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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 2013
Additional Archives
2013 | 2012
| Release No. |
Date |
Details |
| Second Quarter |
SR-NYSEMKT-2013-12 |
| 34-69608 |
May 20, 2013 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 975NY In Part and Adding a New Section to Address Errors that Involve Complex Orders
Comments due: 21 days after publication in the Federal Register
See also: Notice: Rel. No. 34-68926
 Submit comments on SR-NYSEMKT-2013-12
|
SR-NYSEMKT-2012-58 |
| 34-69575 |
May 14, 2013 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d) - Equities and Related Supplementary Material
Additional File No.: SR-NYSE-2012-57
See also: Notice: Rel. No. 34-68923, Notice: Rel. No. 34-68521, Notice: Rel. No. 34-68186 |
SR-NYSEMKT-2013-40 |
| 34-69553 |
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 Amex Options Market Data
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-40
|
SR-NYSEMKT-2013-35 |
| 34-69524 |
May 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Schedule of the NYSE Amex Options Proprietary Market Data Fees
Comments due: May 31, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-35
|
SR-NYSEMKT-2013-07 |
| 34-69513 |
May 3, 2013 |
Order Granting Approval to Proposed Rule Changes Amending the Attestation Requirement of Rule 107C (NYSE) and 107C - Equities (NYSE MKT) To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
See also: Notice: Rel. No. 34-69187, Notice: Rel. No. 34-68746
|
SR-NYSEMKT-2013-36 |
| 34-69501 |
May 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities to Expand the Availability of Self-Trade Prevention Modifiers
Comments due: May 29, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-NYSEMKT-2013-36
|
SR-NYSEMKT-2013-39 |
| 34-69489 |
May 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule to Modify the Existing Floor Broker Rebate for Executed Qualified Contingent Cross Orders
Comments due: May 28, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-39
|
SR-NYSEMKT-2013-38 |
| 34-69488 |
May 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Fee Schedule for Firms to Increase the Transaction Fee for Certain Proprietary Electronic Executions and to Introduce Volume-Based Tiers for Certain Proprietary Electronic Executions
Comments due: May 28, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-38
|
SR-NYSEMKT-2013-25 |
| 34-69428 |
Apr. 23, 2013 |
Notice of Filing of Proposed Rule Change to amend NYSE MKT Rule 104 - Equities to Codify Certain Traditional Trading Floor Functions that may be Performed by Designated Market Makers to Make Exchange Systems Available to DMMs that would Provide DMMs with Certain Market Information, to Amend the Exchange's Rules Governing the Ability of DMMs to Provide Market Information to Floor Brokers, and to Make Conforming Amendments to Other Rules
Comments due: May 20, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-25
|
SR-NYSEMKT-2013-34 |
| 34-69388 |
Apr. 17, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC (the "Company") In Order To Reflect Changes To the Capital Structure of the Company
Comments due: May 14, 2013
Additional Materials: Exhibit 5A and Exhibit 5B
Submit comments on SR-NYSEMKT-2013-34
|
SR-NYSEMKT-2013-10 |
| 34-69339 |
Apr. 8, 2013 |
Order Approving, on an Accelerated Basis, Proposed Rule Change, as Modified by Amendment No. 1, Adopting Exchange Rule 953.1NY 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 953NY 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. 34-69033
|
SR-NYSEMKT-2013-31 |
| 34-69300 |
Apr. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Certain Fees for the NYSE MKT Trades and NYSE MKT Realtime Reference Prices Market Data Products
Comments due: May 1, 2013
Comments received are available for this proposal.
Submit comments on SR-NYSEMKT-2013-31
|
SR-NYSEMKT-2013-33 |
| 34-69294 |
Apr. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 1000
Comments due: May 1, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-33
|
SR-NYSEMKT-2013-32 |
| 34-69285 |
Apr. 3, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Certain Fees for NYSE MKT OpenBook, NYSE MKT Trades, and NYSE MKT BBO
Comments due: April 30, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-NYSEMKT-2013-32
|
SR-NYSEMKT-2013-30 |
| 34-69273 |
Apr. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Establish the NYSE MKT Trades Digital Media Data Feed and a Schedule of the NYSE MKT Equities Proprietary Market Data Fees
Comments due: April 29, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-30
|
| First Quarter |
SR-NYSEMKT-2013-28 |
| 34-69255 |
Mar. 28, 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 Until March 31, 2014
Comments due: April 24, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-28
|
SR-NYSEMKT-2013-24 |
| 34-69247 |
Mar. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Amex 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.
