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NYSE Arca Rulemaking Archive: 2013

We encourage the public to submit comments on the following NYSE Arca, Inc. (NYSE Arca; formerly Pacific Exchange, Inc.) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

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

NYSE Arca File Number List for 2013

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NYSEArca-2013-146
34-71214 Dec. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Eliminate the Mid-Point Passive Liquidity Order Tier, Add a New Routable Order Cross-Asset Tier, and Make Other Changes Relating to Open Orders
Comments due: January 28, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-138
34-71186 Dec. 26, 2013 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of iShares Enhanced International Large-Cap ETF and iShares Enhanced International Small-Cap ETF under NYSE Arca Equities Rule 8.600
Comments due: January 23, 2014
Comments received are available for this proposal.
See also:  Order: Rel. No. 34-71540

SR-NYSEArca-2013-115
34-71184 Dec. 24, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt Commentary .03 to Rule 6.91 to Limit the Volume of Complex Orders by a Single OTP Holder or OTP Firm During the Trading Day
See also:  Notice: Rel. No. 34-71221, Notice: Rel. No. 34-70817

SR-NYSEArca-2013-107
34-71176 Dec. 23, 2013 Order Granting Approval to Proposed Rule Change to Establish a Retail Liquidity Program on a Pilot Basis for a Period of One Year from the Date of Implementation and Granting Request For a Limited Exemption from Rule 612 of Regulation NMS
See also:  Notice: Rel. No. 34-70824

SR-NYSEArca-2013-142
34-71166 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Risk Management Tools Designed to Allow ETP Holders to Monitor and Address Exposure to Risk
Comments due: January 17, 2014
Comments received are available for this proposal.

SR-NYSEArca-2013-145
34-71159 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes to Amend Commentary .02 to Exchange Rule 6.72 in order to Extend the Penny Pilot in Options Classes in Certain Issues Previously Approved by the Securities and Exchange Commission through June 30, 2014
Comments due: January 17, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-141
34-71146 Dec. 19, 2013 Notice of Filing of Proposed Rule Change to Adopt New NYSE Arca Equities Rule 7.25 in Order to Create a Crowd Participant Program to Incent Competitive Quoting and Trading Volume in Exchange-Traded Products by Market Makers Qualified with the Exchange as CPs
Comments due: January 16, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal. See also:  Notice: Rel. No. 34-71804, Notice: Rel. No. 34-71479

SR-NYSEArca-2013-111
34-71133 Dec. 18, 2013 Order Approving a Proposed Rule Change to List and Trade Shares of Manna Core Equity Enhanced Dividend Income Fund Under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-70798

SR-NYSEArca-2013-143
34-71130 Dec. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Partial Cabinets and Cabinet Upgrades As Part of Its Colocation Services and to Amend the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Reflect the New Services
Comments due: January 14, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-106
34-71125 Dec. 18, 2013 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Shares of PIMCO Diversified Income Exchange-Traded Fund, PIMCO Low Duration Exchange-Traded Fund and PIMCO Real Return Exchange-Traded Fund under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-70774

SR-NYSEArca-2013-140
34-71094 Dec. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program that Allows Transactions to Take Place at A Price that is Below $1 Per Option Contract Until January 5, 2015
Comments due: January 13, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-116
34-71076 Dec. 13, 2013 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of AdvisorShares International Gold ETF; AdvisorShares Gartman Gold/Yen ETF; AdvisorShares Gartman Gold/British Pound ETF; and AdvisorShares Gartman Gold/Euro ETF under NYSE Arca Equities Rule 8.600
Comments due: January 9, 2014
See also:  Order: Rel. No. 34-71456

SR-NYSEArca-2013-105
34-71067 Dec. 12, 2013 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the SPDR MFS Systematic Core Equity ETF, SPDR MFS Systematic Growth Equity ETF, and SPDR MFS Systematic Value Equity ETF Under NYSE Arca Equities Rule 8.600
Comments due: January 8, 2014
See also:  Notice: Rel. No. 34-70754

SR-NYSEArca-2013-137
34-71038 Dec. 11, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the Merk Gold Trust Pursuant to NYSE Arca Equities Rule 8.201
Comments due: January 7, 2014
See also:  Order: Rel. No. 34-71378

SR-NYSEArca-2013-136
34-71016 Dec. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Raise the Take Liquidity Fee for Lead Market Maker and Market Maker Electronic Executions in Penny Pilot Issues
Comments due: January 2, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-101
34-70993 Dec. 5, 2013 Order Granting Approval of Proposed Rule Change to List and Trade Shares of the WisdomTree Bloomberg U.S. Dollar Bullish Fund, WisdomTree Bloomberg U.S. Dollar Bearish Fund, and the WisdomTree Commodity Currency Bearish Fund under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-70624

SR-NYSEArca-2013-132
34-70994 Dec. 5, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of Merk Hard Currency ETF under NYSE Arca Equities Rule 8.600
Comments due: January 2, 2014
See also:  Order: Rel. No. 34-71377

SR-NYSEArca-2013-92
34-70995 Dec. 5, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend NYSE Arca Equities Rules 7.31, 7.32, 7.37, and 7.38 in Order to Comprehensively Update Rules Related to the Exchange's Order Types and Modifiers
See also:  Notice: Rel. No. 34-70637;   Notice: Rel. No. 34-71331

SR-NYSEArca-2013-133
34-70998 Dec. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Specify the Exclusion of Odd Lot Transactions from Consolidated Average Daily Volume Calculations for a Limited Period of Time for Purposes of Certain Transaction Pricing on the Exchange Through January 31, 2014
Comments due: January 2, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-131
34-70981 Dec. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services in Order to Provide for Fees for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center
Comments due: December 31, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-129
34-70977 Dec. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.37A to Eliminate the Requirement that Market Makers Comply with the Bid-Ask Differential Requirements Specified in Rule 6.37(b)(1)(A)-(F) When Electronically Bidding and Offering on the Exchange System During the Opening Auction Process
Comments due: December 31, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-130
34-70968 Dec. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Rule 6.8 to Extend the Pilot Program that Eliminated the Position Limits for Options on SPDR S&P 500 ETF
Comments due: December 30, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-127
34-70954 Nov. 27, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Under NYSE Arca Equities Rule 8.600 Shares of Nine Series of the IndexIQ Active ETF Trust
Comments due: December 26, 2013
See also:  Notice: Rel. No. 34-72265, Notice: Rel. No. 34-71645, Notice: Rel. No. 34-71309

SR-NYSEArca-2013-42
34-70918 Nov. 21, 2013 Notice of Withdrawal of Proposed Rule Change Amending NYSE Arca Rule 6.72 to Make the Penny Pilot Program for Options Permanent
See also:  Notice: Rel. No. 34-70733, Notice: Rel. No. 34-70317

SR-NYSEArca-2013-128
34-70912 Nov. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Specify the Method of Billing When More than One Pricing Tier Could be Applicable
Comments due: December 18, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-124
34-70916 Nov. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Related to Co-Location Services
Comments due: December 18, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-122
34-70905 Nov. 20, 2013 Notice of Filing of Proposed Rule Change Relating to the Use of Derivative Instruments by PIMCO Total Return Exchange Traded Fund
Comments due: December 17, 2013
See also: Notice: Rel. No. 34-72216, Notice: Rel. No. 34-71606, Notice: Rel. No. 34-71271

SR-NYSEArca-2013-121
34-70902 Nov. 19, 2013 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of AdvisorShares Sage Core Reserves ETF under NYSE Arca Equities Rule 8.600
Comments due: December 16, 2013
See also:  Order: Rel. No. 34-71263

SR-NYSEArca-2013-123
34-70887 Nov. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding Co-location Services to Provide for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center
Comments due: December 12, 2013

SR-NYSEArca-2013-118
34-70871 Nov. 14, 2013 Notice of Filing of Proposed Rule Change, as modified by Amendment No. 1 thereto, to List and Trade of Shares of the Market Vectors Short High-Yield Municipal Index ETF Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02
Comments due: December 10, 2013
See also:  Notice: Rel. No. 34-71232

SR-NYSEArca-2013-120
34-70855 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .08 to Rule 6.4 to Modify the Quarterly Option Series Program to Eliminate the Cap on the Number of Additional Series That May Be Listed Per Expiration Month for Each QOS in Exchange-Traded Fund Options
Comments due: December 10, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-119
34-70861 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.69(a) to Provide That a Pattern or Practice of Late Reporting of Option Transactions to the Exchange for Dissemination to the Options Price Reporting Authority Is Subject to Disciplinary Action
Comments due: December 10, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-115
34-70817 Nov. 6, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt Commentary .03 to Rule 6.91 to Limit the Volume of Complex Orders by a Single OTP Holder or OTP Firm During the Trading Day
Comments due: December 4, 2013
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-71221, Notice: Rel. No. 34-71184
Comments received are available for this proposal.

