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NYSE Rulemaking Archive: 2011

Chronological List
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

NYSE File Number List

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NYSE-2011-48
34-66065 Dec. 28, 2011 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due:  January 25, 2012
Rebuttal comments due:  February 8, 2012
Additional File Nos.:  SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also:   Order: Rel. No. 34-67090, Notice: Rel. No 34-66680; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65427
Comments received are available for this notice.

SR-NYSE-2011-67
34-66059 Dec. 27, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending for An Additional 12 Months the Pilot Program that Provides an Exception to NYSE Rule 2B by Permitting the Exchange's Equity Ownership Interest in BIDS Holdings L.P.
Comments due:  January 24, 2012

SR-NYSE-2011-64
34-66047 Dec. 23, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 103B, Which Governs the Allocation of Securities to DMMs
Comments due:  January 20, 2012
Additional Materials:   Exhibit 5

SR-NYSE-2011-65
34-66046 Dec. 23, 2011 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 July 31, 2012
Comments due:  January 20, 2012

SR-NYSE-2011-66
34-66045 Dec. 23, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Under Rule 107B Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or July 31, 2012
Comments due:  January 20, 2012

SR-NYSE-2011-62
34-66031 Dec. 22, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .26 (Pegging for d-Quotes and e-Quotes) to NYSE Rule 70
Comments due:  January 19, 2012
Additional Materials:   Exhibit 5

SR-NYSE-2011-56
34-66036 Dec. 22, 2011 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers
Additional File No.:  SR-NYSEAmex-2011-86
See also:   Order: Rel. No. 34-67437; Notice: Rel. No. 34-66981; Order: Rel. No. 34-66397; and Notice: Rel. No. 34-65736

SR-NYSE-2011-55
34-66003 Dec. 19, 2011 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Adopting New NYSE Rule 107C to Establish a Retail Liquidity Program on a Pilot Basis to Attract Additional Retail Order Flow to the Exchange for NYSE-listed Securities and New NYSE Amex Equities Rule 107C to Establish a Retail Liquidity Program on a Pilot Basis to Attract Additional Retail Order Flow to the Exchange for NYSE Amex Equities Traded Securities
Additional File No.:  SR-NYSEAmex-2011-84
See also:   Order: Rel. No. 34-70085, Order: Rel. No. 34-67347; Notice: Rel. No. 34-66928; Notice: Rel. No. 34-66464; Order: Rel. No. 34-66346; Notice: Rel. No. 34-65672
Comments received are available for this proposal.

SR-NYSE-2011-63
34-65995 Dec. 16, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Bond Trading License and the Bond Liquidity Provider Pilot Program Until the Earlier of the Approval of the Securities and Exchange Commission to Make Such Pilot Permanent or January 19, 2013
Comments due:  January 12, 2012

SR-NYSE-2011-53
34-65973 Dec. 15, 2011 Order Approving a Proposed Rule Change Expanding the Scope of Potential "Users" of Its Co-Location Services to Include Any Market Participant that Requests to Receive Co-Location Services Directly from the Exchange and Amending Its Price List to Establish a Fee for Users that Host their Customers at the Exchange's Data Center
See also:   Notice: Rel. No. 34-65629

SR-NYSE-2011-61
34-65954 Dec. 14, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Adopting the Text of Financial Industry Regulatory Authority Rule 5210, Which Prohibits the Publication of Manipulative or Deceptive Quotations or Transactions, as NYSE Rule 5210
Comments due:  January 11, 2012
Additional Materials:   Exhibit 5
Comments received are available for this notice.

SR-NYSE-2011-60
34-65889 Dec. 5, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 72 Priority of Bids and Offers and Allocation of Executions
Comments due:  December 30, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-58
34-65865 Dec. 2, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NYSE Rule 104(a)(1)(A) to Reflect that Designated Market Maker Unit Quoting Requirements Are Based on Consolidated Daily Average Volume
Comments due:  December 29, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-59
34-65845 Nov. 28, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Listed Company Manual to Apply Listing and Annual Fees to Foreign Private Issuers of Certain Debt Securities
Comments due:  December 23, 2011

SR-NYSE-2011-57
34-65810 Nov. 23, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C to Exclude All Rights and Warrants From the Single Stock Circuit Breaker Under the Rule
Comments due:  December 21, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-48
34-65770 Nov. 17, 2011 Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also:   Order: Rel. No. 34-67090; Notice: Rel. No 34-66680; Order: Rel. No. 34-66065; and Notice: Rel. No. 34-65427
Comments received are available for this proposal.

SR-NYSE-2011-56
34-65736 Nov. 10, 2011 Notice of Filing of Proposed Rule Change to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers ("DMMs")
Comments due:  December 8, 2011
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-67437; Notice: Rel. No. 34-66981; Order: Rel. No. 34-66397; and Notice: Rel. No. 34-66036

SR-NYSE-2011-38
34-65709 Nov. 8, 2011 Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 2, Amending Sections 102.01 and 103.01 of the Exchange's Listed Company Manual Adopting Additional Listing Requirements for Companies Applying to List After Consummation of a "Reverse Merger" With a Shell Company
Comments due:  December 6, 2011
Additional Materials:   Exhibit 4; Exhibit 5

SR-NYSE-2011-55
34-65672 Nov. 2, 2011 Notice of Filing of Rule Change Proposing a One-Year Pilot Program Adding New Rule 107C to Establish a Retail Liquidity Program to Attract Additional Retail Order Flow to the Exchange for NYSE-listed Securities
Comments due:  November 30, 2011
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-70085, Order: Rel. No. 34-67347; Notice: Rel. No. 34-66928; Notice: Rel. No. 34-66464; Order: Rel. No. 34-66346; Notice: Rel. No. 34-66003
Comments received are available for this notice.
See also:   Application for Exemptive Relief

