume
Comments due: October 1, 2009
|
SR-NYSE-2009-81 |
34-60478 |
Aug. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending until August 21, 2009 the Operation of Interim NYSE Rule 128 which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions If They Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including Those Executions that Occur in the Event of a System Disruption or System Malfunction
Comments due: September 8, 2009
|
SR-NYSE-2009-80 |
34-60501 |
Aug. 13, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Public Float Requirement for Initial Public Offerings
Comments due: September 11, 2009
|
SR-NYSE-2009-79 |
34-60419 |
Aug. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending until August 10, 2009 the Operation of Interim NYSE Rule 128, Which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions
Comments due: August 31, 2009
|
SR-NYSE-2009-78 |
34-60439 |
Aug. 5, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM System Through October 31, 2009
Comments due: September 1, 2009
|
SR-NYSE-2009-77 |
34-60436 |
Aug. 5, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Modify Certain Equity Transaction Fees and Rebates
Comments due: September 1, 2009
|
SR-NYSE-2009-076 |
34-60457 |
Aug. 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Deleting NYSE Rule 409A and Adopting New Rule 2266 to Correspond with Rule Changes Recently Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: September 8, 2009
|
SR-NYSE-2009-75 |
34-60512 |
Aug. 17, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by New York Stock Exchange LLC Adopting NYSE Rule 406 as New Rule 3250 to Correspond with a Rule Change Recently Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: September 14, 2009
|
SR-NYSE-2009-74 |
34-60426 |
Aug. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 103B to Modify the Composition of the Exchange Selection Panel and Prohibit Any Ex Parte Communications During and Regarding the Selection Process between the DMM Units and the Individuals Serving on the Exchange Selection Panel
Comments due: September 1, 2009
|
SR-NYSE-2009-73 |
34-60396 |
Jul. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operative Date of NYSE Rule 92(c)(3) from July 31, 2009 to December 31, 2009
Comments due: August 26, 2009
|
SR-NYSE-2009-72 |
34-60399 |
Jul. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 476A to Add Rule 104(a)(1)(A) to Its "List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A"
Comments due: August 26, 2009
|
SR-NYSE-2009-71 |
34-60671 |
Sep. 15, 2009 |
Order Approving a Proposed Rule Change Amending NYSE Rule 1000 to Allow Exchange Systems to Access CCS Interest to Partially Fill an Incoming Limit Order
|
34-60429 |
Aug. 4, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 1000 to Allow Exchange Systems to Access CCS Interest to Partially Fill an Incoming Limit Order
Comments due: September 1, 2009
|
SR-NYSE-2009-70 |
34-60312 |
Jul. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending until August 1, 2009 the Operation of Interim NYSE Rule 128, Which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions
Comments due: August 12, 2009
|
SR-NYSE-2009-69 |
34-60287 |
Jul. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 72 to Eliminate Parity Allocations for DMM Interest Added Intra Day During a Slow Quote or When Verbally Trading with Floor Brokers at the Point of Sale
Comments due: August 7, 2009
|
SR-NYSE-2009-68 |
34-60289 |
Jul. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rules 60, 70 and 1000 to Reflect Modifications to the Manner in which the Exchange will Quote and Trade With Respect to Liquidity Replenishment Points
Comments due: August 7, 2009
|
SR-NYSE-2009-67 |
34-60278 |
Jul. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPoint(SM) System
Comments due: August 6, 2009
|
SR-NYSE-2009-66 |
34-60305 |
Jul. 14, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Lower its Market Capitalization Continued Listing Standard
Comments due: August 10, 2009
|
SR-NYSE-2009-64 |
34-60273 |
Jul. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Extend its Suspension of its Dollar Stock Price Continued Listing Standard to July 31, 2009
Comments due: August 6, 2009
|
SR-NYSE-2009-63 |
34-60318 |
Jul. 16, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 2 to Redefine the Term "Member Organization"
Comments due: August 14, 2009
|
SR-NYSE-2009-62 |
34-60197 |
Jun. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Moratorium Related to the Qualification and Registration of Registered Competitive Market Makers Pursuant to NYSE Rule 107A and Competitive Traders Pursuant to NYSE Rule 110 to the Earlier of the Approval of SR-NYSE-2009-08 or July 24, 2009
Comments due: July 29, 2009
|
SR-NYSE-2009-61 |
34-60179 |
Jun. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Decommissioning the Requirement for Member Organizations to Report Program Trading Activity on the Daily Program Trading Report
Comments due: July 23, 2009
Comments received are available for this notice.