SR-NYSEArca-2013-114
34-70818 Nov. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Regarding the Applicable Lead Market Maker Rights Fee for Low-Volume Issues
Comments due: December 4, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-107
34-70824 Nov. 6, 2013 Notice of Filing of Proposed Rule Change to Establish a Retail Liquidity Program
Comments due: December 4, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-71176

SR-NYSEArca-2013-77
34-70822 Nov. 6, 2013 Notice of Filing of Amendment No. 1 and Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, that Address the Exchanges' Emergency Powers
Comments due: 21 days after publication in the Federal Register
Additional File Nos.: SR-NYSE-2013-54, SR-NYSEMKT-2013-66
See also: Notice: Rel. No. 34-70463, Notice: Rel. No. 34-70097

SR-NYSEArca-2013-117
34-70807 Nov. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Amend the Rule Governing the Listing and Trading of Shares of the WisdomTree Global Real Return Fund
Comments due: December 3, 2013

SR-NYSEArca-2013-111
34-70798 Nov. 1, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of Manna Core Equity Enhanced Dividend Income Fund Under NYSEArca Equities Rule 8.600
Comments due: November 29, 2013
See also:  Order: Rel. No. 34-71133

SR-NYSEArca-2013-109
34-70795 Oct. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Apply Routing Fees to Penny Pilot Issues
Comments due: November 27, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-106
34-70774 Oct. 30, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Shares of PIMCO Diversified Income Exchange-Traded Fund, PIMCO Low Duration Exchange-Traded Fund and PIMCO Real Return Exchange-Traded Fund under NYSE Arca Equities Rule 8.600
Comments due: November 26, 2013
See also:  Order: Rel. No. 34-71125

SR-NYSEArca-2013-86
34-70773 Oct. 30, 2013 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the Franklin Short Duration U.S. Government ETF under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-70356

SR-NYSEArca-2013-105
34-70754 Oct. 25, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of the SPDR MFS Systematic Core Equity ETF, SPDR MFS Systematic Growth Equity ETF, and SPDR MFS Systematic Value Equity ETF Under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-71067
Comments due: November 21, 2013

SR-NYSEArca-2013-42
34-70733 Oct. 22, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 6.72 to Make the Penny Pilot Program for Options Permanent
See also:  Notice: Rel. No. 34-70317, Notice: Rel. No. 34-70918

SR-NYSEArca-2013-104
34-70718 Oct. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.87
Comments due: November 14, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-102
34-70703 Oct. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Market Maker and Lead Market Maker Transaction Credits
Comments due: November 13, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-103
34-70677 Oct. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule to Adopt Price Protection Filters for Electronic Complex Orders
Comments due: November 12, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-92
34-70637 Oct. 9, 2013 Notice of Filing of Proposed Rule Change to Amend NYSE Arca Equities Rules 7.31, 7.32, 7.37, and 7.38 in Order to Comprehensively Update Rules Related to the Exchange's Order Types and Modifiers
Comments due: November 12, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal. See also:  Notice: Rel. No. 34-70995;   Notice: Rel. No. 34-71331

SR-NYSEArca-2013-101
34-70624 Oct. 8, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of the WisdomTree Bloomberg U.S. Dollar Bullish Fund, WisdomTree Bloomberg U.S. Dollar Bearish Fund, and the WisdomTree Commodity Currency Bearish Fund under NYSE Arca Equities Rule 8.600
Comments due: November 12, 2013
See also:  Order: Rel. No. 34-70993

SR-NYSEArca-2013-96
34-70598 Oct. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2.23 to Specify Applicable Continuing Education Requirements, Amending the NYSE Arca Options Fee Schedule to Specify Corresponding CE Fees and to Specify Fees for the Series 56 Examination
Comments due: November 12, 2013
Third Quarter

SR-NYSEArca-2013-97
34-70570 Sep. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reflecting Changes to the Means of Achieving the Investment Objective Applicable to Shares of the PowerShares China A-Share Portfolio
Comments due: October 24, 2013

SR-NYSEArca-2013-98
34-70565 Sep. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of Retail Order in the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and the Attestation Requirements for ETP Holders that Submit Retail Orders
Comments due: October 24, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-99
34-70528 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.3(i)(1)(i)(H) To Change The Required Advance Notice Period For Submitting Certain Notices to the Exchange
Comments due: October 23, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-94
34-70520 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The NYSE Arca Equities Schedule Of Fees And Charges For Exchange Services Regarding Calculation Of The Mid-Point Passive Liquidity Order Tier
Comments due: October 23, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-100
34-70518 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 7.10 and Removing References to Individual Security Trading Pauses Contained in Rule 7.10(c)(4)
Comments due: October 23, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-93
34-70504 Sep. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Include An Additional Market Maker Monthly Posting Credit Tier
Comments due: October 22, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-95
34-70503 Sep. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Add an Additional Tier to the Lead Market Maker Rights Fees
Comments due: October 22, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-91
34-70500 Sep. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule to Specify the Frequency with which the Exchange May Change the Options Regulatory Fee
Comments due: October 22, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-77
34-70463 Sep. 20, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes that Address the Exchanges' Emergency Powers
Additional File Nos.: SR-NYSE-2013-54, SR-NYSEMKT-2013-66
See also:  Notice: Rel. No. 34-70822, Notice: Rel. No. 34-70097

SR-NYSEArca-2013-90
34-70425 Sep. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.91 to Specify that LMMs Receive Execution Allocations of Incoming Electronic Complex Orders and Complex Order Auction Eligible Orders In Accordance with The Guaranteed Participation Provision of Rule 6.76A(a)(1)(A), Without Any Exceptions
Comments due: October 15, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-87
34-70389 Sep. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Modify The Manner In Which It Calculates Volume, Liquidity And Quoting Thresholds Applicable To Billing On The Exchange In Relation To A Systems Issue Experienced By The NASDAQ UTP Securities Information Processor On August 22, 2013, Which Impacted Trading Across All Markets
Comments due: October 10, 2013

SR-NYSEArca-2013-88
34-70372 Sep. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Rules Pertaining to the Trading of Options in Order to Change the Expiration Date for Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: October 8, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-86
34-70356 Sep. 10, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of Franklin Short Duration U.S. Government ETF under NYSE Arca Equities Rule 8.600
Comments due: October 7, 2013
See also:  Order: Rel. No. 34-70773

SR-NYSEArca-2013-85
34-70347 Sep. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to the Means of Achieving the Investment Objective Applicable to the AdvisorShares QAM Equity Hedge ETF
Comments due: October 4, 2013

SR-NYSEArca-2013-71
34-70342 Sep. 6, 2013 Order Granting Approval of Proposed Rule Change to List and Trade Shares of the SPDR SSgA Ultra Short Term Bond ETF; SPDR SSgA Conservative Ultra Short Term Bond ETF; and SPDR SSgA Aggressive Ultra Short Term Bond ETF under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-70005

SR-NYSEArca-2013-42
34-70317 Sep. 4, 2013 Notice of Filing of a Proposed Rule Change Amending Rule 6.72 to Make Permanent the Penny Trading Program for Options
Comments due: October 1, 2013
Additional Materials:  Exhibit 3, Exhibit 5
Comments received are available for this proposal. See also:  Notice: Rel. No. 34-70733, Notice: Rel. No. 34-70918

SR-NYSEArca-2013-82
34-70286 Aug. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule and NYSE Arca Equities Fee Schedule to Provide for Fees for a 40 Gigabit Liquidity Center Network Connection in the Exchange Data Center
Comments due: September 26, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-83
34-70284 Aug. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Investments in Leveraged Loans by the Peritus High Yield ETF
Comments due: September 26, 2013

SR-NYSEArca-2013-70
34-70282 Aug. 29, 2013 Order Granting Approval of Proposed Rule Change to List and Trade Shares of First Trust Inflation Managed Fund
See also:  Notice: Rel. No. 34-70008

SR-NYSEArca-2013-81
34-70213 Aug. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for Display Use of the NYSE Arca BBO and NYSE Arca Trades Market Data Products and Making Certain Technical Changes to the Fee Schedule
Comments due: September 11, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-62
34-70210 Aug. 15, 2013 Order Granting Approval of Proposed Rule Change Relating to a Corporate Transaction in which NYSE Euronext Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange Group, Inc.
Additional File Nos.: SR-NYSE-2013-42, SR-NYSEMKT-2013-50
See also:  Notice: Rel. No. 34-69850

SR-NYSEArca-2013-60
34-70209 Aug. 15, 2013 Order Granting Approval of Proposed Rule Change to List and Trade Shares of Market Vectors Low Volatility Commodity ETF and Market Vectors Long/Short Commodity ETF under NYSE Arca Equities Rule 8.200
See also:  Notice: Rel. No. 34-69862

SR-NYSEArca-2013-61
34-70195 Aug. 14, 2013 Order Approving a Proposed Rule Change to List and Trade Units of the First Trust Gold Trust Pursuant to NYSE Arca Equities Rule 8.201
See also:  Notice: Rel. No. 34-69847

SR-NYSEArca-2013-80
34-70173 Aug. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Describe the Billing Practice for Co-location Services and Expand Co-location Services to Provide for a 40 Gigabit Liquidity Center Network Connection
Comments due: September 9, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-79
34-70168 Aug. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Rule 6.4 to Modify the Short-Term Option Series Program to Increase the Number of Classes that are Eligible to Participate in the Program from Five to 30
Comments due: September 9, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-78
34-70124 Aug. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.3(i)(1)(i) to Specify the Procedures to be Followed if a Listed Derivative Securities Product or a Listed Structured Product is Based on An Index or Portfolio of Securities and Such Index or Portfolio is Modified or Replaced
Comments due: September 3, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-77
34-70097 Aug. 2, 2013 Notice of Filing of Proposed Rule Change to Amend NYSE Arca Equities Rule 2.100, Which Provides for Certain Emergency Powers
Comments due: August 29, 2013
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-70822, Notice: Rel. No. 34-70463
Comments received are available for this proposal.