SR-NYSE-2011-53
34-65629 Oct. 26, 2011 Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services to Include Any Market Participant that Requests to Receive Co-Location Services Directly from the Exchange and Amending Its Price List to Establish a Fee for Users that Host their Customers at the Exchange’s Data Center
Comments due:  November 22, 2011
See also:   Order: Rel. No. 34-65973

SR-NYSE-2011-51
34-65562 Oct. 14, 2011 Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V.
Comments due:  November 10, 2011
Additional Materials:   Exhibit 5A; Exhibit 5B; Exhibit 5C; Exhibit 5D; Exhibit 5E; Exhibit 5F; Exhibit 5G; Exhibit 5H; Exhibit 5I; Exhibit 5J; Exhibit 5K; Exhibit 5L; Exhibit 5M; Exhibit 5N; Exhibit 5O; Exhibit 5P; Exhibit 5Q
See also:   Order: Rel. No. 34-66171
Comments received are available for this notice.

SR-NYSE-2011-49
34-65523 Oct. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rules 132A, 132B, and 132C, Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System ("OATS") Rules, and Making Certain Conforming Changes
Comments due:  November 7, 2011
Third Quarter

SR-NYSE-2011-45
34-65453 Sep. 30, 2011 Order Approving a Proposed Rule Change Amending NYSE Rule 17(c)(2)(B) to Make Permanent the Pilot Program that Permits the Exchange to Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated exchanges and to Clarify the Text of NYSE Rule 17(c)(2)(A)(ii) to More Accurately Reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority
See also:   Notice: Rel. No. 34-65183

SR-NYSE-2011-48
34-65427 Sep. 28, 2011 Notice of Filing of Proposed Rule Change Amending Exchange Rule 80B to Revise the Current Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility
Comments due:  October 25, 2011
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-67090; Notice: Rel. No 34-66680; Order: Rel. No. 34-66065; and Notice: Rel. No. 34-65770
Comments received are available for this notice.

SR-NYSE-2011-38
34-65368 Sep. 21, 2011 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Sections 102.01 and 103.01 of the Exchange's Listed Company Manual to Adopt Additional Listing Requirements for Companies Applying to List After Consummation of a "Reverse Merger" with a Shell Company
See also:   Notice: Rel. No. 34-65034
Comments received are available for this notice.

SR-NYSE-2011-44
34-65264 Sep. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 501.00 of the Listed Company Manual to Expand the Waiver Provision to Apply to Foreign Issuers
Comments due:  October 3, 2011

SR-NYSE-2011-46
34-65237 Aug. 31, 2011 Notice of Filing and Immediate Effectiveness of roposed Rule Change Amending Its Price List for Co-Location Services to Correct Several Typographical Errors
Comments due:  September 28, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-45
34-65183 Aug. 22, 2011 Notice of Filing of Proposed Rule Change Amending NYSE Rule 17(c)(2)(B) to Make Permanent the Pilot Program that Permits the Exchange to Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated exchanges and to Clarify the Text of NYSE Rule 17(c)(2)(A)(ii) to More Accurately Reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority
Comments due:  September 16, 2011
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-65453

SR-NYSE-2011-43
34-65164 Aug. 18, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of NYSE Rule 92 and Adopting a New NYSE Rule 5320 that is Substantially the Same as Financial Industry Regulatory Authority Rule 5320 to Prohibit Trading Ahead of Customer Orders with Certain Exceptions (commonly known as the Manning Rule)
Comments due:  September 14, 2011
Additional Materials:   Exhibit 2a; Exhibit 2b; Exhibit 2c; Exhibit 5
Comments received are available for this notice.

SR-NYSE-2011-20
34-65127 Aug. 12, 2011 Order Granting Approval of Proposed Rule Change to Add New Section 907.00 to the Listed Company Manual that Sets Forth Certain Complimentary Products and Services that are Offered to Currently and Newly Listed Issuers
See also:   Notice: Rel. No. 34-64809; Notice: Rel. No. 34-64506

SR-NYSE-2011-42
34-65111 Aug. 11, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128 so that Clearly Erroneous Executions Involving Securities Recently Added to the Individual Security Trading Pause Pilot under NYSE Rule 80C Continue to be Resolved in the Same Manner Before Being Added to the Pilot
Comments due:  September 9, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-40
34-65090 Aug. 10, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Pilot until January 31, 2012
Comments due:  September 6, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-41
34-65064 Aug. 9, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, Clearly Erroneous Executions, to Extend the Effective Date of the Pilot until January 31, 2012
Comments due:  September 6, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-39
34-65062 Aug. 9, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Credits to Supplemental Liquidity Providers
Comments due:  September 6, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-38
34-65034 Aug. 4, 2011 Notice of Filing of Proposed Rule Change Amending Sections 102.01 and 103.01 of the Exchange's Listed Company Manual to Adopt Additional Listing Requirements for Companies Applying to List After Consummation of a "Reverse Merger" with a Shell Company
Comments due:  August 31, 2011
See also:   Notice: Rel. No. 34-65368
Comments received are available for this notice.