|
SR-NYSE-2009-60 |
34-60542 |
Aug. 19, 2009 |
Order Approving a Proposed Rule Change in connection with the Proposal of NYSE Euronext to Require that At Least Three-fourths of Its Directors Satisfy Independence Requirements
|
34-60261 |
Jul. 8, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC in connection with the Proposal of NYSE Euronext to Require that At Least Three-fourths of Its Directors Satisfy Independence Requirements
Comments due: August 6, 2009
|
SR-NYSE-2009-59 |
34-60216 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Exchange Rules to Allow Customers to Transmit Orders on the Exchange With Settlement Instructions of "Cash," "Next Day," and "Seller's Option" Directly to a Floor Broker for Manual Execution
Comments due: July 31, 2009
|
SR-NYSE-2009-58 |
34-60255 |
Jul. 7, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Scope of the Exchange's Prior Approval to Receive Inbound Routes from Archipelago Securities LLC, an Affiliated Member
Comments due: August 4, 2009
|
SR-NYSE-2009-57 |
34-60131 |
Jun. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending until July 15, 2009 the Operation of Interim NYSE Rule 128, Which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions
Comments due: July 15, 2009
|
SR-NYSE-2009-56 |
34-60088 |
Jun. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee for Use of a Hand Held Device Configured to Provide Only Opening and Closing Order Imbalance Data
Comments due: July 8, 2009
|
SR-NYSE-2009-55 |
34-60251 |
Jul. 7, 2009 |
Order Granting Accelerated Approval to a Proposed Rule Change Amending Rule 70.25 to Permit All Available Contra-Side Liquidity to Trigger the Execution of a d-Quote
|
34-60045 |
Jun. 4, 2009 |
Notice of Filing of a Proposed Rule Change Amending Rule 70.25 to Permit All Available Contra-side Liquidity to Trigger the Execution of a d-Quote
Comments due: July 2, 2009
|
SR-NYSE-2009-53 |
34-60062 |
Jun. 8, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Moratorium Related to the Qualification and Registration of Registered Competitive Market Makers Pursuant to NYSE Rule 107A and Competitive Traders Pursuant to NYSE Rule 110 to the Earlier of the Approval of SR-NYSE-2009-08 or June 30, 2009
Comments due: July 6, 2009
|
SR-NYSE-2009-52 |
34-59979 |
May 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees Charged for the Floor Member Continuing Education Program for Qualified Floor Members Pursuant to NYSE Rule 103A
Comments due: June 23, 2009
|
SR-NYSE-2009-50 |
34-59997 |
May 28, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Comparison of Executed Transactions
Additional File No.: SR-NYSEAmex-2009-20
Comments due: July 6, 2009
|
SR-NYSE-2009-49 |
34-60153 |
Jun. 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include Floor Broker Agency Interest Containing Pegging and/or Discretionary Instructions, Eligible for Execution in the Closing Transaction, in the NYSE Order Imbalance Information Datafeed Disseminated Prior to the Closing Transaction
Comments due: July 17, 2009
|
SR-NYSE-2009-48 |
34-59996 |
May 28, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending the Exchange's Continued Listing Standards on a Pilot Program Basis
Comments due: June 25, 2009
|
SR-NYSE-2009-47 |
34-59863 |
May 5, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Modify Certain Equity Transaction Fees and Rebates
Comments due: June 4, 2009
|
SR-NYSE-2009-46 |
34-59869 |
May 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending until October 1, 2009 the Six-Month Pilot Program Which Established a New Class of NYSE Market Participants Referred to as "Supplemental Liquidity Providers" and is Designated as Exchange Rule 107B
Comments due: June 4, 2009
|
SR-NYSE-2009-45 |
34-60138 |
Jun. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 124 to Clarify the Pricing Methodology for the Odd-Lot Portion of a Part of a Round-Lot Order; Clarify the Systems Capable of Accepting PRL Orders; and Clarify the Systems Capable of Accepting a Good 'Til Cancelled Order During the Implementation of Exchange System Enhancements
Comments due: July 16, 2009
|
SR-NYSE-2009-44 |
34-59864 |
May 5, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPoint(SM) System, Effective May 1, 2009 Until June 30, 2009
Comments due: June 2, 2009
|
SR-NYSE-2009-43 |
34-59884 |
May 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete All References in the NYSE Rule Book to "Alternext" and "Alternext US" and Substitute References to "Amex" to Reflect the Recent Name Change of NYSE Alternext US LLC to NYSE Amex LLC