Submit comments on SR-NYSEMKT-2013-24
|
SR-NYSEMKT-2013-29 |
| 34-69198 |
Mar. 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Definition of Complex Orders, Complex Trades 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
Submit comments on SR-NYSEMKT-2013-29
|
SR-NYSEMKT-2013-07 |
| 34-69187 |
Mar. 20, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Amending the Attestation Requirement of Rules 107C and 107C-Equities, Respectively, To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
See also: Order: Rel. No. 34-69513, Notice: Rel. No. 34-68746
|
SR-NYSEMKT-2013-26 |
| 34-69174 |
Mar. 19, 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
Submit comments on SR-NYSEMKT-2013-26
|
SR-NYSEMKT-2013-23 |
| 34-69131 |
Mar. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of Certain Securities
Comments due: April 9, 2013
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2013-17 |
| 34-69105 |
Mar. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY 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-NYSEMKT-2013-22 |
| 34-69104 |
Mar. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities to Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as well as in an Agency Capacity
Comments due: April 5, 2013
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2013-21 |
| 34-69098 |
Mar. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities to Add Two Self-Trade Prevention Modifiers That May Be Used by Certain Market Participants
Comments due: April 5, 2013
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2013-16 |
| 34-69081 |
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-NYSEMKT-2013-10 |
| 34-69033 |
Mar. 4, 2013 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Adopting Exchange Rule 953.1NY 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 953NY 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. 34-69339
|
SR-NYSEMKT-2013-13 |
| 34-68997 |
Feb. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New York Mercantile Exchange to the Exchange’s Facilities at 20 Broad Street and Amending Rule 6A - Equities, Which Defines the Terms “Trading Floor” and “NYSE Amex Options Trading Floor”
Comments due: March 26, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSEMKT-2013-14 |
| 34-68957 |
Feb. 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20 - Equities and 36.21 - Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, March 29, 2013
Comments due: March 19, 2013
|
SR-NYSEMKT-2013-12 |
| 34-68926 |
Feb. 14, 2013 |
Notice of Filing of Proposed Rule Change Amending Rule 975NY 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: Notice: Rel. No. 34-69608
Submit comments on SR-NYSEMKT-2013-12
|
SR-NYSEMKT-2012-58 |
| 34-68923 |
Feb. 13, 2013 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d) - Equities and Related Supplementary Material
Additional File No.: SR-NYSE-2012-57
Comments due: March 13, 2013
Rebuttal comments due: March 27, 2013
See also: Notice: Rel. No. 34-69575, Notice: Rel. No. 34-68521, Notice: Rel. No. 34-68186 |
SR-NYSEMKT-2013-05 |
| 34-68875 |
Feb. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C -Equities 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 7, 2013
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2013-11 |
| 34-68801 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 128 - Equities, which Governs Clearly Erroneous Executions, Extending the Effective Date of the Pilot Until September 30, 2013 and Adopting New Paragraph (i) to Rule 128-Equities 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 27, 2013
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2013-08 |
| 34-68787 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of A Rule Change to Exchange Rule 80B - Equities, 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-NYSEMKT-2013-07 |
| 34-68746 |
Jan. 28, 2013 |
Notice of Filing of Proposed Rule Change Amending the Attestation Requirement of Rule 107C - Equities To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
Comments due: February 25, 2013
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-69513, Notice: Rel. No. 34-69187
Comments received are available for this proposal.