SR-NYSE-2011-37
34-64997 Aug. 1, 2011 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, From a Fixed Flat Fee of $80 Per Training Module to a Fixed Flat Fee of $150 Per Qualified Member Per Bi-Annual Session for a Total Cost Per Member Per Year of $300
Comments due:  August 26, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-36
34-64988 Jul. 29, 2011 Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person to Exclude Foreign Affiliates, Creating a New Definition of "Foreign Securities Affiliate," Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
Comments due:  August 24, 2011
Comments received are available for this notice.

SR-NYSE-2011-35
34-64918 Jul. 19, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 103 to Reduce the Net Liquid Asset Requirements for DMM Units
Comments due:  August 15, 2011

SR-NYSE-2011-34
34-64904 Jul. 18, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 17 to Make Changes Necessary to Allow Its Routing Broker to Operate Consistent with the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934
Comments due:  August 12, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-33
34-64888 Jul. 14, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Conforming Certain of its Financial Responsibility and Related Operational Rules to a Recently-Approved Financial Industry Regulatory Authority Rule Change
Comments due:  August 10, 2011

SR-NYSE-2011-32
34-64860 Jul. 12, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Rule 92(c)(3) from August 1, 2011 to September 12, 2011
Comments due:  August 8, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-22
34-64843 Jul. 8, 2011 Order Approving a Proposed Rule Change Amending NYSE Rule 70.40(3) to Permit Member Organizations to Engage in Proprietary Trading from Their Approved Booth Premises in Certain OTC Bulletin Board and OTC Markets Securities
See also:   Notice: Rel. No. 34-64522

SR-NYSE-2011-20
34-64809 Jul. 5, 2011 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Add New Section 907.00 to the Listed Company Manual that Sets Forth Certain Complimentary Products and Services that are Offered to Currently and Newly Listed Issuers
See also:   Order: Rel. No. 34-65127; Notice: Rel. No. 34-64506

SR-NYSE-2011-31
34-64793 Jul. 1, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1000(a)(iv) to Provide For a Different Liquidity Replenishment Point Value Range During the First Day of Trading of An Initial Public Offering on the Exchange
Comments due:  July 29, 2011
Additional Materials:   Exhibit 5
Second Quarter

SR-NYSE-2011-27
34-64785 Jun. 30, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 351(a)-(d) and Supplementary Material .10 and .13, Adopting the Text of FINRA Rule 4530, and Making Certain Conforming Changes
Comments due:  July 28, 2011

SR-NYSE-2011-26
34-64782 Jun. 30, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of NYSE Rule 409(f) and Adopting the Text of FINRA Rule 2232 and deleting the Rule Interpretations to NYSE Rule 346
Comments due:  July 28, 2011

SR-NYSE-2011-30
34-64762 Jun. 28, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change 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 January 31, 2012
Comments due:  July 26, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-29
34-64761 Jun. 28, 2011 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 January 31, 2012
Comments due:  July 26, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-21
34-64735 Jun. 23, 2011 Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.:  SR-BATS-2011-016, SR-BYX-2011-011, SR-BX-2011-025, SR-CBOE-2011-049, SR-CHX-2011-09, SR-EDGA-2011-15, SR-EDGX-2011-14, SR-FINRA-2011-023, SR-ISE-2011-028, SR-NASDAQ-2011-067, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26, SR-NSX-2011-06, SR-Phlx-2011-64
See also:   Notice: Rel. No. 34-64420

SR-NYSE-2011-24
34-64729 Jun. 23, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 17 to Codify Inbound Routing Functions Performed by Its Affiliate Broker-Dealer, Archipelago Securities LLC
Comments due:  July 20, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-23
34-64582 Jun. 2, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange Price List
Comments due:  June 29, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-15
34-64561 May 27, 2011 Order Granting Approval of Proposed Rule Change to Modify the Initial Trading Market Value for Debt Securities
See also:   Notice: Rel. No. 34-64287

SR-NYSE-2011-13
34-64542 May 25, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Revenue Sharing Program with Correlix, Inc. and a Free Trial Period for New Users of the Correlix Service
Comments due:  June 22, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-22
34-64522 May 19, 2011 Notice of Filing of Proposed Rule Change Amending NYSE Rule 70.40(3) to Permit Member Organizations to Engage in Proprietary Trading From Their Approved Booth Premises in Certain OTC Bulletin Board and OTC Markets Securities
Comments due:  June 15, 2011
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-64843

SR-NYSE-2011-20
34-64506 May 17, 2011 Notice of Filing of Proposed Rule Change to Add New Section 907.00 to the Listed Company Manual that Sets Forth Certain Complimentary Products and Services that are Offered to Currently and Newly Listed Issuers
Comments due:  June 13, 2011
See also:   Order: Rel. No. 34-65127; Notice: Rel. No. 34-64809
Comments received are available for this notice.

SR-NYSE-2011-21
34-64420 May 6, 2011 Notice of Filing of Proposed Rule Change Amending Rule 80C to Include Additional Securities in the Pilot by Which Such Rule Operates and Amending Rule 104 to Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 80C
Comments due:  June 2, 2011
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-64735

SR-NYSE-2011-19
34-64351 Apr. 27, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 440B (Short Sales) to Modify the Exchange's Procedures for Early Termination of the Short Sale Price Test Restrictions of Rule 201 of Regulation SHO Based on a Triggering Transaction that Another Exchange or a Self-Regulatory Organization Has Determined Was a Clearly Erroneous Execution
Comments due:  May 24, 2011