Comments due: June 4, 2009
|
SR-NYSE-2009-42 |
34-60004 |
May 29, 2009 |
Order Approving the Proposed Rule Change Implementing NYSE Realtime Reference Prices Service on a Permanent Basis
|
34-59791 |
Apr. 20, 2009 |
Notice of Filing of Proposed Rule Change Implementing the NYSE Realtime Reference Price Service on a Permanent Basis
Comments due: May 15, 2009
|
SR-NYSE-2009-41 |
34-59815 |
Apr. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rules 15 and 123C Regarding the Operation of its NYSE Order Imbalance Information Service to Modify the Reference Price at Which the Exchange Reports the Order Imbalance Information and Clarify what Information is Included and Excluded from the Order Imbalance Information Reports
Comments due: May 20, 2009
|
SR-NYSE-2009-40 |
34-59823 |
Apr. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending the Exchange’s Timely Alert Policy
Comments due: May 26, 2009
|
SR-NYSE-2009-39 |
34-59710 |
Apr. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Revised Liquidity Credits for Supplemental Liquidity Providers
Comments due: May 5, 2009
|
SR-NYSE-2009-38 |
34-59677 |
Apr. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Transaction Fees for the New York Block Exchange
Comments due: April 28, 2009
|
SR-NYSE-2009-37 |
34-59898 |
May 11, 2009 |
Order Approving Proposed Rule Change Implementing a Cap on Vendors' Administrative Charges for NYSE OpenBook |
34-59681 |
Apr. 1, 2009 |
Notice of Filing of Proposed Rule Change Implementing a Cap on Vendors’ Administrative Charges for NYSE OpenBook
Comments due: April 29, 2009
|
SR-NYSE-2009-36 |
34-59659 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending to September 1, 2009, the Operative Date of New York Stock Exchange Rule 2 Requirement that NYSE-Only Member Organizations Apply for and be Approved as a Member of the Financial Industry Regulatory Authority, Inc.
Comments due: April 27, 2009
|
SR-NYSE-2009-35 |
34-59666 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Rule 48.10 to Extend the Temporary Provisions of the Rule Relating to the Ability of the Exchange to Declare an Extreme Market Volatility Condition and Suspend Certain NYSE Requirements Relating to the Closing of Securities at the Exchange
Comments due: April 28, 2009
|
SR-NYSE-2009-34 |
34-59653 |
Mar. 30, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Extend the Pilot Period for the NYSE Realtime Reference Prices Pilot Program
Comments due: April 27, 2009
|
SR-NYSE-2009-33 |
34-59626 |
Mar. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Wireless Data Communications Initiatives and Codifying the Wireless Policy
Comments due: April 22, 2009
|
SR-NYSE-2009-32 |
34-59684 |
Apr. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Extend until August 31, 2009, the Application of the NYSE Arca Transfer Standard
Comments due: April 29, 2009
|
SR-NYSE-2009-31 |
34-59844 |
Apr. 29, 2009 |
Order Approving Proposed Rule Change Regarding Initial and Annual Listing Fees for Securities Listed and Traded on the NYSE Bonds System
|
34-59608 |
Mar. 19, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending the Listed Company Manual Section 902.08 to Establish an Initial Listing Fee and an Annual Listing Fee for Securities Listed Under Section 102.03 and Traded on the NYSE Bonds System
Comments due: April 16, 2009
|
SR-NYSE-2009-30 |
34-59621 |
Mar. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Rule 92(c)(3) from March 31, 2009 to July 31, 2009
Comments due: April 20, 2009
|
SR-NYSE-2009-29 |
34-59592 |
Mar. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Rule Book to Delete References to Specific Exchange Systems and to Remove the Requirement that Opening Transactions Receive Specific Designations Pursuant to NYSE Rules 79A and 115A
Comments due: April 14, 2009
|
SR-NYSE-2009-28 |
34-59570 |
Mar. 12, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Rules 13, 902, 903, 904, 905 and Rule 906 to Eliminate Certain Order Types From the Off-Hours Trading Facility
Comments due: April 9, 2009
|
SR-NYSE-2009-27 |
34-59613 |
Mar. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 124 to Execute the Odd-Lot Portion of a Part of a Round-Lot Order Pursuant to the Same Pricing Methodology Used for Odd-Lot Orders
Comments due: April 17, 2009
Comments received are available for this notice.
