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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
Second Quarter |  First Quarter

NYSE MKT File Number List for 2014

Additional Archives

Chronological List
Release No. Date Details
Second Quarter

SR-NYSEMKT-2014-35
34-71966 Apr. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY (Orders Defined) to Remove the Size Restriction on Contra-Party Participation on a Qualified Contingent Cross Order
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-06
34-71957 Apr. 16, 2014 Order Granting Approval of a Proposed Rule Change Amending Section 17, which are Rules Applicable to Securities known as Fixed Return Options, to Reflect a Name Change to Binary Return Derivatives, a Change to the Calculation of the Settlement Price, Updating Rule References, Adding New Text for ByRDs Series Available for Trading, Amending the Quoting and Trading Increment Applicable to ByRDs, and Adding a New Paragraph 8 to Rule 975NY(a) and Amending Rule 975NY(d)(1) to Address Obvious Errors in ByRDs
See also: Notice: Rel. No. 34-71613

SR-NYSEMKT-2014-32
34-71952 Apr. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes to Amend Certain of its NYSE MKT Equities Rule Series (500 through 525) to Permit Additional Securities to be Admitted to Dealings on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-31
34-71870 Apr. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 953.1NY(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility, until February 20, 2015
Comments due: April 30, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-30
34-71934 Apr. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Professional User Fees for NYSE Amex Options Market Data, Operative on April 1, 2014
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-29
34-71889 Apr. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List for Certain Executions at the Opening
Comments due: May 2, 2014
Additional Materials: Exhibit 5
Second Quarter

SR-NYSEMKT-2014-28
34-71820 Mar. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128 - Equities, Entitled "Clearly Erroneous Executions For Equities"
Comments due: April 23, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-27
34-71898 Apr. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities Governing Pegging Interest
Comments due: May 5, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-26
34-71844 Apr. 1, 2014 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 Opening Transactions in New Series of Flexible Exchange Options
Comments due: April 28, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-21
34-71840 Apr. 1, 2014 Notice of Filing of Proposed Rule Change to Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quotes
Comments due: April 28, 2014
Additional Materials:  Exhibit 3, Exhibit 5

SR-NYSEMKT-2014-22
34-71838 Apr. 1, 2014 Notice of Filing of Proposed Rule Change Amending Rule 98 - Equities to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
Comments due: April 28, 2014
Additional Materials:  Exhibit 5
First Quarter

SR-NYSEMKT-2014-28
34-71820 Mar. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128 - Equities, Entitled "Clearly Erroneous Executions For Equities"
Comments due: April 23, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-23
34-71817 Mar. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY to Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order
Comments due: April 23, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-20
34-71749 Mar. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Short-Term Option Series Program
Comments due: April 15, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-19
34-71730 Mar. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Specify Pricing Applicable to Executions of Mid-Point Passive Liquidity Orders Against Retail Orders Within the Retail Liquidity Program
Comments due: April 14, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-08
34-71728 Mar. 14, 2014 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Amending Various Sections of Both the Limited Liability Company Agreement of NYSE Amex Options LLC Dated as of June 29, 2011 and the Members Agreement Dated as of June 29, 2011 By and Among the Company, NYSE MKT, NYSE Euronext, Banc of America Strategic Investments Corporation, Barclays Electronic Commerce Holdings Inc., Citadel Securities LLC, Citigroup Financial Strategies, Inc., Goldman, Sachs & Co., Datek Online Management Corp. and UBS Americas Inc. In Order to Make Certain Technical Changes Within the Aforementioned Agreements
See also:  Notice: Rel. No. 34-71408

SR-NYSEMKT-2014-10
34-71721 Mar. 13, 2014 Order Granting Approval of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange, Inc.
Additional File Nos.: SR-NYSE-2014-04, SR-NYSEArca-2014-08
See also:  Notice: Rel. No. 34-71395

SR-NYSEMKT-2014-17
34-71655 Mar. 5, 2014 Notice of Filing of Proposed Rule Change Adopting Rule 971.1NY for An Electronic Price Improvement Auction for Single-Leg Orders
Comments due: April 1, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-05
34-71630 Feb. 27, 2014 Order Granting Approval of Proposed Rule Change Amending Its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange
See also:  Notice: Rel. No. 34-71294

