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NYSE Alternext US LLC Rulemaking

Note: NYSE Alternext US LLC is now known as NYSE MKT LLC. All filings by NYSE MKT LLC will be posted to the NYSE MKT page. Filings with "NYSEALTR" as part of the file number will continue to be posted to this page.

We encourage the public to submit comments on the following NYSE Alternext US LLC filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List
Second Quarter |  First Quarter

File Number List

Additional Archives

2009 | 2008

Chronological List
Release No. Date Details
Second Quarter

SR-NYSEALTR-2009-26
34-59975 May 26, 2009 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Changing Certain NYSE Amex Equities Rules to Conform Them with Changes to Corresponding Rules Filed by the New York Stock Exchange LLC
Comments due:  June 23, 2009
See also:   Notice: Rel. No. 34-59656

SR-NYSEALTR-2009-15
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. 34-59488
Additional File No.:  SR-NYSE-2009-18
First Quarter

SR-NYSEALTR-2009-26
34-59656 Mar. 30, 2009 Notice of Filing of Proposed Rule Change by NYSE Alternext US LLC, as modified by Amendment No. 1, Changing Certain NYSE Amex Equities Rules to Conform Them with Changes to Corresponding Rules Submitted in a Companion Filing by the New York Stock Exchange LLC
Comments due:  April 27, 2009
See also:   Notice/Order: Rel. No. 34-59975

SR-NYSEALTR-2009-29
34-59620 Mar. 23, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of Rule 92(c)(3) from March 31, 2009 to July 31, 2009
Comments due:  April 20, 2009

SR-NYSEALTR-2009-27
34-59614 Mar. 20, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending NYSE Alternext Equities 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

SR-NYSEALTR-2009-28
34-59593 Mar. 17, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Alternext Rules to Delete References to Specific Exchange Systems and to Remove the Requirement that Opening Transactions Receive Specific Designations Pursuant to NYSE Alternext Rules 79A and 115A
Comments due:  April 14, 2009

SR-NYSEALTR-2009-11
34-59587 Mar. 17, 2009 Order Granting Accelerated Approval of Proposed Rule Changes, as Amended, to Expand the $1 Strike Program
See also:   Notice: Rel. No. 34-59394

SR-NYSEALTR-2009-24
34-59575 Mar. 13, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certificate of Formation, Amended and Restated Operating Agreement, Rules, and Company Guide to Change the Name of the Exchange to NYSE Amex LLC
Comments due:  April 9, 2009

SR-NYSEALTR-2009-25
34-59561 Mar. 11, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Eliminating the Ability to Enter Orders on the Exchange with the Settlement Instructions of “Cash”, “Next Day” and “Seller’s Option” to Conform to Amendments filed by the New York Stock Exchange
Comments due:  April 7, 2009

SR-NYSEALTR-2009-02
34-59560 Mar. 11, 2009 Order Approving Proposed Rule Change to Revise Listing Fees
See also:   Notice: Rel. No. 34-59304

SR-NYSEALTR-2009-23
34-59517 Mar. 5, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC to Permit Two Trading Officials to Modify the Required Bid/Ask Differentials
Comments due:  April 3, 2009

SR-NYSEALTR-2009-15
34-59488 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 Exchange Requirements Relating to the Closing of Securities at the Exchange
Comments due:  March 31, 2009
See also:   Order: Rel. No. 34-59755

SR-NYSEALTR-2009-13
34-59482 Mar. 2, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Alternext Equities Rule 17 to Address Issues Related to Vendor Liability and to Make Amendments and Conforming Changes to NYSE Alternext Equities Rule 18
Comments due:  March 30, 2009

SR-NYSEALTR-2009-21
34-59480 Mar. 2, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Adopting New Rule 6A – NYSE Alternext Equities and Amending Existing Rule 36 – NYSE Alternext Equities 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 30, 2009

SR-NYSEALTR-2009-20
34-59481 Mar. 2, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Amending its Schedule of Fees and Charges for Exchange Services
Comments due:  March 27, 2009

SR-NYSEALTR-2009-19
34-59478 Feb. 27, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Schedule of Fees and Charges for Exchange Services
Comments due:  March 27, 2009

SR-NYSEALTR-2009-18
34-59473 Feb. 27, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Use Its Broker Dealer Affiliate, Archipelago Securities, LLC, as Its Routing Broker for Options Orders
Comments due:  March 27, 2009

SR-NYSEALTR-2008-14
34-59472 Feb. 27, 2009 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish Rules for the Trading of Listed Options
Comments due:  March 27, 2009
Additional Materials: Exhibit 5
See also:   Notice: Rel. No. 34-59142