|
SR-NYSEMKT-2013-04 |
| 34-68744 |
Jan. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 80C - Equities, 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-NYSEMKT-2013-02 |
| 34-68710 |
Jan. 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C - Equities to Allow Retail Liquidity Providers to Enter Retail Price Improvement Orders in a Non-RLP Capacity for Securities to Which the RLP is Not Assigned
Comments due: February 19, 2013
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2013-06 |
| 34-68705 |
Jan. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of Those Aspects of Rules 36.20 - Equities and 36.21 - Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, February 15, 2013
Comments due: February 19, 2013
|
SR-NYSEMKT-2012-48 |
| 34-68637 |
Jan. 11, 2013 |
Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval for Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, to Amend the Listing Rules for Compensation Committees to 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. 34-68007
|
SR-NYSEMKT-2013-01 |
| 34-68630 |
Jan. 11, 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 7, 2013
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2012-89 |
| 34-68589 |
Jan. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule 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-NYSEMKT-2012-86 |
| 34-68561 |
Jan. 2, 2013 |
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 ("Nasdaq") Securities to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: January 29, 2013
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2012-84 |
| 34-68559 |
Jan. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2013
Comments due: January 29, 2013
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2012-85 |
| 34-68557 |
Jan. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of its Supplemental Liquidity Providers Pilot (Rule 107B - Equities) Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 2013
Comments due: January 29, 2013
Additional Materials: Exhibit 5
|
| NYSEMKT File Number List for 2013 |
| Release No. |
Date |
Details |
SR-NYSEMKT-2013-40 |
| 34-69553 |
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 Amex Options Market Data
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-40
|
SR-NYSEMKT-2013-39 |
| 34-69489 |
May 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule to Modify the Existing Floor Broker Rebate for Executed Qualified Contingent Cross Orders
Comments due: May 28, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-39
|
SR-NYSEMKT-2013-38 |
| 34-69488 |
May 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Fee Schedule for Firms to Increase the Transaction Fee for Certain Proprietary Electronic Executions and to Introduce Volume-Based Tiers for Certain Proprietary Electronic Executions
Comments due: May 28, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-38
|
SR-NYSEMKT-2013-36 |
| 34-69501 |
May 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities to Expand the Availability of Self-Trade Prevention Modifiers
Comments due: May 29, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-NYSEMKT-2013-36
|
SR-NYSEMKT-2013-35 |
| 34-69524 |
May 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Schedule of the NYSE Amex Options Proprietary Market Data Fees
Comments due: May 31, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-35
|
SR-NYSEMKT-2013-34 |
| 34-69388 |
Apr. 17, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC (the "Company") In Order To Reflect Changes To the Capital Structure of the Company
Comments due: May 14, 2013
Additional Materials: Exhibit 5A and Exhibit 5B
Submit comments on SR-NYSEMKT-2013-34
|
SR-NYSEMKT-2013-33 |
| 34-69294 |
Apr. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 1000
Comments due: May 1, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-33
|
SR-NYSEMKT-2013-32 |
| 34-69285 |
Apr. 3, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Certain Fees for NYSE MKT OpenBook, NYSE MKT Trades, and NYSE MKT BBO
Comments due: April 30, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-NYSEMKT-2013-32
|
SR-NYSEMKT-2013-31 |
| 34-69300 |
Apr. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Certain Fees for the NYSE MKT Trades and NYSE MKT Realtime Reference Prices Market Data Products
Comments due: May 1, 2013
Comments received are available for this proposal.
Submit comments on SR-NYSEMKT-2013-31
|
SR-NYSEMKT-2013-30 |
| 34-69273 |
Apr. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Establish the NYSE MKT Trades Digital Media Data Feed and a Schedule of the NYSE MKT Equities Proprietary Market Data Fees
Comments due: April 29, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-30
|
SR-NYSEMKT-2013-29 |
| 34-69198 |
Mar. 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Definition of Complex Orders, Complex Trades 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
Submit comments on SR-NYSEMKT-2013-29
|
SR-NYSEMKT-2013-28 |
| 34-69255 |
Mar. 28, 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 Until March 31, 2014
Comments due: April 24, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-28
|
SR-NYSEMKT-2013-26 |
| 34-69174 |
Mar. 19, 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
Submit comments on SR-NYSEMKT-2013-26
|
SR-NYSEMKT-2013-25 |
| 34-69428 |
Apr. 23, 2013 |
Notice of Filing of Proposed Rule Change to amend NYSE MKT Rule 104 - Equities to Codify Certain Traditional Trading Floor Functions that may be Performed by Designated Market Makers to Make Exchange Systems Available to DMMs that would Provide DMMs with Certain Market Information, to Amend the Exchange's Rules Governing the Ability of DMMs to Provide Market Information to Floor Brokers, and to Make Conforming Amendments to Other Rules
Comments due: May 20, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-25
|
SR-NYSEMKT-2013-24 |
| 34-69247 |
Mar. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Amex 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.