|
SR-NYSE-2009-26 |
34-59581 |
Mar. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until June 9, 2009, the Operation of Interim NYSE Rule 128 Which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if they Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including those Executions that Occur in the Event of a System Disruption or System Malfunction
Comments due: April 14, 2009
|
SR-NYSE-2009-25 |
34-59965 |
May 21, 2009 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Changing Certain NYSE Rules and Rule Interpretations to Harmonize Them with Changes to Corresponding Rules Filed by the Financial Industry Regulatory Authority, Inc.
|
34-59655 |
Mar. 30, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC, as modified by Amendment No. 2, Changing Certain NYSE Rules and Rule Interpretations to Harmonize Them with Changes to Corresponding Rules Recently Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: April 27, 2009
|
SR-NYSE-2009-24 |
34-59551 |
Mar. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending for Two Months to May 31, 2009 the Moratorium Related to the Qualification and Registration of Registered Competitive Market Makers Pursuant to NYSE Rule 107A and Competitive Traders Pursuant to NYSE Rule 110
Comments due: April 8, 2009
|
SR-NYSE-2009-23 |
34-59479 |
Mar. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adopting New NYSE Rule 6A and Amending Existing NYSE Rule 36 Concerning the Use of Personal Portable or Wireless Communication Devices and the Use or Possession of Wireless Trading Devices On and Off the Exchange Trading Floor
Comments due: March 31, 2009
|
SR-NYSE-2009-22 |
34-59483 |
Mar. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain Equity Transaction Fees and Rebates
Comments due: March 31, 2009
|
SR-NYSE-2009-21 |
34-59510 |
Mar. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Temporarily Suspend its Price Continued Listing Standard and Extend the Period of the Temporary Lowering of its Average Global Market Capitalization Continued Listing Standard
Comments due: April 1, 2009
|
SR-NYSE-2009-20 |
34-59491 |
Mar. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM System, Effective March 1, 2009 until April 30, 2009
Comments due: March 30, 2009
|
SR-NYSE-2009-19 |
34-59469 |
Feb. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 300.10T to Provide a Grace Period Under that Rule for NYSE Alternext US LLC Member Organizations that have Applied for a Trading License to Comply with Certain Exchange Rules
Comments due: March 26, 2009
|
SR-NYSE-2009-18 |
34-59755 |
Apr. 13, 2009 |
Order Granting Approval of Proposed Rule Changes Amending Rule 123C to Provide the Exchanges with the Ability to Temporarily Suspend Certain Requirements Relating to the Closing of Securities on the Exchange
Additional File No.: SR-NYSEALTR-2009-15
|
34-59489 |
Mar. 3, 2009 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 123C to Provide the Exchange with the Ability to Temporarily Suspend Certain NYSE Requirements Relating to the Closing of Securities at the Exchange
Comments due: March 31, 2009
|
SR-NYSE-2009-17 |
34-59446 |
Feb. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Eliminating the Ability to Enter Orders on the Exchange with the Settlement Instructions of “Cash”, “Next Day” and “Seller’s Option”
Comments due: March 24, 2009
|
SR-NYSE-2009-16 |
34-59486 |
Mar. 2, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NYSE Rule 17 to Address Issues Related to Vendor Liability and to Make Amendments and Conforming Changes to NYSE Rule 18
Comments due: March 30, 2009
|
SR-NYSE-2009-15 |
34-59430 |
Feb. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Its New Risk Management Gateway Service
Comments due: March 20, 2009
|
SR-NYSE-2009-14 |
34-59450 |
Feb. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by New York Stock Exchange LLC Amending NYSE Rule 472 (Communications with the Public)
Comments due: March 25, 2009
|
SR-NYSE-2009-13 |
34-59415 |
Feb. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Certain NYSE Rules to Reflect that Designated Market Makers on the Exchange No Longer Act as Agents for Orders Entered on the Exchange