SR-NYSE-2011-18
34-64334 Apr. 25, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 72(d) Regarding Agency Cross Transactions
Comments due:  May 20, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-09
34-64322 Apr. 21, 2011 Order Approving a Proposed Rule Change Amending Exchange Rule 103B to Modify the Application of the Exchange's Designated Market Maker Allocation Policy in the Event of a Merger Involving One or More Listed Companies
See also:   Notice: Rel. No. 34-64039; Notice: Rel. No. 34-64273

SR-NYSE-2011-14
34-64299 Apr. 14, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to alter Listing Fees Applicable to Debt Securities and Structured Products
Comments due:  May 10, 2011

SR-NYSE-2011-15
34-64287 Apr. 8, 2011 Notice of Filing of Proposed Rule Change to NYSE Rule 1401 to Modify the Initial Trading Market Value for Debt Securities
Comments due:  May 5, 2011
See also:   Order: Rel. No. 34-64561

SR-NYSE-2011-09
34-64273 Apr. 8, 2011 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending Exchange Rule 103B to Modify the Application of the Exchange's Designated Market Maker Allocation Policy in the Event of a Merger Involving One or More Listed Companies
See also:   Notice: Rel. No. 34-64039; Order: Rel. No. 34-64322

SR-NYSE-2011-16
34-64254 Apr. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Effective Date of the Pilot Until the Earlier of August 11, 2011 or the Date on Which a Limit Up/Limit Down Mechanism to Address Extraordinary Market Volatility, If Adopted, Applies
Comments due:  May 4, 2011

SR-NYSE-2011-17
34-64232 Apr. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, Clearly Erroneous Executions, to Extend the Effective Date of the Pilot Until the Earlier of August 11, 2011 or The Date on Which a Limit Up/Limit Down Mechanism to Address Extraordinary Market Volatility, if Adopted, Applies
Comments due:  May 4, 2011
Additional Materials:   Exhibit 5
First Quarter

SR-NYSE-2011-12
34-64131 Mar. 28, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 346 and Adopting New Rule 3270 to Correspond with Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.
Comments due:  April 22, 2011

SR-NYSE-2011-11
34-64136 Mar. 28, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 440B
Comments due:  April 22, 2011

SR-NYSE-2011-10
34-64088 Mar. 17, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 36 to Permit Written Communications to be Sent Electronically Between the Designated Market Maker Unit's Post Location on The Floor and the DMM Unit's Off-Floor offices and to Persons Permitted to Provide Non-Trading Related Services to the DMM Under Rule 98
Comments due:  April 12, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-09
34-64039 Mar. 4, 2011 Notice of Filing of Proposed Rule Change Amending Exchange Rule 103B to Modify the Application of the Exchange's Designated Market Maker ("DMM") Allocation Policy in the Event of a Merger Involving One or More Listed Companies
Comments due:  March 31, 2011
Additional Materials:   Exhibit 5
See also:   Notice: Rel. No. 34-64273; Order: Rel. No. 34-64322

SR-NYSE-2011-08
34-64013 Mar. 2, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period of the Exchange's Prior Approvals to Receive Inbound Routes of certain Equities Orders from Archipelago Securities LLC
Comments due:  March 29, 2011

SR-NYSE-2011-05
34-63977 Feb. 25, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Rule 440B (Short Sales) in Order to Implement the Provisions of Rule 201 of Regulation SHO Under the Securities Exchange Act of 1934
Comments due:  March 25, 2011

SR-NYSE-2011-06
34-63976 Feb. 25, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Supplementary Material .20 to Rule 123C to Provide for the Treatment of Short Sale Orders at the Close
Comments due:  March 25, 2011

SR-NYSE-2011-07
34-63973 Feb. 25, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1600 %28New York Block Exchange SM%29 to Add Provisions on Short Sales in Order to Implement the Provisions of Rule 201 of Regulation SHO Under the Securities Exchange Act of 1934
Comments due:  March 25, 2011

SR-NYSE-2011-04
34-63934 Feb. 18, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange Price List
Comments due:  March 18, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-03
34-63898 Feb. 11, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Cease Operating NYSE MatchPoint Effective February 28, 2011 and Contemporaneously Delete the Text of Rule 1500, Which Governs MatchPoint's Functionality
Comments due:  March 11, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-02
34-63855 Feb. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Forms of Broker Letters Set Forth in Exchange Rule 451 and Sections 905.02 and 905.03 of the Exchange's Listed Company Manual
Comments due:  March 7, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2010-77
34-63792 Jan. 28, 2011 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, in Connection with the Proposal of NYSE Euronext to Eliminate the Requirement of an 80% Supermajority Vote to Amend or Repeal Section 3.1 of its Bylaws
See also:   Notice: Rel. No. 34-63532

SR-NYSE-2010-74
34-63736 Jan. 19, 2011 Order Approving a Proposed Rule Change to Create a Bond Trading License for Member Organizations and Establish Bonds Liquidity Providers as a New Market Class on NYSE Under a Pilot Program
See also:   Notice: Rel. No. 34-63444

SR-NYSE-2011-01
34-63669 Jan. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange Price List
Comments due:  February 4, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2010-87
34-63642 Jan. 4, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange Price List
Comments due:  February 1, 2011


NYSE File Number List

Release No. Date Details

SR-NYSE-2011-73
34-66106 Jan. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Rebates Paid to Supplemental Liquidity Providers for Providing Liquidity
Comments due:  February 1, 2012
Additional Materials:   Exhibit 5

SR-NYSE-2011-72
34-66107 Jan. 5, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Change the Monthly Fees for the Use of Ports that Provide Connectivity to Its Equity Trading Systems
Comments due:  February 1, 2012
Additional Materials:   Exhibit 5