SR-NYSEArca-2013-76
34-70084 Jul. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Increase the Royalty Fees Applicable to Non-Customer Transactions in Options on the Russell 2000 Index
Comments due: August 27, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-75
34-70075 Jul. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(a)(2) to Specify That the Exchange Would Use The Last Official Closing Price to Calculate the Market Order Trading Collar If There is No Consolidated Last Sale Price That Trading Day
Comments due: August 26, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-74
34-70067 Jul. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Content of the NYSE Arca Trades Digital Media Data Feed
Comments due: August 26, 2013

SR-NYSEArca-2013-52
34-70055 Jul. 29, 2013 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the First Trust Morningstar Managed Futures Strategy Fund under NYSE Arca Equities Rule 8.600
Comments due: August 23, 2013
See also:  Notice: Rel. No. 34-69636

SR-NYSEArca-2013-73
34-70045 Jul. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule with Respect to Cap on Fees for Firm and Broker Dealer Open Outcry Executions
Comments due: August 22, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-72
34-70038 Jul. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule to Codify Existing Price Protection Mechanisms
Comments due: August 21, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-70
34-70008 Jul. 19, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of First Trust Inflation Managed Fund
Comments due: August 15, 2013
See also:  Order: Rel. No. 34-70282

SR-NYSEArca-2013-71
34-70005 Jul. 18, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of the SPDR SSgA Ultra Short Term Bond ETF; SPDR SSgA Conservative Ultra Short Term Bond ETF; and SPDR SSgA Aggressive Ultra Short Term Bond ETF under NYSE Arca Equities Rule 8.600
Comments due: August 14, 2013
See also:  Order: Rel. No. 34-70342

SR-NYSEArca-2013-67
34-69926 Jul. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Modify the Credits for Certain Mid-Point Passive Liquidity Orders, Add Two New Tiers Applicable to Transactions in Tape B Securities, Add a Pricing Tier Applicable to Orders of ETP Holders for Tape A and Tape C Securities that are Eligible to be Routed Away from the Exchange, and Modify the Equity Threshold Applicable to the Cross-Asset Tier
Comments due: July 30, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-56
34-69915 Jul. 2, 2013 Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of Shares of the PowerShares China A-Share Portfolio under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-69634

SR-NYSEArca-2013-48
34-69910 Jul. 2, 2013 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of iShares Dow Jones-UBS Roll Select Commodity Index Trust Pursuant to NYSE Arca Equities Rule 8.200
See also:  Notice: Rel. No. 34-69573

SR-NYSEArca-2013-64
34-69904 Jul. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Change the Monthly Fees For the Use of Certain Ports
Comments due: July 29, 2013
Additional Materials:  Exhibit 5
Second Quarter

SR-NYSEArca-2013-65
34-69882 Jun. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 6.91 to Modify the Information Disseminated at the Initiation of a Complex Order Auction
Comments due: July 24, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-60
34-69862 Jun. 26, 2013 Notice of Filing of Proposed Rule Change Proposing To List and Trade Shares of Market Vectors Low Volatility Commodity ETF and Market Vectors Long/Short Commodity ETF under NYSE Arca Equities Rule 8.200
Comments due: July 23, 2013
See also:  Order: Rel. No. 34-70209

SR-NYSEArca-2013-62
34-69850 Jun. 25, 2013 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 IntercontinentalExchange Group, Inc.
Comments due: July 22, 2013
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
See also:  Order: Rel. No. 34-70210

SR-NYSEArca-2013-61
34-69847 Jun. 25, 2013 Notice of Filing of Proposed Rule Change Proposing to List and Trade Units of the First Trust Gold Trust Pursuant to NYSE Arca Equities Rule 8.201
Comments due: July 22, 2013
See also:  Order: Rel. No. 34-70195

SR-NYSEArca-2013-66
34-69826 Jun. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Non-Substantive, Technical Amendments to Exchange Rule 6.62(o) Correcting Cross Reference to Exchange Rule 6.76B, and to Exchange Rule 6.76A to Correct Cross References to Exchange Rules 6.76A and 6.76B
Comments due: July 18, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-59
34-69790 Jun. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Arca Options Rule 6.72 to Extend the Penny Pilot in Options Classes in Certain Issues through December 31, 2013
Comments due: July 15, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-34
34-69706 Jun. 6, 2013 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Implement a One-Year Pilot Program for Issuers of Certain Exchange-Traded Products Listed on the Exchange
See also:  Exemptive Order: 34-69707, Notice: Rel. No. 34-69508, Notice: Rel. No. 34-69335

SR-NYSEArca-2013-57
34-69691 Jun. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place At A Price That Is Below $1 Per Option Contract Until January 5, 2014
Comments due: July 1, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-55
34-69690 Jun. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Change the Monthly Fees for Option Trading Permits and Raise the Fee Cap that Applies to Certain Firm and Broker Dealer Open Outcry Executions
Comments due: July 1, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-54
34-69674 May 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 6.91 to Remove Provisions Governing How the Complex Matching Engine Handles Electronic Complex Orders That Contain a Stock Leg
Comments due: June 26, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-51
34-69641 May 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Arca Options Rule 6.62(cc) to Remove References to Functionality Described as the Post No Preference Light Only Quotation
Comments due: June 24, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-39
34-69639 May 24, 2013 Notice of Withdrawal of a Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 to Add a Moving Average Check for Incoming Market Orders and Marketable Limit Orders
See also:  Notice: Rel. No. 34-69443

SR-NYSEArca-2013-52
34-69636 May 24, 2013 Notice of Filing of Proposed Rule Change Proposing to List and Trade Shares of the First Trust Morningstar Futures Strategy Fund under NYSE Arca Equities Rule 8.600
Comments due: June 20, 2013
See also:  Notice: Rel. No. 34-70055

SR-NYSEArca-2013-56
34-69634 May 23, 2013 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the PowerShares China A-Share Portfolio under NYSE Arca Equities Rule 8.600
Comments due: June 20, 2013
See also:  Order: Rel. No. 34-69915

SR-NYSEArca-2013-15
34-69609 May 20, 2013 Order Granting Approval of Proposed Rule Change, Modified by Amendment No. 1, Amending Rule 6.87 In Part and Adding a New Section to Address Errors that Involve Complex Orders
See also:  Notice: Rel. No. 34-68927

SR-NYSEArca-2013-33
34-69591 May 16, 2013 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade the International Bear ETF under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-69303

SR-NYSEArca-2013-50
34-69584 May 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Listing Standards for Equity Index-Linked Securities in NYSE Arca Equities Rule 5.2(j)(6)
Comments due: June 11, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-48
34-69573 May 14, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of iShares Dow Jones-UBS Roll Select Commodity Index Trust Pursuant to NYSE Arca Equities Rule 8.200
Comments due: June 10, 2013
See also:  Order: Rel. No. 34-69910

SR-NYSEArca-2013-47
34-69554 May 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Non-Display Usage Fees and Amending the Professional End-User Fees for NYSE Arca Options Market Data
Comments due: June 6, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-45
34-69527 May 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11(a)(6)(C) to add Inside Limit Orders as Eligible for Repricing Instructions
Comments due: June 3, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-41
34-69523 May 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Schedule of the NYSE Arca Options Proprietary Market Data Fees
Comments due: May 31, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-34
34-69508 May 3, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Implement a One-Year Pilot Program for Issuers of Certain Exchange-Traded Products ("ETPs") Listed on the Exchange
See also:  Order: Rel. No. 34-69706, Notice: Rel. No. 34-69335

SR-NYSEArca-2013-44
34-69503 May 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services to Amend Step Up Tier 2 to Reduce the Volume Threshold Requirements Needed To Be Eligible for The Tier
Comments due: May 29, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-46
34-69487 May 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule to Raise the Take Liquidity Fee for Firm and Broker Dealer Electronic Executions in Penny Pilot Issues
Comments due: May 28, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-39
34-69443 Apr. 24, 2013 Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 to Add a Moving Average Check for Incoming Market Orders and Marketable Limit Orders
Comments due: May 21, 2013
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-69639

SR-NYSEArca-2013-40
34-69436 Apr. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11 Clarifying the Exchange's Treatment of Discretionary Orders that have Discretionary Prices Outside of the Limit Up-Limit Down Price Bands
Comments due: May 22, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-18
34-69397 Apr. 18, 2013 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Fourteen Series of the iShares Trust under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-69008

SR-NYSEArca-2013-38
34-69389 Apr. 17, 2013 Notice of Filing of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Remove Certain Obsolete Text
Comments due: May 14, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2012-108
34-69373 Apr. 15, 2013 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of the NYSE Arca U.S. Equity Synthetic Reverse Convertible Index Fund under NYSE Arca Equities Rule 5.2(j)(3)
See also:  Order: Rel. No. 34-68671, Notice: Rel. No. 34-68320, Notice: Rel. No. 34-68043

SR-NYSEArca-2013-10
34-69340 Apr. 8, 2013 Order Approving, on an Accelerated Basis, Proposed Rule Change, as Modified by Amendment No. 1, Adopting New Exchange Rule 6.65A to Provide for How the Exchange Proposes to Treat Orders, Market-Making Quoting Obligations, and Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility; and Amending Exchange Rule 6.65 to Codify that the Exchange Shall Halt Trading in All Options Overlying NMS Stocks When the Equities Markets Initiate a Market-Wide Trading Halt Due to Extraordinary Market Volatility
See also:  Notice: Rel. No. 34-69032

SR-NYSEArca-2013-37
34-69315 Apr. 5, 2013 Notice of Filing of Proposed Rule Change Establishing Non-Display Usage Fees for NYSE Arca Integrated Feed, NYSE ArcaBook, NYSE Arca Trades, and NYSE Arca BBO, and a Redistribution Fee for NYSE ArcaBook
Comments due: May 2, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-17
34-69325 Apr. 5, 2013 Order Granting Approval of Proposed Rule Change Amending Its Rules to Reflect the Merger of NYSE Arca Holdings, Inc., An Intermediate Holding Company, Into and With NYSE Group, Inc., Thereby Eliminating NYSE Arca Holdings, Inc. From the Ownership Structure of the Exchange
See also:  Notice: Rel. No. 34-68959

SR-NYSEArca-2013-34
34-69335 Apr. 5, 2013 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Implement a One-Year Pilot Program for Issuers of Certain Exchange-Traded Products ("ETPs") Listed on the Exchange
Comments due: May 2, 2013
Additional File No.: SR-NYSEArca-2012-37
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69706, Notice: Rel. No. 34-69508
Comments received are available for this proposal.