SR-NYSEMKT-2013-91
34-71609 Feb. 25, 2014 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Rebuttal comments due: April 7, 2014
Additional File No.: SR-NYSE-2013-72
See also:  Notice: Rel. No. 34-71267, Notice: Rel. No. 34-70910

SR-NYSEMKT-2014-06
34-71613 Feb. 25, 2014 Notice of Filing of Proposed Rule Change Amending Section 17, which are Rules Applicable to Securities known as Fixed Return Options, to Reflect a Name Change to Binary Return Derivatives, a Change to the Calculation of the Settlement Price, Updating Rule References, Adding New Text for ByRDs Series Available for Trading, Amending the Quoting and Trading Increment Applicable to ByRDs, and Adding a New Paragraph 8 to Rule 975NY(a) and Amending Rule 975NY(b)(1) to Address Obvious Errors in ByRDs
Comments due: March 24, 2014
Additional Materials:  Exhibit 5
See also: Order: Rel. No. 34-71957

SR-NYSEMKT-2014-12
34-71532 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule by Adopting a Market Access and Connectivity Subsidy
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-16
34-71531 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule in A Number of Different Ways
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-15
34-71487 Feb. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities to Modify The Manner By Which MPL-ALO Orders Trade When Triggered By Arriving Interest
Comments due: March 4, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-13
34-71453 Jan. 31, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Increase the Fee for Executions in New York Stock Exchange Crossing Session II
Comments due: February 27, 2014

SR-NYSEMKT-2014-11
34-71451 Jan. 31, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Introduce Fees and Credits for A New Order Type Called a Midpoint Passive Liquidity Order
Comments due: February 27, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-09
34-71410 Jan. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Its Options Regulatory Fee
Comments due: February 21, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-08
34-71408 Jan. 27, 2014 Notice of Filing of Proposed Rule Change Amending Various Sections of Both the Limited Liability Company Agreement of NYSE Amex Options LLC Dated as of June 29, 2011 and the Members Agreement Dated as of June 29, 2011 By and Among the Company, NYSE MKT, NYSE Euronext, Banc of America Strategic Investments Corporation, Barclays Electronic Commerce Holdings Inc., Citadel Securities LLC, Citigroup Financial Strategies, Inc., Goldman, Sachs & Co., Datek Online Management Corp. and UBS Americas Inc. In Order to Make Certain Technical Changes Within the Aforementioned Agreements
Comments due: February 21, 2014
Additional Materials:  Exhibit 5A, Exhibit 5B, and Exhibit 5C
See also:  Order: Rel. No. 34-71728

SR-NYSEMKT-2014-10
34-71395 Jan. 24, 2014 Notice of Filing of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange, Inc.
Comments due: February 20, 2014
Additional Materials:  Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D1, Exhibit 5D2, Exhibit 5E, and Exhibit 5F
See also:  Order: Rel. No. 34-71721

SR-NYSEMKT-2014-01
34-71363 Jan. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500 - Equities to Extend the Operation of the Pilot Program that Allows Nasdaq Stock Market Securities to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of a Permanent Approval or July 31, 2014
Comments due: February 18, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-03
34-71361 Jan. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend the Operation of its Supplemental Liquidity Providers Pilot, Currently Scheduled to Expire on January 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or July 31, 2014
Comments due: February 18, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-02
34-71342 Jan. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend the Operation of its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or July 31, 2014
Comments due: February 14, 2014

SR-NYSEMKT-2013-84
34-71329 Jan. 16, 2014 Order Approving Proposed Rule Change Amending NYSE MKT Rules 13 - Equities, 70.25 - Equities, 107C - Equities and 1000 - Equities to Adopt a New Order Type Called a Midpoint Passive Liquidity Order
See also:  Notice: Rel. No. 34-70955

SR-NYSEMKT-2014-05
34-71294 Jan. 14, 2014 Notice of Filing of Proposed Rule Change Amending its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange
Comments due: February 11, 2014
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-71630