SR-NYSE-2011-71
34-66108 Jan. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to (1) Adopting a Trading License Fee for Calendar Year 2012 and (2) Eliminating the NYSE e-Broker® Hand Held Device Fee and the NYSE e-Broker® Hand Held Device - Opening and Closing Order Imbalances Only (Together the "Hand Held Device fees"), the Fee for Approval of a Pre-Qualified Substitute, and the Badge Maintenance Fee
Comments due:  February 1, 2012
Additional Materials:   Exhibit 5

SR-NYSE-2011-70
34-66138 Jan. 11, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Price List to Revise Its Schedule of Rebates Paid to Designated Market Makers for Providing Liquidity on the Exchange and to Delete References to Round and Odd Lot Transactions
Comments due:  February 8, 2012
Additional Materials:   Exhibit 5

SR-NYSE-2011-69
34-66136 Jan. 11, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, Which Governs Clearly Erroneous Executions, to Extend the Effective Date of The Pilot by Which Portions of Such Rule Operate Until July 31, 2012
Comments due:  February 8, 2012
Additional Materials:   Exhibit 5

SR-NYSE-2011-68
34-66134 Jan. 11, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Rule 80C, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Effective Date of The Pilot Until July 31, 2012
Comments due:  February 8, 2012
Additional Materials:   Exhibit 5

SR-NYSE-2011-67
34-66059 Dec. 27, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending for An Additional 12 Months the Pilot Program that Provides an Exception to NYSE Rule 2B by Permitting the Exchange's Equity Ownership Interest in BIDS Holdings L.P.
Comments due:  January 24, 2012

SR-NYSE-2011-66
34-66045 Dec. 23, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Under Rule 107B Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or July 31, 2012
Comments due:  January 20, 2012

SR-NYSE-2011-65
34-66046 Dec. 23, 2011 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 July 31, 2012
Comments due:  January 20, 2012

SR-NYSE-2011-64
34-66047 Dec. 23, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 103B, Which Governs the Allocation of Securities to DMMs
Comments due:  January 20, 2012
Additional Materials:   Exhibit 5

SR-NYSE-2011-63
34-65995 Dec. 16, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Bond Trading License and the Bond Liquidity Provider Pilot Program Until the Earlier of the Approval of the Securities and Exchange Commission to Make Such Pilot Permanent or January 19, 2013
Comments due:  January 12, 2012

SR-NYSE-2011-62
34-66031 Dec. 22, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .26 (Pegging for d-Quotes and e-Quotes) to NYSE Rule 70
Comments due:  January 19, 2012
Additional Materials:   Exhibit 5

SR-NYSE-2011-61
34-65954 Dec. 14, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Adopting the Text of Financial Industry Regulatory Authority Rule 5210, Which Prohibits the Publication of Manipulative or Deceptive Quotations or Transactions, as NYSE Rule 5210
Comments due:  January 11, 2012
Additional Materials:   Exhibit 5
Comments received are available for this notice.

SR-NYSE-2011-60
34-65889 Dec. 5, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 72 Priority of Bids and Offers and Allocation of Executions
Comments due:  December 30, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-59
34-65845 Nov. 28, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Listed Company Manual to Apply Listing and Annual Fees to Foreign Private Issuers of Certain Debt Securities
Comments due:  December 23, 2011

SR-NYSE-2011-58
34-65865 Dec. 2, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NYSE Rule 104(a)(1)(A) to Reflect that Designated Market Maker Unit Quoting Requirements Are Based on Consolidated Daily Average Volume
Comments due:  December 29, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-57
34-65810 Nov. 23, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C to Exclude All Rights and Warrants From the Single Stock Circuit Breaker Under the Rule
Comments due:  December 21, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-56
34-67437 Jul. 13, 2012 Order Disapproving Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and to Permit Designated Market Makers and Floor Brokers Access to Disaggregated Order Information
Additional File No.:  SR-NYSEAmex-2011-86
34-66981 May 14, 2012 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and to Permit Designated Market Makers and Floor Brokers Access to Disaggregated Order Information
Additional File Nos.:  SR-NYSEAmex-2011-86
34-66397 Feb. 15, 2012 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and to Permit Designated Market Makers and Floor Brokers Access to Disaggregated Order Information
Comments due:  March 14, 2012
Rebuttal comments due:  March 28, 2012
Additional File No.:  SR-NYSEAmex-2011-86
Comments received are available for this proposal.
34-66036 Dec. 22, 2011 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers
Additional File No.:  SR-NYSEAmex-2011-86
34-65736 Nov. 10, 2011 Notice of Filing of Proposed Rule Change to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers ("DMMs")
Comments due:  December 8, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-55
34-72732 Jul. 31, 2014 Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs Until March 31, 2015
Additional File No.: SR-NYSEAmex-2011-84
Comments received are available for this proposal.
See also:  Incoming Letter
34-70085 Jul. 31, 2013 Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs
Additional File No.: SR-NYSEAmex-2011-84
See also:  Incoming Letter
34-67347 Jul. 3, 2012 Order Granting Approval to Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, Adopting NYSE Rule 107C to Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, and Adopting NYSE Amex Rule 107C to Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date, and Granting Exemptions Pursuant to Rule 612(c) of Regulation NMS
Additional File Nos.:  SR-NYSEAmex-2011-84
34-66928 May 4, 2012 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, Adopting NYSE Rule 107C to Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, and Adopting NYSE Amex Rule 107C to Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date
Comments received are available for this notice.
34-66464 Feb. 24, 2012 Notice of Filing of Partial Amendment No. 2 to Proposed Rule Changes, As Modified By Amendment No. 1, Adopting New Rule 107C to Establish a Retail Liquidity Program on a Pilot Basis to Attract Additional Retail Order Flow to the Exchanges
Comments due:  March 22, 2012
Comments received are available for this notice.
34-66346 Feb. 7, 2012 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, Adopting NYSE Rule 107C to Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 months From Implementation Date, Which Shall Occur No Later Than 90 Days After Approval, If Granted and Adopting NYSE Amex Rule 107C to Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 months From Implementation Date, Which Shall Occur No Later Than 90 Days After Approval, If Granted
Comments due:  March 5, 2012
Rebuttal comments due:  March 19, 2012
Additional File No.:  SR-NYSEAmex-2011-84
Comments received are available for this notice.
34-66003 Dec. 19, 2011 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Adopting New NYSE Rule 107C to Establish a Retail Liquidity Program on a Pilot Basis to Attract Additional Retail Order Flow to the Exchange for NYSE-listed Securities and New NYSE Amex Equities Rule 107C to Establish a Retail Liquidity Program on a Pilot Basis to Attract Additional Retail Order Flow to the Exchange for NYSE Amex Equities Traded Securities
Additional File No.:  SR-NYSEAmex-2011-84
Comments received are available for this proposal.
34-65672 Nov. 2, 2011 Notice of Filing of Rule Change Proposing a One-Year Pilot Program Adding New Rule 107C to Establish a Retail Liquidity Program to Attract Additional Retail Order Flow to the Exchange for NYSE-listed Securities
Comments due:  November 30, 2011
Additional Materials:   Exhibit 5
Comments received are available for this proposal.
See also:   Application for Exemptive Relief