SR-NYSEArca-2013-36
34-69311 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Standard Options Transaction Fees
Comments due: May 1, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-32
34-69305 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services
Comments due: May 1, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-33
34-69303 Apr. 4, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade the International Bear ETF under NYSE Arca Equities Rule 8.600
Comments due: May 1, 2013
See also:  Order: Rel. No. 34-69591

SR-NYSEArca-2013-31
34-69299 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Certain Fees for the NYSE Arca Trades and NYSE Arca Realtime Reference Prices Market Data Products
Comments due: May 1, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-30
34-69274 Apr. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Arca Trades Digital Media Data Feed and a Schedule of the NYSE Arca Equities Proprietary Market Data Fees
Comments due: April 29, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-27
34-69267 Apr. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules to Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options, Currently Scheduled to Expire on March 29, 2013, Until March 31, 2014
Comments due: April 29, 2013
Additional Materials:  Exhibit 5
First Quarter

SR-NYSEArca-2012-28
34-69256 Mar. 28, 2013 Response to Comments Submitted After the Issuance on December 14, 2012, of a Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 1 to List and Trade Shares of the JPM XF Physical Copper Trust Pursuant to NYSE Arca Equities Rule 8.201
See also:  Notice: Rel. No. 34-68440, Notice: Rel. No. 34-67965, Order: Rel. No. 34-67470, Notice: Rel. No. 34-67075, Notice: Rel. No. 34-66816

SR-NYSEArca-2013-14
34-69251 Mar. 28, 2013 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Cambria Shareholder Yield ETF Pursuant to NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-68930

SR-NYSEArca-2013-25
34-69246 Mar. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule to Establish Fees for Mini-Options Contracts
Comments due: April 23, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-08
34-69244 Mar. 27, 2013 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the SPDR Blackstone/GSO Senior Loan ETF under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-68862

SR-NYSEArca-2013-28
34-69197 Mar. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Definition of Complex Orders and Stock/Options Orders to Accommodate the Trading of Option Contracts Overlying 10 Shares of a Security
Comments due: April 17, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-26
34-69161 Mar. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Rules to Accommodate the Trading of Option Contracts Overlying 10 Shares of Certain Securities
Comments due: April 15, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-24
34-69134 Mar. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services with Respect to the Retail Order Tier
Comments due: April 10, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-22
34-69106 Mar. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Arca Options Rule 6.72 to Extend the Penny Pilot in Options Classes in Certain Issues through June 30, 2013
Comments due: April 5, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-21
34-69080 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules Governing Order Format and System Entry Requirements
Comments due: April 4, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-19
34-69078 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Schedule of Fees and Charges for Exchange Services to Reduce the Floor Broker Rebate for Qualified Contingent Cross Transactions
Comments due: April 8, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-23
34-69059 Mar. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Inc. Fee Schedule to Increase the Gross FOCUS Fee
Comments due: April 3, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-01
34-69061 Mar. 7, 2013 Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of the Newfleet Multi-Sector Income ETF under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-68666

SR-NYSEArca-2013-10
34-69032 Mar. 4, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Adopting New Exchange Rule 6.65A to Provide for How the Exchange Proposes to Treat Orders, Market-Making Quoting Obligations, and Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility; and Amending Exchange Rule 6.65 to Codify that the Exchange Shall Halt Trading in All Options Overlying NMS Stocks When the Equities Markets Initiate a Market-Wide Trading Halt Due to Extraordinary Market Volatility
Comments due: March 29, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69340
Comments received are available for this proposal.

SR-NYSEArca-2013-18
34-69008 Feb. 28, 2013 Notice of Filing of Proposed Rule Change to List and Trade Fourteen Series of the iShares Trust under NYSE Arca Equities Rule 8.600
Comments due: March 27, 2013
See also:  Order: Rel. No. 34-69397

SR-NYSEArca-2012-66
34-68973 Feb. 22, 2013 Notice of Filing of Amendments No. 1 and No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendments No. 1 and No. 2 to List and Trade Shares of the iShares Copper Trust Pursuant to NYSE Arca Equities Rule 8.201
Comments due: March 21, 2013
See also: Notice: Rel. Nos. 34-68511; 34-67616; 34-67237
Comments received are available for this proposal.

SR-NYSEArca-2013-17
34-68959 Feb. 20, 2013 Notice of Filing of Proposed Rule Change Amending Its Rules to Reflect the Merger of NYSE Arca Holdings, Inc., An Intermediate Holding Company, Into and With NYSE Group, Inc., Thereby Eliminating NYSE Arca Holdings, Inc. From the Ownership Structure of The Exchange
Comments due: March 19, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69325

SR-NYSEArca-2013-15
34-68927 Feb. 14, 2013 Notice of Filing of Proposed Rule Change Amending Rule 6.87 In Part and Adding a New Section To Address Errors that Involve Complex Orders
Comments due: March 14, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69609

SR-NYSEArca-2013-14
34-68930 Feb. 14, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Cambria Shareholder Yield ETF Pursuant to NYSE Arca Equities Rule 8.600
Comments due: March 14, 2013
See also:  Notice: Rel. No. 34-69251

SR-NYSEArca-2013-13
34-68912 Feb. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 7.11 to establish rules to comply with the requirements of the Plan to Address Extraordinary Market Volatility submitted to the Commission pursuant to Rule 608 of Regulation NMS
Comments due: March 12, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-16
34-68910 Feb. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the WisdomTree Euro Debt Fund
Comments due: March 13, 2013

SR-NYSEArca-2013-11
34-68898 Feb. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule to Introduce a New Electronic Customer Rate for Certain Executions that Take Liquidity
Comments due: March 8, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2012-138
34-68871 Feb. 8, 2013 Order Granting Approval of Proposed Rule Change to List and Trade PIMCO Foreign Currency Strategy Exchange-Traded Fund under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-68476

SR-NYSEArca-2012-139
34-68870 Feb. 8, 2013 Order Granting Approval of Proposed Rule Change to List and Trade First Trust Preferred Securities and Income ETF Under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-68458

SR-NYSEArca-2012-142
34-68863 Feb. 7, 2013 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade the Guggenheim Enhanced Total Return ETF under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-68488

SR-NYSEArca-2013-08
34-68862 Feb. 7, 2013 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the SPDR Blackstone/GSO Senior Loan ETF under NYSE Arca Equities Rule 8.600
Comments due: March 6, 2013
See also:  Notice: Rel. No. 34-69244

SR-NYSEArca-2013-09
34-68848 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services
Comments due: March 5, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-12
34-68809 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.10, Which Governs Clearly Erroneous Executions, Extending the Effective Date of the Pilot Until September 30, 2013 and Adopting New Paragraph (i) to NYSE Arca Equities Rule 7.10 In Connection With the Upcoming Operation of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act
Comments due: February 28, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-06
34-68785 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of A Rule Change to Exchange Rule 7.12, Which Provides for Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility, From the Date of February 4, 2013, Until April 8, 2013
Comments due: February 27, 2013

SR-NYSEArca-2013-05
34-68776 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule to Change the Monthly Cost for Option Trading Permits
Comments due: February 27, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-04
34-68758 Jan. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Revise Qualification Thresholds for Tiered Customer Posting Credits
Comments due: February 25, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-02
34-68748 Jan. 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11, which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014
Comments due: February 25, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2012-133
34-68725 Jan. 24, 2013 Order Approving a Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(h)(7) to Permit PL Select Orders to Interact with Incoming Orders Larger Than the Size of the PL Select Order
See also:  Notice: Rel. No. 34-68385

SR-NYSEArca-2012-131
34-68708 Jan. 23, 2013 Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of Shares of the Horizons S&P 500 Covered Call ETF, Horizons S&P Financial Select Sector Covered Call ETF, and Horizons S&P Energy Select Sector Covered Call ETF under NYSE Arca Equities Rule 5.2(j)(3)
See also:  Notice: Rel. No. 34-68351

SR-NYSEArca-2012-108
34-68671 Jan. 16, 2013 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of the NYSE Arca U.S. Equity Synthetic Reverse Convertible Index Fund under NYSE Arca Equities Rule 5.2(j)(3)
Comments due: February 13, 2013
Rebuttal comments due: February 27, 2013
See also:  Order: Rel. No. 34-69373, Notice: Rel. No. 34-68320, Notice: Rel. No. 34-68043
Comments received are available for this proposal.