SR-NYSEMKT-2014-04
34-71275 Jan. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule for Firms to Increase the Transaction Fee for Certain Proprietary Electronic Executions of Standard Option Contracts that Fall Within the First of the Volume-Based Tiers for Certain Proprietary Electronic Executions of Standard Option Contracts
Comments due: February 5, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2013-91
34-71267 Jan. 9, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Additional File No.: SR-NYSE-2013-72
See also:  Notice: Rel. No. 34-70910

SR-NYSEMKT-2013-106
34-71252 Jan. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 928NY 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-NYSEMKT-2013-107
34-71245 Jan. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C(7)(b) - Equities to Provide that G Orders with A Price Equal to the Closing Price Are the Last Interest Eligible To Be Used to Offset A Closing Imbalance
Comments due: February 3, 2014

SR-NYSEMKT-2013-86
34-71222 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 980NY to Limit the Volume of Complex Orders by a Single ATP Holder During the Trading Day
Comments due: 
Comments due: January 29, 2014
See also:  Notice: Rel. No. 34-71183, Notice: Rel. No. 34-70816


NYSEMKT File Number List for 2014
Release No. Date Details

SR-NYSEMKT-2014-35
34-71966 Apr. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY (Orders Defined) to Remove the Size Restriction on Contra-Party Participation on a Qualified Contingent Cross Order
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-32
34-71952 Apr. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes to Amend Certain of its NYSE MKT Equities Rule Series (500 through 525) to Permit Additional Securities to be Admitted to Dealings on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-31
34-71870 Apr. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 953.1NY(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility, until February 20, 2015
Comments due: April 30, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-30
34-71934 Apr. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Professional User Fees for NYSE Amex Options Market Data, Operative on April 1, 2014
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-29
34-71889 Apr. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List for Certain Executions at the Opening
Comments due: May 2, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-28
34-71820 Mar. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128 - Equities, Entitled "Clearly Erroneous Executions For Equities"
Comments due: April 23, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-27
34-71898 Apr. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities Governing Pegging Interest
Comments due: May 5, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-26
34-71844 Apr. 1, 2014 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 Opening Transactions in New Series of Flexible Exchange Options
Comments due: April 28, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-25
34-71878 Apr. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Introduce a New Credit for Certain Retail Providing Liquidity on the Exchange
Comments due: May 1, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-NYSEMKT-2014-25

SR-NYSEMKT-2014-23
34-71817 Mar. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY to Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order
Comments due: April 23, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-22
34-71838 Apr. 1, 2014 Notice of Filing of Proposed Rule Change Amending Rule 98 - Equities to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
Comments due: April 28, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-21
34-71840 Apr. 1, 2014 Notice of Filing of Proposed Rule Change to Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quotes
Comments due: April 28, 2014
Additional Materials:  Exhibit 3, Exhibit 5

SR-NYSEMKT-2014-20
34-71749 Mar. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Short-Term Option Series Program
Comments due: April 15, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-19
34-71730 Mar. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Specify Pricing Applicable to Executions of Mid-Point Passive Liquidity Orders Against Retail Orders Within the Retail Liquidity Program
Comments due: April 14, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-17
34-71655 Mar. 5, 2014 Notice of Filing of Proposed Rule Change Adopting Rule 971.1NY for An Electronic Price Improvement Auction for Single-Leg Orders
Comments due: April 1, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-16
34-71531 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule in A Number of Different Ways
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-15
34-71487 Feb. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities to Modify The Manner By Which MPL-ALO Orders Trade When Triggered By Arriving Interest
Comments due: March 4, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-13
34-71453 Jan. 31, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Increase the Fee for Executions in New York Stock Exchange Crossing Session II
Comments due: February 27, 2014

SR-NYSEMKT-2014-12
34-71532 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule by Adopting a Market Access and Connectivity Subsidy
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-11
34-71451 Jan. 31, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Introduce Fees and Credits for A New Order Type Called a Midpoint Passive Liquidity Order
Comments due: February 27, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-10
34-71721 Mar. 13, 2014 Order Granting Approval of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange, Inc.
Additional File Nos.: SR-NYSE-2014-04, SR-NYSEArca-2014-08
34-71395 Jan. 24, 2014 Notice of Filing of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange, Inc.
Comments due: February 20, 2014
Additional Materials:  Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D1, Exhibit 5D2, Exhibit 5E, and Exhibit 5F

