SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


NYSE MKT LLC Rulemaking

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

Chronological List
First Quarter

NYSE MKT File Number List for 2016

Additional Archives

Chronological List
Release No. Date Details
First Quarter

SR-NYSEMKT-2016-02
34-77120 Feb. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-location Services Offered by the Exchange to Include a Means for Co-located Users to Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-23
34-77110 Feb. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Amex Options Deep Market Data Product
Comments due: 21 days after publication in the Federal Register

SR-NYSEMKT-2016-18
34-77106 Feb. 10, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-19
34-77085 Feb. 9, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 990NY(8) to Correct a Typographical Error
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-14
34-77074 Feb. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .10 to Rule 103B – Equities to Provide that Any Senior Official of a Listed Company with the Rank of Corporate Secretary or Higher can Sign the Written Request of a Listed Company Seeking to Change Its Designated Market Maker Unit
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-89
34-77071 Feb. 5, 2016 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, to Provide that the Co-location Services Offered by the Exchange include Three Time Feeds and Four Partial Cabinet Bundle Options
Comments due: 21 days after publication in the Federal Register

SR-NYSEMKT-2015-56
34-77047 Feb. 3, 2016 Notice of Withdrawal of Proposed Rule Changes Amending the NYSE Trades Market Data and NYSE MKT Trades Market Data Product Offerings
Additional File No.: SR-NYSE-2015-31
See also: Notice: Rel. No. 34-75556, Notice: Rel. No. 34-75937, Notice: Rel. No. 34-75559

SR-NYSEMKT-2015-106
34-77008 Feb. 1, 2016 Order Approving Proposed Rule Change Amending the Seventh Amended and Restated Operating Agreement of the Exchange to Establish a Committee for Review as a Sub-Committee of the ROC and Make Conforming Changes to Rules and the NYSE MKT Company Guide
See also: Notice: Rel. No. 34-76638

SR-NYSEMKT-2016-16
34-77014 Feb. 2, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain of Its Rules Related to Binary Return Derivatives Contracts
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-12
34-76996 Jan. 28, 2016 Notice of Filing of Proposed Rule Change Amending the NYSE MKT Company Guide to Create a New Section 146 Under Which a Certain Category of Newly Listed Issuers Would Be Entitled to Receive Complimentary Products and Services from the Exchange
Comments due: February 24, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-10
34-76992 Jan. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule to Add an Early Adopter Specialist Credit
Comments due: February 24, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-80
34-76982 Jan. 28, 2016 Order Approving a Proposed Rule Change Deleting Rule 410B – Equities Governing Reporting Requirements for Off-Exchange Transactions
See also: Notice: Rel. No. 34-76276, Notice: Rel. No. 34-76669

SR-NYSEMKT-2016-11
34-76975 Jan. 26, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE MKT Integrated Feed
Comments due: February 22, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-09
34-76935 Jan. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule
Comments due: February 16, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-05
34-76911 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT Order Imbalances
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-07
34-76907 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132.30(9) – Equities to Conform the Exchange’s Rules to Industry-Wide Standards for Recording the Capacity in Which a Member Organization Executes a Transaction
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-04
34-76906 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT BBO and NYSE MKT Trades
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-03
34-76901 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT OpenBook
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-113
34-76889 Jan. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Market Data Fees for the NYSE Amex Options Product
Comments due: February 10, 2016
Additional Materials: Exhibit 5


NYSEMKT File Number List for 2016
Release No. Date Details

SR-NYSEMKT-2016-23
34-77110 Feb. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Amex Options Deep Market Data Product
Comments due: 21 days after publication in the Federal Register

SR-NYSEMKT-2016-19
34-77085 Feb. 9, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 990NY(8) to Correct a Typographical Error
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-18
34-77106 Feb. 10, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-16
34-77014 Feb. 2, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain of Its Rules Related to Binary Return Derivatives Contracts
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-14
34-77074 Feb. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .10 to Rule 103B – Equities to Provide that Any Senior Official of a Listed Company with the Rank of Corporate Secretary or Higher can Sign the Written Request of a Listed Company Seeking to Change Its Designated Market Maker Unit
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-12
34-76996 Jan. 28, 2016 Notice of Filing of Proposed Rule Change Amending the NYSE MKT Company Guide to Create a New Section 146 Under Which a Certain Category of Newly Listed Issuers Would Be Entitled to Receive Complimentary Products and Services from the Exchange
Comments due: February 24, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-11
34-76975 Jan. 26, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE MKT Integrated Feed
Comments due: February 22, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-10
34-76992 Jan. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule to Add an Early Adopter Specialist Credit
Comments due: February 24, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-09
34-76935 Jan. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule
Comments due: February 16, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-07
34-76907 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132.30(9) – Equities to Conform the Exchange’s Rules to Industry-Wide Standards for Recording the Capacity in Which a Member Organization Executes a Transaction
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-05
34-76911 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT Order Imbalances
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-04
34-76906 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT BBO and NYSE MKT Trades
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-03
34-76901 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT OpenBook
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-02
34-77120 Feb. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-location Services Offered by the Exchange to Include a Means for Co-located Users to Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

 

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


Modified: 02/05/2016