Comments due: March 18, 2009
|
SR-NYSE-2009-12 |
34-59683 |
Apr. 1, 2009 |
Order Approving a Proposed Rule Change Amending Its Limited Liability Company Operating Agreement and the Bylaws of Its Wholly-Owned Subsidiary NYSE Market, Inc. to Eliminate, in Each Case, a Requirement That Not Less than Two Members of the Board of Directors Must Qualify as “Non-Affiliated Directors” and a Related Requirement That Not Less than Two Members of the Board of Directors Must Qualify as “Fair Representation Candidates”
|
34-59400 |
Feb. 12, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending Its Limited Liability Company Operating Agreement and the Bylaws of Its Wholly-Owned Subsidiary NYSE Market, Inc. to Eliminate, in Each Case, a Requirement That Not Less than Two Members of the Board of Directors must Qualify as “Non-Affiliated Directors” and a Related Requirement That Not Less than Two Members of the Board of Directors Must Qualify as “Fair Representation Candidates”
Comments due: March 13, 2009
|
SR-NYSE-2009-10 |
34-59345 |
Feb. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rules 116 and 123C to Create a Single Closing Print to be Reported to the Consolidated Tape for Each Security
Comments due: March 2, 2009
|
SR-NYSE-2009-09 |
34-59327 |
Jan. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing an Equity Transaction Fee for Shares Executed on or through the New York Block Exchange Effective Upon Filing with the Commission
Comments due: February 26, 2009
|
SR-NYSE-2009-08 |
34-60356 |
Jul. 21, 2009 |
Order Approving Proposed Rule Change Rescinding NYSE Rule 110 Which Establishes the Role of Competitive Traders and Exchange Rule 107A Which Establishes the Role of the Registered Competitive Market Makers
|
34-59746 |
Apr. 10, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Rescinding NYSE Rule 110 Which Establishes the Role of Competitive Traders and Exchange Rule 107A Which Establishes the Role of the Registered Competitive Market Makers
Comments due: May 7, 2009
Comments received are available for this notice.
|
SR-NYSE-2009-07 |
34-59383 |
Feb. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 123E (“DMM Combination Review Policy”) to be More Consistent with the Exchange’s Current Designated Market Maker (“DMM”) System
Comments due: March 13, 2009
|
SR-NYSE-2009-06 |
34-59299 |
Jan. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Temporarily Lower its Average Global Market Capitalization Continued Listing Standard
Comments due: February 20, 2009
|
SR-NYSE-2009-05 |
34-59290 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce a Pilot Program for NYSE Trades
Comments due: February 20, 2009
|
SR-NYSE-2009-04 |
34-59606 |
Mar. 19, 2009 |
Order Approving Proposed Rule Change to Establish Fees for NYSE Trades
|
34-59309 |
Jan. 28, 2009 |
Notice of Filing of Proposed Rule Change to Establish Fees for NYSE Trades
Comments due: February 25, 2009
|
SR-NYSE-2009-03 |
34-59559 |
Mar. 11, 2009 |
Order Approving Proposed Rule Change to Adopt Listing Fees for Securities Listed under Section 703.21 and 703.22 and Traded on NYSE Bonds
|
34-59313 |
Jan. 28, 2009 |
Notice of Filing of Proposed Rule Change to Adopt Listing Fees for Securities Listed under Section 703.21 and 703.22 and Traded on NYSE Bonds
Comments due: February 25, 2009
|
SR-NYSE-2009-02 |
34-59255 |
Jan. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until March 9, 2009, the Operation of Interim NYSE Rule 128 Which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if They Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including Those Executions That Occur in the Event of a System Disruption or System Malfunction
Comments due: February 17, 2009
|
SR-NYSE-2009-01 |
34-59229 |
Jan. 12, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adopting a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM System, Effective Upon Filing with the Securities and Exchange Commission until February 28, 2009
Comments due: February 6, 2009
|
http://www.sec.gov/rules/sro/nyse/nysearchive/nysearchive2009.shtml
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