SR-NYSEArca-2012-109
34-68667 Jan. 16, 2013 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the U.S. Equity High Volatility Put Write Index Fund under NYSE Arca Equities Rule 5.2(j)(3)
See also:  Notice: Rel. No. 34-68319, Notice: Rel. No. 34-68044

SR-NYSEArca-2013-01
34-68666 Jan. 16, 2013 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of the Newfleet Multi-Sector Income ETF under NYSE Arca Equities Rule 8.600
See also:  Order: Rel. No. 34-69061

SR-NYSEArca-2012-105
34-68638 Jan. 11, 2013 Notice of Filing of Amendment No. 2, and Order Granting Accelerated Approval for Proposed Rule Change, as Modified by Amendment No. 2, to Amend the Listing Rules for Compensation Comply with Securities Exchange Act Rule 10C-1 and Make Other Related Changes
Comments due: February 12, 2013
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-68313, Notice: Rel. No. 34-68006

SR-NYSEArca-2012-37
34-68616 Jan. 10, 2013 Notice of Withdrawal of Proposed Rule Change Proposing a Pilot Program to Create a Lead Market Maker Issuer Incentive Program for Issuers of Certain Exchange-Traded Products Listed on NYSE Arca, Inc.
See also:  Notice: Rel. No. 34-67962, Notice: Rel. No. 34-67411, Notice: Rel. No. 34-67222, Notice: Rel. No. 34-66966

SR-NYSEArca-2012-145
34-68590 Jan. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List with Respect to Regulatory Fees Related to the Central Registration Depository, Which are Collected by the Financial Industry Regulatory Authority, Inc.
Comments due: February 1, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2012-143
34-68588 Jan. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services with Respect to Regulatory Fees Related to the Central Registration Depository, Which are Collected by the Financial Industry Regulatory Authority, Inc.
Comments due: February 1, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2012-140
34-68569 Jan. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Options on the Nasdaq-100 Index (NDX) and the Reduced-Value Nasdaq-100 Index (MNX) and to Amend NYSE Arca Rule 5.15(a)(1) to Provide That There Are No Position Limits for Options on NDX and MNX
Comments due: January 30, 2013
Additional Materials:  Exhibit 5


NYSE Arca File Number List for 2013
Release No. Date Details

SR-NYSEArca-2013-148
34-71253 Jan. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.40 to Expand the Scope of the Existing Risk Limitation Mechanism to Address Multiple, Successive Triggers of the Risk Limitation Mechanism
Comments due: February 3, 2014

SR-NYSEArca-2013-146
34-71214 Dec. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Eliminate the Mid-Point Passive Liquidity Order Tier, Add a New Routable Order Cross-Asset Tier, and Make Other Changes Relating to Open Orders
Comments due: January 28, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-145
34-71159 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes to Amend Commentary .02 to Exchange Rule 6.72 in order to Extend the Penny Pilot in Options Classes in Certain Issues Previously Approved by the Securities and Exchange Commission through June 30, 2014
Comments due: January 17, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-144
34-71618 Feb. 26, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the ETSpreads HY Long Credit Fund, the ETSpreads HY Short Credit Fund, the ETSpreads IG Long Credit Fund and the ETSpreads IG Short Credit Fund under NYSE Arca Equities Rule 8.600
34-71266 Jan. 9, 2014 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the ETSpreads HY Long Credit Fund, the ETSpreads HY Short Credit Fund, the ETSpreads IG Long Credit Fund and the ETSpreads IG Short Credit Fund under NYSE Arca Equities Rule 8.600
Comments due: February 5, 2014

SR-NYSEArca-2013-143
34-71130 Dec. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Partial Cabinets and Cabinet Upgrades As Part of Its Colocation Services and to Amend the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Reflect the New Services
Comments due: January 14, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-142
34-71166 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Risk Management Tools Designed to Allow ETP Holders to Monitor and Address Exposure to Risk
Comments due: January 17, 2014
Comments received are available for this proposal.

SR-NYSEArca-2013-141
34-71804 Mar. 26, 2014 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Adopt New NYSE Arca Equities Rule 7.25 to Create a Crowd Participant Program on a Pilot Basis to Incent Competitive Quoting and Trading Volume in Exchange-Traded Products by Market Makers Qualified with the Exchange as CPs
Comments due: 21 days after publication in the Federal Register
34-71479 Feb. 5, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt New NYSE Arca Equities Rule 7.25 to Create a Crowd Participant Program on a Pilot Basis to Incent Competitive Quoting and Trading Volume in Exchange-Traded Products by Market Makers Qualified with the Exchange as CPs
34-71146 Dec. 19, 2013 Notice of Filing of Proposed Rule Change to Adopt New NYSE Arca Equities Rule 7.25 in Order to Create a Crowd Participant Program to Incent Competitive Quoting and Trading Volume in Exchange-Traded Products by Market Makers Qualified with the Exchange as CPs
Comments due: January 16, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-140
34-71094 Dec. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program that Allows Transactions to Take Place at A Price that is Below $1 Per Option Contract Until January 5, 2015
Comments due: January 13, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-138
34-71540 Feb. 12, 2014 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Shares of iShares Enhanced International Large-Cap ETF and iShares Enhanced International Small-Cap ETF Under NYSE Arca Equities Rule 8.600
34-71186 Dec. 26, 2013 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of iShares Enhanced International Large-Cap ETF and iShares Enhanced International Small-Cap ETF under NYSE Arca Equities Rule 8.600
Comments due: January 23, 2014
Comments received are available for this proposal.

SR-NYSEArca-2013-137
34-71378 Jan. 23, 2014 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the Merk Gold Trust Pursuant to NYSE Arca Equities Rule 8.201
34-71038 Dec. 11, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the Merk Gold Trust Pursuant to NYSE Arca Equities Rule 8.201
Comments due: January 7, 2014

SR-NYSEArca-2013-136
34-71016 Dec. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Raise the Take Liquidity Fee for Lead Market Maker and Market Maker Electronic Executions in Penny Pilot Issues
Comments due: January 2, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-135
34-71617 Feb. 26, 2014 Order Granting Approval of Proposed Rule Change to List and Trade Shares of db-X Ultra-Short Duration Fund and db-X Managed Municipal Bond Fund under NYSE Arca Equities Rule 8.600
34-71269 Jan. 9, 2014 Notice of Filing of Proposed Rule Change to List and Trade Shares of db-X Ultra-Short Duration Fund and db-X Managed Municipal Bond Fund under NYSE Arca Equities Rule 8.600
Comments due: February 5, 2014

SR-NYSEArca-2013-133
34-70998 Dec. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Specify the Exclusion of Odd Lot Transactions from Consolidated Average Daily Volume Calculations for a Limited Period of Time for Purposes of Certain Transaction Pricing on the Exchange Through January 31, 2014
Comments due: January 2, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-132
34-71377 Jan. 23, 2014 Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2 and 3 Thereto, to List and Trade Shares of Merk Hard Currency ETF under NYSE Arca Equities Rule 8.600
34-70994 Dec. 5, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of Merk Hard Currency ETF under NYSE Arca Equities Rule 8.600
Comments due: January 2, 2014

SR-NYSEArca-2013-131
34-70981 Dec. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services in Order to Provide for Fees for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center
Comments due: December 31, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-130
34-70968 Dec. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Rule 6.8 to Extend the Pilot Program that Eliminated the Position Limits for Options on SPDR S&P 500 ETF
Comments due: December 30, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-129
34-70977 Dec. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.37A to Eliminate the Requirement that Market Makers Comply with the Bid-Ask Differential Requirements Specified in Rule 6.37(b)(1)(A)-(F) When Electronically Bidding and Offering on the Exchange System During the Opening Auction Process
Comments due: December 31, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-128
34-70912 Nov. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Specify the Method of Billing When More than One Pricing Tier Could be Applicable
Comments due: December 18, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-127
34-72265 May 28, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2 Thereto, to List and Trade Shares of Nine Series of the IndexIQ Active ETF Trust under NYSE Arca Equities Rule 8.600
34-71645 Mar. 4, 2014 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to the Listing and Trading of Shares of Nine Series of the IndexIQ Active ETF Trust Under NYSE Arca Equities Rule 8.600
34-71309 Jan. 15, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of Nine Series of the IndexIQ Active ETF Trust under NYSE Arca Equities Rule 8.600
34-70954 Nov. 27, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Under NYSE Arca Equities Rule 8.600 Shares of Nine Series of the IndexIQ Active ETF Trust
Comments due: December 26, 2013

SR-NYSEArca-2013-124
34-70916 Nov. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Related to Co-Location Services
Comments due: December 18, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-123
34-70887 Nov. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding Co-location Services to Provide for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center
Comments due: December 12, 2013

SR-NYSEArca-2013-122
34-72216 May 21, 2014 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to the Use of Derivative Instruments by PIMCO Total Return Exchange Traded Fund
34-71606 Feb. 24, 2014 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to the Use of Derivative Instruments by PIMCO Total Return Exchange Traded Fund
Rebuttal Comments due: April 4, 2014
34-71271 Jan. 9, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Use of Derivative Instruments by PIMCO Total Return Exchange Traded Fund
34-70905 Nov. 20, 2013 Notice of Filing of Proposed Rule Change Relating to the Use of Derivative Instruments by PIMCO Total Return Exchange Traded Fund
Comments due: December 17, 2013