SR-NYSE-2011-53
34-65973 Dec. 15, 2011 Order Approving a Proposed Rule Change Expanding the Scope of Potential "Users" of Its Co-Location Services to Include Any Market Participant that Requests to Receive Co-Location Services Directly from the Exchange and Amending Its Price List to Establish a Fee for Users that Host their Customers at the Exchange's Data Center
34-65629 Oct. 26, 2011 Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services to Include Any Market Participant that Requests to Receive Co-Location Services Directly from the Exchange and Amending Its Price List to Establish a Fee for Users that Host their Customers at the Exchange’s Data Center
Comments due:  November 22, 2011

SR-NYSE-2011-51
34-66171 Jan. 17, 2012 Order Granting Approval of Proposed Rule Change Relating to a Corporate Transaction in which Deutsche Börse AG and NYSE Euronext Would Become Subsidiaries of Alpha Beta Netherlands Holding N.V.
34-65562 Oct. 14, 2011 Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V.
Comments due:  November 10, 2011
Additional Materials:   Exhibit 5A; Exhibit 5B; Exhibit 5C; Exhibit 5D; Exhibit 5E; Exhibit 5F; Exhibit 5G; Exhibit 5H; Exhibit 5I; Exhibit 5J; Exhibit 5K; Exhibit 5L; Exhibit 5M; Exhibit 5N; Exhibit 5O; Exhibit 5P; Exhibit 5Q
Comments received are available for this notice.

SR-NYSE-2011-49
34-65523 Oct. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rules 132A, 132B, and 132C, Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System ("OATS") Rules, and Making Certain Conforming Changes
Comments due:  November 7, 2011

SR-NYSE-2011-48
34-67090 May 31, 2012 Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments due:  June 27, 2012
34-66680 Mar. 29, 2012 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
34-66065 Dec. 28, 2011 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due:  January 25, 2012
Rebuttal comments due:  February 8, 2012
Additional File Nos.:  SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments received are available for this notice.
34-65770 Nov. 17, 2011 Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
34-65427 Sep. 28, 2011 Notice of Filing of Proposed Rule Change Amending Exchange Rule 80B to Revise the Current Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility
Comments due:  October 25, 2011
Additional Materials:   Exhibit 5
Comments received are available for this notice.

SR-NYSE-2011-46
34-65237 Aug. 31, 2011 Notice of Filing and Immediate Effectiveness of roposed Rule Change Amending Its Price List for Co-Location Services to Correct Several Typographical Errors
Comments due:  September 28, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-45
34-65453 Sep. 30, 2011 Order Approving a Proposed Rule Change Amending NYSE Rule 17(c)(2)(B) to Make Permanent the Pilot Program that Permits the Exchange to Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated exchanges and to Clarify the Text of NYSE Rule 17(c)(2)(A)(ii) to More Accurately Reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority
34-65183 Aug. 22, 2011 Notice of Filing of Proposed Rule Change Amending NYSE Rule 17(c)(2)(B) to Make Permanent the Pilot Program that Permits the Exchange to Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated exchanges and to Clarify the Text of NYSE Rule 17(c)(2)(A)(ii) to More Accurately Reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority
Comments due:  September 16, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-44
34-65264 Sep. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 501.00 of the Listed Company Manual to Expand the Waiver Provision to Apply to Foreign Issuers
Comments due:  October 3, 2011

SR-NYSE-2011-43
34-65164 Aug. 18, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of NYSE Rule 92 and Adopting a New NYSE Rule 5320 that is Substantially the Same as Financial Industry Regulatory Authority Rule 5320 to Prohibit Trading Ahead of Customer Orders with Certain Exceptions (commonly known as the Manning Rule)
Comments due:  September 14, 2011
Additional Materials:   Exhibit 2a; Exhibit 2b; Exhibit 2c; Exhibit 5
Comments received are available for this notice.

