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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
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

NYSE MKT File Number List for 2014

Additional Archives

Chronological List
Release No. Date Details
Fourth Quarter

SR-NYSEMKT-2014-97
34-73671 Nov. 21, 2014 Notice of Filing of 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
Comments due: 21 days after publication in the Federal Register

SR-NYSEMKT-2014-81
34-73669 Nov. 21, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Rule 902.1NY to Authorize the Exchange to Share Any User-Designated Risk Settings in Exchange Systems with the Clearing Member that Clears Transactions on Behalf of the User
See also: Notice: Rel. No. 34-73280

SR-NYSEMKT-2014-93
34-73640 Nov. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Rules Concerning Supervision to Harmonize the Rules with Certain Financial Industry Regulatory Authority, Inc. Rules and Making Other Conforming Changes
Comments due: 21 days after publication in the Federal Register

SR-NYSEMKT-2014-96
34-73620 Nov. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE MKT LLC Equities Proprietary Market Data Fee Schedule ("Market Data Fee Schedule") Regarding Non-Display Use Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-95
34-73593 Nov. 14, 2014 Notice of Filing of Proposed Rule Change Amending Rule 13 - Equities and Related Rules Governing Order Types and Modifiers to Clarify the Nature of Order Types
Comments due: December 11, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2014-94
34-73589 Nov. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fees for the NYSE ArcaBook for Amex Options Complex Feed and a Change to the NYSE Amex Options Proprietary Market Data Fee Schedule ("Market Data Fee Schedule") Regarding Non-Display Use Fees
Comments due: December 10, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-14
34-73544 Nov. 6, 2014 Notice of Filing of Proposed Rule Change Amending Rule 967NY to Enhance the Functionality of the Trade Collar Protection Mechanism
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-87
34-73542 Nov. 6, 2014 Notice of Filing of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Add a Service Fee for Certain Post Trade Adjustments Performed by the Exchange to be Effective December 1, 2014
Comments due: December 4, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-92
34-73490 Oct. 31, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Modify the Fees Related to the Use of ports that Provide Connectivity to the Exchange's Trading Systems for Entry of Orders and/or Quotes
Comments due: November 28, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-83
34-73372 Oct. 16, 2014 Notice of Filing of Proposed Rule Change in Connection with the Proposed Termination of the Amended and Restated Trust Agreement, dated as of November 13, 2013 and Amended on June 2, 2014 by and Among NYSE Holdings LLC, a Delaware Limited Liability Company, NYSE Group, Inc., a Delaware Corporation, Wilmington Trust Company, as Delaware Trustee, and each of Jacques de Larosière de Champfeu, Alan Trager and John Shepard Reed, as Trustees
Comments due: November 12, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2014-86
34-73367 Oct. 15, 2014 Notice of Filing of Proposed Rule Change Modifying Its Quote Mitigation Plan and Amending Rule 970NY and Rule 970.1NY
Comments due: November 12, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-89
34-73353 Oct. 15, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Amend Certain of its Rules to Remove and Replace Obsolete References to Fixed Return Options with the Updated References to Binary Return Derivatives Contracts.
Comments due: November 12, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-77
34-73351 Oct. 15, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 - Equities to Specify that Exchange Systems Can Publish Pre-Opening Indications and To Extend the Time Order Imbalance Information is Disseminated When An Opening is Delayed
Comments due: November 12, 2014

SR-NYSEMKT-2014-88
34-73346 Oct. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Amendments to Reflect Recent Deletion of Rule 343 - Equities
Comments due: November 10, 2014

SR-NYSEMKT-2014-56
34-73333 Oct. 9, 2014 Order Approving Proposed Rule Changes Amending Exchange Rule 13 to Make the Add Liquidity Only Modifier Available for Limit Orders, and Make the Day Time-In-Force Condition and Add Liquidity Only Modifier Available for Intermarket Sweep Orders
Additional File No.: SR-NYSE-2014-32
See also:  Notice: Rel. No. 34-72894, Notice: Rel. No. 34-72547

SR-NYSEMKT-2014-85
34-73302 Oct. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change that Constitutes a Stated Interpretation with Respect to The Meaning, Administration, and Enforcement of Rule 46 - Equities
Comments due: October 31, 2014

SR-NYSEMKT-2014-84
34-73284 Oct. 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 900.2NY to Codify the Terms Complex BBO and Complex NBBO and To Amend Exchange Rule 900.3NY(w) to Revise the Definition of a PNP Plus Order
Comments due: October 28, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-81
34-73280 Oct. 1, 2014 Notice of Filing of Proposed Rule Change Amending Rule 902.1NY to Authorize the Exchange to Share Any User-Designated Risk Settings in Exchange Systems with the Clearing Member that Clears Transactions on Behalf of the User
Comments due: October 28, 2014
Additional Materials: Exhibit 5
See also: NOtice: Rel. No. 34-73669
Comments received are available for this proposal.
Third Quarter