SR-NYSEArca-2013-121
34-71263 Jan. 9, 2014 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of AdvisorShares Sage Core Reserves ETF under NYSE Arca Equities Rule 8.600
34-70902 Nov. 19, 2013 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of AdvisorShares Sage Core Reserves ETF under NYSE Arca Equities Rule 8.600
Comments due: December 16, 2013

SR-NYSEArca-2013-120
34-70855 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .08 to Rule 6.4 to Modify the Quarterly Option Series Program to Eliminate the Cap on the Number of Additional Series That May Be Listed Per Expiration Month for Each QOS in Exchange-Traded Fund Options
Comments due: December 10, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-119
34-70861 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.69(a) to Provide That a Pattern or Practice of Late Reporting of Option Transactions to the Exchange for Dissemination to the Options Price Reporting Authority Is Subject to Disciplinary Action
Comments due: December 10, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-118
34-71232 Jan. 3, 2014 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, to List and Trade Shares of the Market Vectors Short High-Yield Municipal Index ETF Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02
Comments due: January 30, 2014
34-70871 Nov. 14, 2013 Notice of Filing of Proposed Rule Change, as modified by Amendment No. 1 thereto, to List and Trade of Shares of the Market Vectors Short High-Yield Municipal Index ETF Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02
Comments due: December 10, 2013

SR-NYSEArca-2013-117
34-70807 Nov. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Amend the Rule Governing the Listing and Trading of Shares of the WisdomTree Global Real Return Fund
Comments due: December 3, 2013

SR-NYSEArca-2013-116

SR-NYSEArca-2013-116
34-71456 Jan. 31, 2014 Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of Shares of AdvisorShares International Gold ETF, AdvisorShares Gartman Gold/Yen ETF, AdvisorShares Gartman Gold/British Pound ETF, and AdvisorShares Gartman Gold/Euro ETF under NYSE Arca Equities Rule 8.600
34-71076 Dec. 13, 2013 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of AdvisorShares International Gold ETF; AdvisorShares Gartman Gold/Yen ETF; AdvisorShares Gartman Gold/British Pound ETF; and AdvisorShares Gartman Gold/Euro ETF under NYSE Arca Equities Rule 8.600
Comments due: January 9, 2014

SR-NYSEArca-2013-115
34-71221 Jan. 2, 2014 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Adopt Commentary .03 to Rule 6.91 to Limit the Volume of Complex Orders by a Single OTP Holder or OTP Firm During the Trading Day
Comments due: January 29, 2014
34-71184 Dec. 24, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt Commentary .03 to Rule 6.91 to Limit the Volume of Complex Orders by a Single OTP Holder or OTP Firm During the Trading Day
34-70817 Nov. 6, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt Commentary .03 to Rule 6.91 to Limit the Volume of Complex Orders by a Single OTP Holder or OTP Firm During the Trading Day
Comments due: December 4, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-114
34-70818 Nov. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Regarding the Applicable Lead Market Maker Rights Fee for Low-Volume Issues
Comments due: December 4, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-111
34-71133 Dec. 18, 2013 Order Approving a Proposed Rule Change to List and Trade Shares of Manna Core Equity Enhanced Dividend Income Fund Under NYSE Arca Equities Rule 8.600
34-70798 Nov. 1, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of Manna Core Equity Enhanced Dividend Income Fund Under NYSEArca Equities Rule 8.600
Comments due: November 29, 2013

SR-NYSEArca-2013-109
34-70795 Oct. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Apply Routing Fees to Penny Pilot Issues
Comments due: November 27, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-107
34-71176 Dec. 23, 2013 Order Granting Approval to Proposed Rule Change to Establish a Retail Liquidity Program on a Pilot Basis for a Period of One Year from the Date of Implementation and Granting Request For a Limited Exemption from Rule 612 of Regulation NMS
34-70824 Nov. 6, 2013 Notice of Filing of Proposed Rule Change to Establish a Retail Liquidity Program
Comments due: December 4, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-106
34-71125 Dec. 18, 2013 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Shares of PIMCO Diversified Income Exchange-Traded Fund, PIMCO Low Duration Exchange-Traded Fund and PIMCO Real Return Exchange-Traded Fund under NYSE Arca Equities Rule 8.600
34-70774 Oct. 30, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Shares of PIMCO Diversified Income Exchange-Traded Fund, PIMCO Low Duration Exchange-Traded Fund and PIMCO Real Return Exchange-Traded Fund under NYSE Arca Equities Rule 8.600
Comments due: November 26, 2013

SR-NYSEArca-2013-105
34-71067 Dec. 12, 2013 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the SPDR MFS Systematic Core Equity ETF, SPDR MFS Systematic Growth Equity ETF, and SPDR MFS Systematic Value Equity ETF Under NYSE Arca Equities Rule 8.600
Comments due: January 8, 2014
34-70754 Oct. 25, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of the SPDR MFS Systematic Core Equity ETF, SPDR MFS Systematic Growth Equity ETF, and SPDR MFS Systematic Value Equity ETF Under NYSE Arca Equities Rule 8.600
Comments due: November 21, 2013

SR-NYSEArca-2013-104
34-70718 Oct. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.87
Comments due: November 14, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-103
34-70677 Oct. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule to Adopt Price Protection Filters for Electronic Complex Orders
Comments due: November 12, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-102
34-70703 Oct. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Market Maker and Lead Market Maker Transaction Credits
Comments due: November 13, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-101
34-70993 Dec. 5, 2013 Order Granting Approval of Proposed Rule Change to List and Trade Shares of the WisdomTree Bloomberg U.S. Dollar Bullish Fund, WisdomTree Bloomberg U.S. Dollar Bearish Fund, and the WisdomTree Commodity Currency Bearish Fund under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-70624
34-70624 Oct. 8, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of the WisdomTree Bloomberg U.S. Dollar Bullish Fund, WisdomTree Bloomberg U.S. Dollar Bearish Fund, and the WisdomTree Commodity Currency Bearish Fund under NYSE Arca Equities Rule 8.600
Comments due: November 12, 2013

SR-NYSEArca-2013-100
34-70518 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 7.10 and Removing References to Individual Security Trading Pauses Contained in Rule 7.10(c)(4)
Comments due: October 23, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-99
34-70528 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.3(i)(1)(i)(H) To Change The Required Advance Notice Period For Submitting Certain Notices to the Exchange
Comments due: October 23, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-98
34-70565 Sep. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of Retail Order in the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and the Attestation Requirements for ETP Holders that Submit Retail Orders
Comments due: October 24, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-97
34-70570 Sep. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reflecting Changes to the Means of Achieving the Investment Objective Applicable to Shares of the PowerShares China A-Share Portfolio
Comments due: October 24, 2013

SR-NYSEArca-2013-96
34-70598 Oct. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2.23 to Specify Applicable Continuing Education Requirements, Amending the NYSE Arca Options Fee Schedule to Specify Corresponding CE Fees and to Specify Fees for the Series 56 Examination
Comments due: November 12, 2013

SR-NYSEArca-2013-95
34-70503 Sep. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Add an Additional Tier to the Lead Market Maker Rights Fees
Comments due: October 22, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-94
34-70520 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The NYSE Arca Equities Schedule Of Fees And Charges For Exchange Services Regarding Calculation Of The Mid-Point Passive Liquidity Order Tier
Comments due: October 23, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-93
34-70504 Sep. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Include An Additional Market Maker Monthly Posting Credit Tier
Comments due: October 22, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-92
34-71331 Jan. 16, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Arca Equities Rules 7.31, 7.32, 7.37, and 7.38 in Order to Comprehensively Update Rules Related to the Exchange's Order Types and Modifiers
Comments due: February 13, 2014
Comments received are available for this proposal.
34-70995 Dec. 5, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend NYSE Arca Equities Rules 7.31, 7.32, 7.37, and 7.38 in Order to Comprehensively Update Rules Related to the Exchange's Order Types and Modifiers
34-70637 Oct. 9, 2013 Notice of Filing of Proposed Rule Change to Amend NYSE Arca Equities Rules 7.31, 7.32, 7.37, and 7.38 in Order to Comprehensively Update Rules Related to the Exchange's Order Types and Modifiers
Comments due: November 12, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-91
34-70500 Sep. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule to Specify the Frequency with which the Exchange May Change the Options Regulatory Fee
Comments due: October 22, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-90
34-70425 Sep. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.91 to Specify that LMMs Receive Execution Allocations of Incoming Electronic Complex Orders and Complex Order Auction Eligible Orders In Accordance with The Guaranteed Participation Provision of Rule 6.76A(a)(1)(A), Without Any Exceptions
Comments due: October 15, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-88
34-70372 Sep. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Rules Pertaining to the Trading of Options in Order to Change the Expiration Date for Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: October 8, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-87
34-70389 Sep. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Modify The Manner In Which It Calculates Volume, Liquidity And Quoting Thresholds Applicable To Billing On The Exchange In Relation To A Systems Issue Experienced By The NASDAQ UTP Securities Information Processor On August 22, 2013, Which Impacted Trading Across All Markets
Comments due: October 10, 2013

SR-NYSEArca-2013-86
34-70773 Oct. 30, 2013 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the Franklin Short Duration U.S. Government ETF under NYSE Arca Equities Rule 8.600
34-70356 Sep. 10, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of Franklin Short Duration U.S. Government ETF under NYSE Arca Equities Rule 8.600
Comments due: October 7, 2013