SR-NYSE-2011-42
34-65111 Aug. 11, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128 so that Clearly Erroneous Executions Involving Securities Recently Added to the Individual Security Trading Pause Pilot under NYSE Rule 80C Continue to be Resolved in the Same Manner Before Being Added to the Pilot
Comments due:  September 9, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-41
34-65064 Aug. 9, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, Clearly Erroneous Executions, to Extend the Effective Date of the Pilot until January 31, 2012
Comments due:  September 6, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-40
34-65090 Aug. 10, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Pilot until January 31, 2012
Comments due:  September 6, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-39
34-65062 Aug. 9, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Credits to Supplemental Liquidity Providers
Comments due:  September 6, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-38
34-65709 Nov. 8, 2011 Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 2, Amending Sections 102.01 and 103.01 of the Exchange's Listed Company Manual Adopting Additional Listing Requirements for Companies Applying to List After Consummation of a "Reverse Merger" With a Shell Company
Comments due:  December 6, 2011
Additional Materials:   Exhibit 4; Exhibit 5
34-65368 Sep. 21, 2011 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Sections 102.01 and 103.01 of the Exchange's Listed Company Manual to Adopt Additional Listing Requirements for Companies Applying to List After Consummation of a "Reverse Merger" with a Shell Company
Comments due:  21 days after publication in the Federal Register
Comments received are available for this notice.
34-65034 Aug. 4, 2011 Notice of Filing of Proposed Rule Change Amending Sections 102.01 and 103.01 of the Exchange's Listed Company Manual to Adopt Additional Listing Requirements for Companies Applying to List After Consummation of a "Reverse Merger" with a Shell Company
Comments due:  August 31, 2011
Comments received are available for this notice.

SR-NYSE-2011-37
34-64997 Aug. 1, 2011 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, From a Fixed Flat Fee of $80 Per Training Module to a Fixed Flat Fee of $150 Per Qualified Member Per Bi-Annual Session for a Total Cost Per Member Per Year of $300
Comments due:  August 26, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-36
34-64988 Jul. 29, 2011 Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person to Exclude Foreign Affiliates, Creating a New Definition of "Foreign Securities Affiliate," Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
Comments due:  August 24, 2011
Comments received are available for this notice.

SR-NYSE-2011-35
34-64918 Jul. 19, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 103 to Reduce the Net Liquid Asset Requirements for DMM Units
Comments due:  August 15, 2011

SR-NYSE-2011-34
34-64904 Jul. 18, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 17 to Make Changes Necessary to Allow Its Routing Broker to Operate Consistent with the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934
Comments due:  August 12, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-33
34-64888 Jul. 14, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Conforming Certain of its Financial Responsibility and Related Operational Rules to a Recently-Approved Financial Industry Regulatory Authority Rule Change
Comments due:  August 10, 2011

SR-NYSE-2011-32
34-64860 Jul. 12, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Rule 92(c)(3) from August 1, 2011 to September 12, 2011
Comments due:  August 8, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-31
34-64793 Jul. 1, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1000(a)(iv) to Provide For a Different Liquidity Replenishment Point Value Range During the First Day of Trading of An Initial Public Offering on the Exchange
Comments due:  July 29, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-30
34-64762 Jun. 28, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change 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 January 31, 2012
Comments due:  July 26, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-29
34-64761 Jun. 28, 2011 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 January 31, 2012
Comments due:  July 26, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-27
34-64785 Jun. 30, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 351(a)-(d) and Supplementary Material .10 and .13, Adopting the Text of FINRA Rule 4530, and Making Certain Conforming Changes
Comments due:  July 28, 2011

SR-NYSE-2011-26
34-64782 Jun. 30, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of NYSE Rule 409(f) and Adopting the Text of FINRA Rule 2232 and deleting the Rule Interpretations to NYSE Rule 346
Comments due:  July 28, 2011

SR-NYSE-2011-24
34-64729 Jun. 23, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 17 to Codify Inbound Routing Functions Performed by Its Affiliate Broker-Dealer, Archipelago Securities LLC
Comments due:  July 20, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-23
34-64582 Jun. 2, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange Price List
Comments due:  June 29, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-22
34-64843 Jul. 8, 2011 Order Approving a Proposed Rule Change Amending NYSE Rule 70.40(3) to Permit Member Organizations to Engage in Proprietary Trading from Their Approved Booth Premises in Certain OTC Bulletin Board and OTC Markets Securities
34-64522 May 19, 2011 Notice of Filing of Proposed Rule Change Amending NYSE Rule 70.40(3) to Permit Member Organizations to Engage in Proprietary Trading From Their Approved Booth Premises in Certain OTC Bulletin Board and OTC Markets Securities
Comments due:  June 15, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-21
34-64735 Jun. 23, 2011 Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.:  SR-BATS-2011-016, SR-BYX-2011-011, SR-BX-2011-025, SR-CBOE-2011-049, SR-CHX-2011-09, SR-EDGA-2011-15, SR-EDGX-2011-14, SR-FINRA-2011-023, SR-ISE-2011-028, SR-NASDAQ-2011-067, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26, SR-NSX-2011-06, SR-Phlx-2011-64
34-64420 May 6, 2011 Notice of Filing of Proposed Rule Change Amending Rule 80C to Include Additional Securities in the Pilot by Which Such Rule Operates and Amending Rule 104 to Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 80C
Comments due:  June 2, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-20
34-65127 Aug. 12, 2011 Order Granting Approval of Proposed Rule Change to Add New Section 907.00 to the Listed Company Manual that Sets Forth Certain Complimentary Products and Services that are Offered to Currently and Newly Listed Issuers
34-64809 Jul. 5, 2011 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Add New Section 907.00 to the Listed Company Manual that Sets Forth Certain Complimentary Products and Services that are Offered to Currently and Newly Listed Issuers
34-64506 May 17, 2011 Notice of Filing of Proposed Rule Change to Add New Section 907.00 to the Listed Company Manual that Sets Forth Certain Complimentary Products and Services that are Offered to Currently and Newly Listed Issuers
Comments due:  June 13, 2011
Comments received are available for this notice.