SR-NYSEALTR-2009-16
34-59468 Feb. 27, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending Rule 300.10T – NYSE Alternext Equities to Provide a Grace Period Under that Rule for Member Organizations that have Applied for a Trading License to Comply with Certain Exchange Rules
Comments due:  March 26, 2009

SR-NYSEALTR-2009-17
34-59454 Feb. 25, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC to Delete Certain Rules Governing the Trading of Listed Options
Comments due:  March 25, 2009
Additional Materials: Exhibit 5

SR-NYSEALTR-2009-10
34-59451 Feb. 25, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by NYSE Alternext US LLC Amending Rule 472 - NYSE Alternext Equities (Communications with the Public)
Comments due:  March 25, 2009

SR-NYSEALTR-2009-12
34-59429 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-NYSEALTR-2009-07
34-59418 Feb. 18, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Instructions as to the Payment of Listing Fees in Connection with the Listing of Additional Securities
Comments due:  March 18, 2009

SR-NYSEALTR-2009-09
34-59416 Feb. 18, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending Certain NYSE Alternext Equities Rules to Reflect that Designated Market Makers (“DMMs”) on the Exchange No Longer Act as Agents for Orders Entered on the Exchange
Comments due:  March 18, 2009

SR-NYSEALTR-2009-11
34-59394 Feb. 11, 2009 Notice of Filing of a Proposed Rule Change Amending Rule 903
Comments due:  March 12, 2009
See also:   Order: Rel. No. 34-59587

SR-NYSEALTR-2009-06
34-59360 Feb. 4, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending NYSE Alternext Equities Rules 116 and 123C to Create a Single Closing Print to be Reported to the Consolidated Tape for Each Security
Comments due:  March 4, 2009

SR-NYSEALTR-2008-12
34-59353 Feb. 3, 2009 Order Approving Proposed Rule Change to Establish the Risk Management Gateway Service
See also:   Notice: Rel. No. 34-59144

SR-NYSEALTR-2009-08
34-59348 Feb. 3, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 916 to Eliminate the $3 Market Price Per Share Requirement
Comments due:  March 3, 2009

SR-NYSEALTR-2009-03
34-59344 Feb. 2, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Making Changes to Certain NYSE Alternext Equities Rules to Conform with Amendments to Corresponding Rules Recently Filed for Immediate Effectiveness by the New York Stock Exchange LLC and to Make Other Technical Changes
Comments due:  March 2, 2009

SR-NYSEALTR-2009-02
34-59304 Jan. 27, 2009 Notice of Filing of Proposed Rule Change by NYSE Alternext US LLC to Revise its Listing Fees
Comments due:  February 25, 2009
See also:   Order: Rel. No. 34-59560

SR-NYSEALTR-2008-21
34-59233 Jan. 12, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending NYSE Alternext Equities Rule 103B to Conform to Amendments Filed by the New York Stock Exchange to: 1) Prohibit DMM Units from Communicating with Issuers After Receipt of Notice From the Exchange of the Issuer's Impending Listing; and 2) Provide DMM Unit Marketing Materials to the Issuer Prior to the Scheduled Interview Rather Than the Day Before
Comments due:  February 6, 2009

File Number List

Release No. Date Details

SR-NYSEALTR-2009-29
34-59620 Mar. 23, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of Rule 92(c)(3) from March 31, 2009 to July 31, 2009
Comments due:  April 20, 2009

SR-NYSEALTR-2009-28
34-59593 Mar. 17, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Alternext Rules to Delete References to Specific Exchange Systems and to Remove the Requirement that Opening Transactions Receive Specific Designations Pursuant to NYSE Alternext Rules 79A and 115A
Comments due:  April 14, 2009

SR-NYSEALTR-2009-27
34-59614 Mar. 20, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending NYSE Alternext Equities 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

SR-NYSEALTR-2009-26
34-59975 May 26, 2009 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Changing Certain NYSE Amex Equities Rules to Conform Them with Changes to Corresponding Rules Filed by the New York Stock Exchange LLC
Comments due:  June 23, 2009
34-59656 Mar. 30, 2009 Notice of Filing of Proposed Rule Change by NYSE Alternext US LLC, as modified by Amendment No. 1, Changing Certain NYSE Amex Equities Rules to Conform Them with Changes to Corresponding Rules Submitted in a Companion Filing by the New York Stock Exchange LLC
Comments due:  April 27, 2009