SR-NYSEArca-2013-85
34-70347 Sep. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to the Means of Achieving the Investment Objective Applicable to the AdvisorShares QAM Equity Hedge ETF
Comments due: October 4, 2013

SR-NYSEArca-2013-83
34-70284 Aug. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Investments in Leveraged Loans by the Peritus High Yield ETF
Comments due: September 26, 2013

SR-NYSEArca-2013-82
34-70286 Aug. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule and NYSE Arca Equities Fee Schedule to Provide for Fees for a 40 Gigabit Liquidity Center Network Connection in the Exchange Data Center
Comments due: September 26, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-81
34-70213 Aug. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for Display Use of the NYSE Arca BBO and NYSE Arca Trades Market Data Products and Making Certain Technical Changes to the Fee Schedule
Comments due: September 11, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-80
34-70173 Aug. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Describe the Billing Practice for Co-location Services and Expand Co-location Services to Provide for a 40 Gigabit Liquidity Center Network Connection
Comments due: September 9, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-79
34-70168 Aug. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Rule 6.4 to Modify the Short-Term Option Series Program to Increase the Number of Classes that are Eligible to Participate in the Program from Five to 30
Comments due: September 9, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-78
34-70124 Aug. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.3(i)(1)(i) to Specify the Procedures to be Followed if a Listed Derivative Securities Product or a Listed Structured Product is Based on An Index or Portfolio of Securities and Such Index or Portfolio is Modified or Replaced
Comments due: September 3, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-77
34-70822 Nov. 6, 2013 Notice of Filing of Amendment No. 1 and Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, that Address the Exchanges' Emergency Powers
Comments due: 21 days after publication in the Federal Register
Additional File Nos.: SR-NYSE-2013-54, SR-NYSEMKT-2013-66
* 
34-70463 Sep. 20, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes that Address the Exchanges' Emergency Powers
Additional File Nos.: SR-NYSE-2013-54, SR-NYSEMKT-2013-66
34-70097 Aug. 2, 2013 Notice of Filing of Proposed Rule Change to Amend NYSE Arca Equities Rule 2.100, Which Provides for Certain Emergency Powers
Comments due: August 29, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-76
34-70084 Jul. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Increase the Royalty Fees Applicable to Non-Customer Transactions in Options on the Russell 2000 Index
Comments due: August 27, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-75
34-70075 Jul. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(a)(2) to Specify That the Exchange Would Use The Last Official Closing Price to Calculate the Market Order Trading Collar If There is No Consolidated Last Sale Price That Trading Day
Comments due: August 26, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-74
34-70067 Jul. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Content of the NYSE Arca Trades Digital Media Data Feed
Comments due: August 26, 2013

SR-NYSEArca-2013-73
34-70045 Jul. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule with Respect to Cap on Fees for Firm and Broker Dealer Open Outcry Executions
Comments due: August 22, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-72
34-70038 Jul. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule to Codify Existing Price Protection Mechanisms
Comments due: August 21, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-71
34-70342 Sep. 6, 2013 Order Granting Approval of Proposed Rule Change to List and Trade Shares of the SPDR SSgA Ultra Short Term Bond ETF; SPDR SSgA Conservative Ultra Short Term Bond ETF; and SPDR SSgA Aggressive Ultra Short Term Bond ETF under NYSE Arca Equities Rule 8.600
34-70005 Jul. 18, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of the SPDR SSgA Ultra Short Term Bond ETF; SPDR SSgA Conservative Ultra Short Term Bond ETF; and SPDR SSgA Aggressive Ultra Short Term Bond ETF under NYSE Arca Equities Rule 8.600
Comments due: August 14, 2013

SR-NYSEArca-2013-70
34-70282 Aug. 29, 2013 Order Granting Approval of Proposed Rule Change to List and Trade Shares of First Trust Inflation Managed Fund
34-70008 Jul. 19, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of First Trust Inflation Managed Fund
Comments due: August 15, 2013

SR-NYSEArca-2013-67
34-69926 Jul. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Modify the Credits for Certain Mid-Point Passive Liquidity Orders, Add Two New Tiers Applicable to Transactions in Tape B Securities, Add a Pricing Tier Applicable to Orders of ETP Holders for Tape A and Tape C Securities that are Eligible to be Routed Away from the Exchange, and Modify the Equity Threshold Applicable to the Cross-Asset Tier
Comments due: July 30, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-66
34-69826 Jun. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Non-Substantive, Technical Amendments to Exchange Rule 6.62(o) Correcting Cross Reference to Exchange Rule 6.76B, and to Exchange Rule 6.76A to Correct Cross References to Exchange Rules 6.76A and 6.76B
Comments due: July 18, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-65
34-69882 Jun. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 6.91 to Modify the Information Disseminated at the Initiation of a Complex Order Auction
Comments due: July 24, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-64
34-69904 Jul. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Change the Monthly Fees For the Use of Certain Ports
Comments due: July 29, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-62
34-70210 Aug. 15, 2013 Order Granting Approval of Proposed Rule Change Relating to a Corporate Transaction in which NYSE Euronext Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange Group, Inc.
Additional File Nos.: SR-NYSE-2013-42, SR-NYSEMKT-2013-50
34-69850 Jun. 25, 2013 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 IntercontinentalExchange Group, Inc.
Comments due: July 22, 2013
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

SR-NYSEArca-2013-61
34-70195 Aug. 14, 2013 Order Approving a Proposed Rule Change to List and Trade Units of the First Trust Gold Trust Pursuant to NYSE Arca Equities Rule 8.201
34-69847 Jun. 25, 2013 Notice of Filing of Proposed Rule Change Proposing to List and Trade Units of the First Trust Gold Trust Pursuant to NYSE Arca Equities Rule 8.201
Comments due: July 22, 2013

SR-NYSEArca-2013-60
34-70209 Aug. 15, 2013 Order Granting Approval of Proposed Rule Change to List and Trade Shares of Market Vectors Low Volatility Commodity ETF and Market Vectors Long/Short Commodity ETF under NYSE Arca Equities Rule 8.200
34-69862 Jun. 26, 2013 Notice of Filing of Proposed Rule Change Proposing To List and Trade Shares of Market Vectors Low Volatility Commodity ETF and Market Vectors Long/Short Commodity ETF under NYSE Arca Equities Rule 8.200
Comments due: July 23, 2013

SR-NYSEArca-2013-59
34-69790 Jun. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Arca Options Rule 6.72 to Extend the Penny Pilot in Options Classes in Certain Issues through December 31, 2013
Comments due: July 15, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-57
34-69691 Jun. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place At A Price That Is Below $1 Per Option Contract Until January 5, 2014
Comments due: July 1, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-56
34-69915 Jul. 2, 2013 Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of Shares of the PowerShares China A-Share Portfolio under NYSE Arca Equities Rule 8.600
34-69634 May 23, 2013 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the PowerShares China A-Share Portfolio under NYSE Arca Equities Rule 8.600
Comments due: June 20, 2013

SR-NYSEArca-2013-55
34-69690 Jun. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Change the Monthly Fees for Option Trading Permits and Raise the Fee Cap that Applies to Certain Firm and Broker Dealer Open Outcry Executions
Comments due: July 1, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-54
34-69674 May 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 6.91 to Remove Provisions Governing How the Complex Matching Engine Handles Electronic Complex Orders That Contain a Stock Leg
Comments due: June 26, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-52
34-70055 Jul. 29, 2013 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the First Trust Morningstar Managed Futures Strategy Fund under NYSE Arca Equities Rule 8.600
Comments due: August 23, 2013
34-69636 May 24, 2013 Notice of Filing of Proposed Rule Change Proposing to List and Trade Shares of the First Trust Morningstar Futures Strategy Fund under NYSE Arca Equities Rule 8.600
Comments due: June 20, 2013

SR-NYSEArca-2013-51
34-69641 May 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Arca Options Rule 6.62(cc) to Remove References to Functionality Described as the Post No Preference Light Only Quotation
Comments due: June 24, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-50
34-69584 May 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Listing Standards for Equity Index-Linked Securities in NYSE Arca Equities Rule 5.2(j)(6)
Comments due: June 11, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-48
34-69910 Jul. 2, 2013 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of iShares Dow Jones-UBS Roll Select Commodity Index Trust Pursuant to NYSE Arca Equities Rule 8.200
34-69573 May 14, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of iShares Dow Jones-UBS Roll Select Commodity Index Trust Pursuant to NYSE Arca Equities Rule 8.200
Comments due: June 10, 2013

SR-NYSEArca-2013-47
34-69554 May 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Non-Display Usage Fees and Amending the Professional End-User Fees for NYSE Arca Options Market Data
Comments due: June 6, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-46
34-69487 May 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule to Raise the Take Liquidity Fee for Firm and Broker Dealer Electronic Executions in Penny Pilot Issues
Comments due: May 28, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-45
34-69527 May 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11(a)(6)(C) to add Inside Limit Orders as Eligible for Repricing Instructions
Comments due: June 3, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-44
34-69503 May 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services to Amend Step Up Tier 2 to Reduce the Volume Threshold Requirements Needed To Be Eligible for The Tier
Comments due: May 29, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-42
34-70918 Nov. 21, 2013 Notice of Withdrawal of Proposed Rule Change Amending NYSE Arca Rule 6.72 to Make the Penny Pilot Program for Options Permanent
See also:  Notice: Rel. No. 34-70733, Notice: Rel. No. 34-70317
34-70733 Oct. 22, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 6.72 to Make the Penny Pilot Program for Options Permanent
See also:  Notice: Rel. No. 34-70317, Notice: Rel. No. 34-70918
34-70317 Sep. 4, 2013 Notice of Filing of a Proposed Rule Change Amending Rule 6.72 to Make Permanent the Penny Trading Program for Options
Comments due: October 1, 2013
Additional Materials:  Exhibit 3, Exhibit 5
Comments received are available for this proposal. See also:  Notice: Rel. No. 34-70733, Notice: Rel. No. 34-70918