SR-NYSE-2011-19
34-64351 Apr. 27, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 440B (Short Sales) to Modify the Exchange's Procedures for Early Termination of the Short Sale Price Test Restrictions of Rule 201 of Regulation SHO Based on a Triggering Transaction that Another Exchange or a Self-Regulatory Organization Has Determined Was a Clearly Erroneous Execution
Comments due:  May 24, 2011

SR-NYSE-2011-18
34-64334 Apr. 25, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 72(d) Regarding Agency Cross Transactions
Comments due:  May 20, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-17
34-64232 Apr. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, Clearly Erroneous Executions, to Extend the Effective Date of the Pilot Until the Earlier of August 11, 2011 or The Date on Which a Limit Up/Limit Down Mechanism to Address Extraordinary Market Volatility, if Adopted, Applies
Comments due:  May 4, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-16
34-64254 Apr. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Effective Date of the Pilot Until the Earlier of August 11, 2011 or the Date on Which a Limit Up/Limit Down Mechanism to Address Extraordinary Market Volatility, If Adopted, Applies
Comments due:  May 4, 2011

SR-NYSE-2011-15
34-64561 May 27, 2011 Order Granting Approval of Proposed Rule Change to Modify the Initial Trading Market Value for Debt Securities
34-64287 Apr. 8, 2011 Notice of Filing of Proposed Rule Change to NYSE Rule 1401 to Modify the Initial Trading Market Value for Debt Securities
Comments due:  May 5, 2011

SR-NYSE-2011-14
34-64299 Apr. 14, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to alter Listing Fees Applicable to Debt Securities and Structured Products
Comments due:  21 days after publication in the Federal Register

SR-NYSE-2011-13
34-64542 May 25, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Revenue Sharing Program with Correlix, Inc. and a Free Trial Period for New Users of the Correlix Service
Comments due:  June 22, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-12
34-64131 Mar. 28, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 346 and Adopting New Rule 3270 to Correspond with Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.
Comments due:  April 22, 2011

SR-NYSE-2011-11
34-64136 Mar. 28, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 440B
Comments due:  April 22, 2011

SR-NYSE-2011-10
34-64088 Mar. 17, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 36 to Permit Written Communications to be Sent Electronically Between the Designated Market Maker Unit's Post Location on The Floor and the DMM Unit's Off-Floor offices and to Persons Permitted to Provide Non-Trading Related Services to the DMM Under Rule 98
Comments due:  April 12, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-09
34-64322 Apr. 21, 2011 Order Approving a Proposed Rule Change Amending Exchange Rule 103B to Modify the Application of the Exchange's Designated Market Maker Allocation Policy in the Event of a Merger Involving One or More Listed Companies
34-64273 Apr. 8, 2011 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending Exchange Rule 103B to Modify the Application of the Exchange's Designated Market Maker Allocation Policy in the Event of a Merger Involving One or More Listed Companies
34-64039 Mar. 4, 2011 Notice of Filing of Proposed Rule Change Amending Exchange Rule 103B to Modify the Application of the Exchange's Designated Market Maker ("DMM") Allocation Policy in the Event of a Merger Involving One or More Listed Companies
Comments due:  March 31, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-08
34-64013 Mar. 2, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period of the Exchange's Prior Approvals to Receive Inbound Routes of certain Equities Orders from Archipelago Securities LLC
Comments due:  March 29, 2011

SR-NYSE-2011-07
34-63973 Feb. 25, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1600 %28New York Block Exchange SM%29 to Add Provisions on Short Sales in Order to Implement the Provisions of Rule 201 of Regulation SHO Under the Securities Exchange Act of 1934
Comments due:  March 25, 2011

SR-NYSE-2011-06
34-63976 Feb. 25, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Supplementary Material .20 to Rule 123C to Provide for the Treatment of Short Sale Orders at the Close
Comments due:  March 25, 2011

SR-NYSE-2011-05
34-63977 Feb. 25, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Rule 440B (Short Sales) in Order to Implement the Provisions of Rule 201 of Regulation SHO Under the Securities Exchange Act of 1934
Comments due:  March 25, 2011

SR-NYSE-2011-04
34-63934 Feb. 18, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange Price List
Comments due:  March 18, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-03
34-63898 Feb. 11, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Cease Operating NYSE MatchPoint Effective February 28, 2011 and Contemporaneously Delete the Text of Rule 1500, Which Governs MatchPoint's Functionality
Comments due:  March 11, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-02
34-63855 Feb. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Forms of Broker Letters Set Forth in Exchange Rule 451 and Sections 905.02 and 905.03 of the Exchange's Listed Company Manual
Comments due:  March 7, 2011
Additional Materials:   Exhibit 5

SR-NYSE-2011-01
34-63669 Jan. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange Price List
Comments due:  February 4, 2011
Additional Materials:   Exhibit 5

 

http://www.sec.gov/rules/sro/nyse/nysearchive/nysearchive2011.shtml


Modified: 08/01/2014