SR-NYSEALTR-2009-25
34-59561 Mar. 11, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Eliminating the Ability to Enter Orders on the Exchange with the Settlement Instructions of “Cash”, “Next Day” and “Seller’s Option” to Conform to Amendments filed by the New York Stock Exchange
Comments due:  April 7, 2009

SR-NYSEALTR-2009-24
34-59575 Mar. 13, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certificate of Formation, Amended and Restated Operating Agreement, Rules, and Company Guide to Change the Name of the Exchange to NYSE Amex LLC
Comments due:  April 9, 2009

SR-NYSEALTR-2009-23
34-59517 Mar. 5, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC to Permit Two Trading Officials to Modify the Required Bid/Ask Differentials
Comments due:  April 3, 2009

SR-NYSEALTR-2009-21
34-59480 Mar. 2, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Adopting New Rule 6A – NYSE Alternext Equities and Amending Existing Rule 36 – NYSE Alternext Equities 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 30, 2009

SR-NYSEALTR-2009-20
34-59481 Mar. 2, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Amending its Schedule of Fees and Charges for Exchange Services
Comments due:  March 27, 2009

SR-NYSEALTR-2009-19
34-59478 Feb. 27, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Schedule of Fees and Charges for Exchange Services
Comments due:  March 27, 2009

SR-NYSEALTR-2009-18
34-59473 Feb. 27, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Use Its Broker Dealer Affiliate, Archipelago Securities, LLC, as Its Routing Broker for Options Orders
Comments due:  March 27, 2009

SR-NYSEALTR-2009-17
34-59454 Feb. 25, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC to Delete Certain Rules Governing the Trading of Listed Options
Comments due:  March 25, 2009
Additional Materials: Exhibit 5

SR-NYSEALTR-2009-16
34-59468 Feb. 27, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending Rule 300.10T – NYSE Alternext Equities to Provide a Grace Period Under that Rule for Member Organizations that have Applied for a Trading License to Comply with Certain Exchange Rules
Comments due:  March 26, 2009

SR-NYSEALTR-2009-15
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-NYSE-2009-18
34-59488 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 Exchange Requirements Relating to the Closing of Securities at the Exchange
Comments due:  March 31, 2009

SR-NYSEALTR-2009-13
34-59482 Mar. 2, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Alternext Equities Rule 17 to Address Issues Related to Vendor Liability and to Make Amendments and Conforming Changes to NYSE Alternext Equities Rule 18
Comments due:  March 30, 2009

SR-NYSEALTR-2009-12
34-59429 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-NYSEALTR-2009-11
34-59587 Mar. 17, 2009 Order Granting Accelerated Approval of Proposed Rule Changes, as Amended, to Expand the $1 Strike Program
34-59394 Feb. 11, 2009 Notice of Filing of a Proposed Rule Change Amending Rule 903
Comments due:  March 12, 2009

SR-NYSEALTR-2009-10
34-59451 Feb. 25, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by NYSE Alternext US LLC Amending Rule 472 - NYSE Alternext Equities (Communications with the Public)
Comments due:  March 25, 2009

SR-NYSEALTR-2009-09
34-59416 Feb. 18, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending Certain NYSE Alternext Equities Rules to Reflect that Designated Market Makers (“DMMs”) on the Exchange No Longer Act as Agents for Orders Entered on the Exchange
Comments due:  March 18, 2009

SR-NYSEALTR-2009-08
34-59348 Feb. 3, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 916 to Eliminate the $3 Market Price Per Share Requirement
Comments due:  March 3, 2009

SR-NYSEALTR-2009-07
34-59418 Feb. 18, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Instructions as to the Payment of Listing Fees in Connection with the Listing of Additional Securities
Comments due:  March 18, 2009

SR-NYSEALTR-2009-06
34-59360 Feb. 4, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending NYSE Alternext Equities Rules 116 and 123C to Create a Single Closing Print to be Reported to the Consolidated Tape for Each Security
Comments due:  March 4, 2009

SR-NYSEALTR-2009-03
34-59344 Feb. 2, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Making Changes to Certain NYSE Alternext Equities Rules to Conform with Amendments to Corresponding Rules Recently Filed for Immediate Effectiveness by the New York Stock Exchange LLC and to Make Other Technical Changes
Comments due:  March 2, 2009

SR-NYSEALTR-2009-02
34-59560 Mar. 11, 2009 Order Approving Proposed Rule Change to Revise Listing Fees
34-59304 Jan. 27, 2009 Notice of Filing of Proposed Rule Change by NYSE Alternext US LLC to Revise its Listing Fees
Comments due:  February 25, 2009

 

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


Modified: 10/16/2014