Submit comments on SR-NYSEMKT-2013-24
|
SR-NYSEMKT-2013-23 |
| 34-69131 |
Mar. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of Certain Securities
Comments due: April 9, 2013
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2013-22 |
| 34-69104 |
Mar. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities to Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as well as in an Agency Capacity
Comments due: April 5, 2013
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2013-21 |
| 34-69098 |
Mar. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities to Add Two Self-Trade Prevention Modifiers That May Be Used by Certain Market Participants
Comments due: April 5, 2013
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2013-17 |
| 34-69105 |
Mar. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY 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-NYSEMKT-2013-16 |
| 34-69081 |
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-NYSEMKT-2013-14 |
| 34-68957 |
Feb. 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20 - Equities and 36.21 - Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, March 29, 2013
Comments due: March 19, 2013
|
SR-NYSEMKT-2013-13 |
| 34-68997 |
Feb. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New York Mercantile Exchange to the Exchange’s Facilities at 20 Broad Street and Amending Rule 6A - Equities, Which Defines the Terms “Trading Floor” and “NYSE Amex Options Trading Floor”
Comments due: March 26, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSEMKT-2013-12 |
| 34-69608 |
May 20, 2013 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 975NY In Part and Adding a New Section to Address Errors that Involve Complex Orders
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NYSEMKT-2013-12
|
| 34-68926 |
Feb. 14, 2013 |
Notice of Filing of Proposed Rule Change Amending Rule 975NY In Part and Adding a New Section to Address Errors That Involve Complex Orders
Comments due: March 14, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-12
|
SR-NYSEMKT-2013-11 |
| 34-68801 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 128 - Equities, which Governs Clearly Erroneous Executions, Extending the Effective Date of the Pilot Until September 30, 2013 and Adopting New Paragraph (i) to Rule 128-Equities 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 27, 2013
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2013-10 |
| 34-69339 |
Apr. 8, 2013 |
Order Approving, on an Accelerated Basis, Proposed Rule Change, as Modified by Amendment No. 1, Adopting Exchange Rule 953.1NY 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 953NY 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
|
| 34-69033 |
Mar. 4, 2013 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Adopting Exchange Rule 953.1NY 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 953NY 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
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SR-NYSEMKT-2013-08 |
| 34-68787 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of A Rule Change to Exchange Rule 80B - Equities, 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
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SR-NYSEMKT-2013-07 |
| 34-69513 |
May 3, 2013 |
Order Granting Approval to Proposed Rule Changes Amending the Attestation Requirement of Rule 107C (NYSE) and 107C - Equities (NYSE MKT) To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
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| 34-69187 |
Mar. 20, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Amending the Attestation Requirement of Rules 107C and 107C-Equities, Respectively, To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
| | 34-68746 |
Jan. 28, 2013 |
Notice of Filing of Proposed Rule Change Amending the Attestation Requirement of Rule 107C - Equities To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
Comments due: February 25, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
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SR-NYSEMKT-2013-06 |
| 34-68705 |
Jan. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of Those Aspects of Rules 36.20 - Equities and 36.21 - Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, February 15, 2013
Comments due: February 19, 2013
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SR-NYSEMKT-2013-05 |
| 34-68875 |
Feb. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C -Equities 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 7, 2013
Additional Materials: Exhibit 5
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SR-NYSEMKT-2013-04 |
| 34-68744 |
Jan. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 80C - Equities, 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
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SR-NYSEMKT-2013-02 |
| 34-68710 |
Jan. 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C - Equities to Allow Retail Liquidity Providers to Enter Retail Price Improvement Orders in a Non-RLP Capacity for Securities to Which the RLP is Not Assigned
Comments due: February 19, 2013
Additional Materials: Exhibit 5
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SR-NYSEMKT-2013-01 |
| 34-68630 |
Jan. 11, 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 7, 2013
Additional Materials: Exhibit 5
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http://www.sec.gov/rules/sro/nysemkt.shtml
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