SR-NYSEArca-2013-41
34-69523 May 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Schedule of the NYSE Arca Options Proprietary Market Data Fees
Comments due: May 31, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-40
34-69436 Apr. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11 Clarifying the Exchange's Treatment of Discretionary Orders that have Discretionary Prices Outside of the Limit Up-Limit Down Price Bands
Comments due: May 22, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-39
34-69639 May 24, 2013 Notice of Withdrawal of a Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 to Add a Moving Average Check for Incoming Market Orders and Marketable Limit Orders
34-69443 Apr. 24, 2013 Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 to Add a Moving Average Check for Incoming Market Orders and Marketable Limit Orders
Comments due: May 21, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-38
34-69389 Apr. 17, 2013 Notice of Filing of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Remove Certain Obsolete Text
Comments due: May 14, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-37
34-69315 Apr. 5, 2013 Notice of Filing of Proposed Rule Change Establishing Non-Display Usage Fees for NYSE Arca Integrated Feed, NYSE ArcaBook, NYSE Arca Trades, and NYSE Arca BBO, and a Redistribution Fee for NYSE ArcaBook
Comments due: May 2, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-36
34-69311 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Standard Options Transaction Fees
Comments due: May 1, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-34
34-69706 Jun. 6, 2013 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Implement a One-Year Pilot Program for Issuers of Certain Exchange-Traded Products Listed on the Exchange
See also:  Exemptive Order: 34-69707
34-69508 May 3, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Implement a One-Year Pilot Program for Issuers of Certain Exchange-Traded Products ("ETPs") Listed on the Exchange
34-69335 Apr. 5, 2013 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Implement a One-Year Pilot Program for Issuers of Certain Exchange-Traded Products ("ETPs") Listed on the Exchange
Comments due: May 2, 2013
Additional File No.: SR-NYSEArca-2012-37
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-33
34-69591 May 16, 2013 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade the International Bear ETF under NYSE Arca Equities Rule 8.600
34-69303 Apr. 4, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade the International Bear ETF under NYSE Arca Equities Rule 8.600
Comments due: May 1, 2013

SR-NYSEArca-2013-32
34-69305 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services
Comments due: May 1, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-31
34-69299 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Certain Fees for the NYSE Arca Trades and NYSE Arca Realtime Reference Prices Market Data Products
Comments due: May 1, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-30
34-69274 Apr. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Arca Trades Digital Media Data Feed and a Schedule of the NYSE Arca Equities Proprietary Market Data Fees
Comments due: April 29, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-28
34-69197 Mar. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Definition of Complex Orders and Stock/Options Orders to Accommodate the Trading of Option Contracts Overlying 10 Shares of a Security
Comments due: April 17, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-27
34-69267 Apr. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules to Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options, Currently Scheduled to Expire on March 29, 2013, Until March 31, 2014
Comments due: April 29, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-26
34-69161 Mar. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Rules to Accommodate the Trading of Option Contracts Overlying 10 Shares of Certain Securities
Comments due: April 15, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-25
34-69246 Mar. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule to Establish Fees for Mini-Options Contracts
Comments due: April 23, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-24
34-69134 Mar. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services with Respect to the Retail Order Tier
Comments due: April 10, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-23
34-69059 Mar. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Inc. Fee Schedule to Increase the Gross FOCUS Fee
Comments due: April 3, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-22
34-69106 Mar. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Arca Options Rule 6.72 to Extend the Penny Pilot in Options Classes in Certain Issues through June 30, 2013
Comments due: April 5, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-21
34-69080 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules Governing Order Format and System Entry Requirements
Comments due: April 4, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-19
34-69078 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Schedule of Fees and Charges for Exchange Services to Reduce the Floor Broker Rebate for Qualified Contingent Cross Transactions
Comments due: April 8, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-18
34-69397 Apr. 18, 2013 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Fourteen Series of the iShares Trust under NYSE Arca Equities Rule 8.600
34-69008 Feb. 28, 2013 Notice of Filing of Proposed Rule Change to List and Trade Fourteen Series of the iShares Trust under NYSE Arca Equities Rule 8.600
Comments due: March 27, 2013

SR-NYSEArca-2013-17
34-69325 Apr. 5, 2013 Order Granting Approval of Proposed Rule Change Amending Its Rules to Reflect the Merger of NYSE Arca Holdings, Inc., An Intermediate Holding Company, Into and With NYSE Group, Inc., Thereby Eliminating NYSE Arca Holdings, Inc. From the Ownership Structure of the Exchange
See also:  Notice: Rel. No. 34-68959
34-68959 Feb. 20, 2013 Notice of Filing of Proposed Rule Change Amending Its Rules to Reflect the Merger of NYSE Arca Holdings, Inc., An Intermediate Holding Company, Into and With NYSE Group, Inc., Thereby Eliminating NYSE Arca Holdings, Inc. From the Ownership Structure of The Exchange
Comments due: March 19, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69325

SR-NYSEArca-2013-16
34-68910 Feb. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the WisdomTree Euro Debt Fund
Comments due: March 13, 2013

SR-NYSEArca-2013-15
34-69609 May 20, 2013 Order Granting Approval of Proposed Rule Change, Modified by Amendment No. 1, Amending Rule 6.87 In Part and Adding a New Section to Address Errors that Involve Complex Orders
34-68927 Feb. 14, 2013 Notice of Filing of Proposed Rule Change Amending Rule 6.87 In Part and Adding a New Section To Address Errors that Involve Complex Orders
Comments due: March 14, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-14
34-69251 Mar. 28, 2013 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Cambria Shareholder Yield ETF Pursuant to NYSE Arca Equities Rule 8.600
34-68930 Feb. 14, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Cambria Shareholder Yield ETF Pursuant to NYSE Arca Equities Rule 8.600
Comments due: March 14, 2013

SR-NYSEArca-2013-13
34-68912 Feb. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 7.11 to establish rules to comply with the requirements of the Plan to Address Extraordinary Market Volatility submitted to the Commission pursuant to Rule 608 of Regulation NMS
Comments due: March 12, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-12
34-68809 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.10, Which Governs Clearly Erroneous Executions, Extending the Effective Date of the Pilot Until September 30, 2013 and Adopting New Paragraph (i) to NYSE Arca Equities Rule 7.10 In Connection With the Upcoming Operation of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act
Comments due: February 28, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-11
34-68898 Feb. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule to Introduce a New Electronic Customer Rate for Certain Executions that Take Liquidity
Comments due: March 8, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-10
34-69340 Apr. 8, 2013 Order Approving, on an Accelerated Basis, Proposed Rule Change, as Modified by Amendment No. 1, Adopting New Exchange Rule 6.65A to Provide for How the Exchange Proposes to Treat Orders, Market-Making Quoting Obligations, and Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility; and Amending Exchange Rule 6.65 to Codify that the Exchange Shall Halt Trading in All Options Overlying NMS Stocks When the Equities Markets Initiate a Market-Wide Trading Halt Due to Extraordinary Market Volatility
34-69032 Mar. 4, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Adopting New Exchange Rule 6.65A to Provide for How the Exchange Proposes to Treat Orders, Market-Making Quoting Obligations, and Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility; and Amending Exchange Rule 6.65 to Codify that the Exchange Shall Halt Trading in All Options Overlying NMS Stocks When the Equities Markets Initiate a Market-Wide Trading Halt Due to Extraordinary Market Volatility
Comments due: March 29, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-09
34-68848 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services
Comments due: March 5, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-08
34-69244 Mar. 27, 2013 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the SPDR Blackstone/GSO Senior Loan ETF under NYSE Arca Equities Rule 8.600
34-68862 Feb. 7, 2013 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the SPDR Blackstone/GSO Senior Loan ETF under NYSE Arca Equities Rule 8.600
Comments due: March 6, 2013

SR-NYSEArca-2013-06
34-68785 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of A Rule Change to Exchange Rule 7.12, Which Provides for Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility, From the Date of February 4, 2013, Until April 8, 2013
Comments due: February 27, 2013

SR-NYSEArca-2013-05
34-68776 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule to Change the Monthly Cost for Option Trading Permits
Comments due: February 27, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-04
34-68758 Jan. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Revise Qualification Thresholds for Tiered Customer Posting Credits
Comments due: February 25, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-02
34-68748 Jan. 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11, which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014
Comments due: February 25, 2013
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-01
34-69061 Mar. 7, 2013 Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of the Newfleet Multi-Sector Income ETF under NYSE Arca Equities Rule 8.600
34-68666 Jan. 16, 2013 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of the Newfleet Multi-Sector Income ETF under NYSE Arca Equities Rule 8.600

 

http://www.sec.gov/rules/sro/nysearca/nysearcaarchive/nysearca2013.shtml


Modified: 05/29/2014