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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
First Quarter

NYSE MKT File Number List for 2015

Additional Archives

Chronological List
Release No. Date Details
First Quarter

SR-NYSEMKT-2015-06
34-74127 Jan. 23, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE MKT Integrated Feed Data Feed
Comments due: 21 days after publication in the Federal Register

SR-NYSEMKT-2015-05
34-74094 Jan. 20, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C - Equities to Specify that Exchange Systems May Close One or More Securities Electronically if a Designated Market Maker Registered in a Security or Securities Cannot Facilitate the Close of Trading as Required by Exchange Rules
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-86
34-74087 Jan. 16, 2015 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Remove the Exchange's Quote Mitigation Plan as Provided by Exchange Rule 970.1NY
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
See also:  Notice: Rel. No. 34-73718, Notice: Rel. No. 34-73367

SR-NYSEMKT-2015-04
34-74086 Jan. 16, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials:   Exhibit 5A, Exhibit 5B

SR-NYSEMKT-2015-01
34-74083 Jan. 16, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 140 and 141 of The NYSE MKT Company Guide to Adopt A New Flat Annual Fee of $5,000 for Listed Warrants
Comments due: 21 days after publication in the Federal Register

SR-NYSEMKT-2015-02
34-74064 Jan. 15, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Price Protection Mechanism to Prevent the Automatic Execution of Incoming Market Orders and Marketable Limit Orders Outside a Specified Parameter and Eliminate Liquidity Replenishment Points and the Gap Quote Policy
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-97
34-74036 Jan. 12, 2015 Order Approving Proposed Rule Change Amending Rules 311 - Equities and 313 - Equities to Add Limited Liability Companies as Eligible Member Organizations and Delineate the Information Limited Liability Companies Must Submit to the Exchange as Part of the Membership Process; Eliminate the Requirement that a Member Corporation Be Created or Organized, and Maintain its Principal Place of Business, in the United States; and Make Additional Related Amendments to Update Its Membership Rules
See also: Notice: Rel. No. 34-73671

SR-NYSEMKT-2014-116
34-74017 Jan. 8, 2015 Notice of Filing of Proposed Rule Change to Amend Rule 967NY and to Adopt Rule 967.1NY to Provide Price Protection for Market Maker Quotes
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-114
34-73995 Jan. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT Order Imbalances
Comments due: February 2, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-108
34-73991 Jan. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Eliminate Transaction Fees for Midpoint Passive Liquidity Orders that Remove Liquidity from the Exchange and that Are Designated with a "Retail" Modifier as Defined in Rule 13 - Equities
Comments due: February 2, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-115
34-73987 Jan. 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT OpenBook MKT Order Imbalances
Comments due: January 30, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-113
34-73986 Jan. 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT BBO and NYSE MKT Trades
Comments due: January 30, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-117
34-73976 Jan. 2, 2015 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, 2016
Comments due: January 28, 2015
Additional Materials: Exhibit 5


NYSEMKT File Number List for 2015
Release No. Date Details

SR-NYSEMKT-2015-06
34-74127 Jan. 23, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE MKT Integrated Feed Data Feed
Comments due: 21 days after publication in the Federal Register

SR-NYSEMKT-2015-05
34-74094 Jan. 20, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C - Equities to Specify that Exchange Systems May Close One or More Securities Electronically if a Designated Market Maker Registered in a Security or Securities Cannot Facilitate the Close of Trading as Required by Exchange Rules
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-04
34-74086 Jan. 16, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials:   Exhibit 5A, Exhibit 5B

SR-NYSEMKT-2015-02
34-74064 Jan. 15, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Price Protection Mechanism to Prevent the Automatic Execution of Incoming Market Orders and Marketable Limit Orders Outside a Specified Parameter and Eliminate Liquidity Replenishment Points and the Gap Quote Policy
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-01
34-74083 Jan. 16, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 140 and 141 of The NYSE MKT Company Guide to Adopt A New Flat Annual Fee of $5,000 for Listed Warrants
Comments due: 21 days after publication in the Federal Register

 

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


Modified: 01/26/2015