SR-NYSEMKT-2014-09
34-71410 Jan. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Its Options Regulatory Fee
Comments due: February 21, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-08
34-71728 Mar. 14, 2014 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Amending Various Sections of Both the Limited Liability Company Agreement of NYSE Amex Options LLC Dated as of June 29, 2011 and the Members Agreement Dated as of June 29, 2011 By and Among the Company, NYSE MKT, NYSE Euronext, Banc of America Strategic Investments Corporation, Barclays Electronic Commerce Holdings Inc., Citadel Securities LLC, Citigroup Financial Strategies, Inc., Goldman, Sachs & Co., Datek Online Management Corp. and UBS Americas Inc. In Order to Make Certain Technical Changes Within the Aforementioned Agreements
34-71408 Jan. 27, 2014

Notice of Filing of Proposed Rule Change Amending Various Sections of Both the Limited Liability Company Agreement of NYSE Amex Options LLC Dated as of June 29, 2011 and the Members Agreement Dated as of June 29, 2011 By and Among the Company, NYSE MKT, NYSE Euronext, Banc of America Strategic Investments Corporation, Barclays Electronic Commerce Holdings Inc., Citadel Securities LLC, Citigroup Financial Strategies, Inc., Goldman, Sachs & Co., Datek Online Management Corp. and UBS Americas Inc. In Order to Make Certain Technical Changes Within the Aforementioned Agreements
Comments due: February 21, 2014
Additional Materials:  Exhibit 5A, Exhibit 5B, and Exhibit 5C


SR-NYSEMKT-2014-06
34-71957 Apr. 16, 2014 Order Granting Approval of a Proposed Rule Change Amending Section 17, which are Rules Applicable to Securities known as Fixed Return Options, to Reflect a Name Change to Binary Return Derivatives, a Change to the Calculation of the Settlement Price, Updating Rule References, Adding New Text for ByRDs Series Available for Trading, Amending the Quoting and Trading Increment Applicable to ByRDs, and Adding a New Paragraph 8 to Rule 975NY(a) and Amending Rule 975NY(d)(1) to Address Obvious Errors in ByRDs
34-71613 Feb. 25, 2014 Notice of Filing of Proposed Rule Change Amending Section 17, which are Rules Applicable to Securities known as Fixed Return Options, to Reflect a Name Change to Binary Return Derivatives, a Change to the Calculation of the Settlement Price, Updating Rule References, Adding New Text for ByRDs Series Available for Trading, Amending the Quoting and Trading Increment Applicable to ByRDs, and Adding a New Paragraph 8 to Rule 975NY(a) and Amending Rule 975NY(b)(1) to Address Obvious Errors in ByRDs
Comments due: March 24, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-05
34-71630 Feb. 27, 2014 Order Granting Approval of Proposed Rule Change Amending Its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange
34-71294 Jan. 14, 2014 Notice of Filing of Proposed Rule Change Amending its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange
Comments due: February 11, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-04
34-71275 Jan. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule for Firms to Increase the Transaction Fee for Certain Proprietary Electronic Executions of Standard Option Contracts that Fall Within the First of the Volume-Based Tiers for Certain Proprietary Electronic Executions of Standard Option Contracts
Comments due: February 5, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-03
34-71361 Jan. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend the Operation of its Supplemental Liquidity Providers Pilot, Currently Scheduled to Expire on January 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or July 31, 2014
Comments due: February 18, 2014
Additional Materials:  Exhibit 5

SR-NYSEMKT-2014-02
34-71342 Jan. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend the Operation of its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or July 31, 2014
Comments due: February 14, 2014

SR-NYSEMKT-2014-01
34-71363 Jan. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500 - Equities to Extend the Operation of the Pilot Program that Allows Nasdaq Stock Market Securities to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of a Permanent Approval or July 31, 2014
Comments due: February 18, 2014
Additional Materials:  Exhibit 5

 

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


Modified: 04/18/2014