SR-NYSEMKT-2014-82
34-73255 Sep. 30, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 900.3NY (Orders Defined) to Delete WAIT Orders from its Rules
Comments due: October 27, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-79
34-73218 Sep. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 141 and 142 of the NYSE MKT Company Guide To Increase Certain of the Fees Set Forth Therein
Comments due: October 22, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-78
34-73159 Sep. 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .01 to Rule 341 to Specify the Registration and Examination Requirements for Certain Persons Engaged in Supervisory Activities
Comments due: October 17, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-63
34-73095 Sep. 15, 2014 Order Approving Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented from the Exchange
See also: Notice: Rel. No. 34-72680

SR-NYSEMKT-2014-75
34-73029 Sep. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 49 - Equities, Which Addresses the Exchange's Emergency Powers Revising How Certain Messages are Disseminated
Comments due: October 6, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-76
34-73024 Sep. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 967NY(b) to Enhance the Functionality of the Limit Order Filter
Comments due: October 6, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-72
34-73020 Sep. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE MKT OpenBook, NYSE MKT Trades, and NYSE MKT BBO, and to Establish Fees for Non-Display Use of NYSE MKT Order Imbalances
Comments due: October 6, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-74
34-73019 Sep. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Adjust the Pricing Related to the Retail Liquidity Program under Rule 107C - Equities
Comments due: October 6, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-73
34-73008 Sep. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE Amex Options Market Data
Comments due: October 2, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-71
34-72972 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and, through NYSE Amex Options LLC Amending the NYSE Amex Options Fee Schedule to Establish Billing Practices with Respect to Billing Disputes
Comments due: September 30, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-56
34-72894 Aug. 21, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 13 - Equities to Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders
See also: Order: Rel. No. 34-73333, Notice: Rel. No. 34-72547

SR-NYSEMKT-2014-70
34-72891 Aug. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing the Short-Term Option Series Program to Introduce Finer Strike Price Intervals for Related Non-Short Term Options
Comments due: September 17, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-69
34-72890 Aug. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 86 - Equities to Extend the Hours for the Core Bond Trading Session for NYSE MKT Bonds
Comments due: September 17, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-67
34-72865 Aug. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule
Comments due: September 15, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-68
34-72857 Aug. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 332 of the NYSE MKT Company Guide to Provide that Listed Companies Should Pay Listing Fees Due in Connection with the Listing of Additional Securities in the Manner Specified in the Exchange's Invoice
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-65
34-72815 Aug. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 935NY and Rule 964NY to Delete Obsolete References to Tracking Orders and Make Other Non-Substantive, Technical Changes to the Exchange Rules
Comments due: September 8, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-66
34-72790 Aug. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule in a Number of Different Ways
Comments due: September 3, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2014-61
34-72719 Jul. 30, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule, Related to Co-location Services
Comments due: August 26, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-62
34-72709 Jul. 29, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance
Comments due: August 26, 2014
Comments received are available for this proposal.

SR-NYSEMKT-2014-63
34-72680 Jul. 28, 2014 Notice of Filing of Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented from the Exchange
Comments due: August 22, 2014
See also: Order: Rel. No. 34-73095

SR-NYSEMKT-2014-60
34-72625 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program until March 31, 2015
Comments due: August 12, 2014
Comments received are available for this proposal.

SR-NYSEMKT-2014-59
34-72624 Jul. 16, 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 "UTP Securities" to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or December 31, 2014
Comments due: August 12, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-58
34-72623 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Currently Scheduled to Expire on July 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or December 31, 2014
Comments due: August 12, 2014

SR-NYSEMKT-2014-57
34-72622 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Currently Scheduled to Expire on July 31, 2014, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or December 31, 2014
Comments due: August 12, 2014

SR-NYSEMKT-2014-55
34-72574 Jul. 9, 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: August 5, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-54
34-72573 Jul. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC In Order to Reflect Changes to the Capital Structure of the Company
Comments due: August 5, 2014
Additional Materials: Exhibit 5A; Exhibit 5B

SR-NYSEMKT-2014-56
34-72547 Jul. 7, 2014 Notice of Filing of Proposed Rule Change Amending Rule 13 - Equities to Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders
Comments due: August 1, 2014
See also: Order: Rel. No. 34-73333, Notice: Rel. No. 34-72894
Comments received are available for this proposal.

SR-NYSEMKT-2014-21
34-72536 Jul. 3, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quot
Comments due: July 31, 2014
See also: Notice: Rel. No. 34-71840-->
Comments received are available for this proposal.

SR-NYSEMKT-2014-22
34-72535 Jul. 3, 2014 Order Approving Proposed Rule Change Amending Rule 98 to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
See also: Notice: Rel. No. 34-72202, Notice: Rel. No. 34-71838

SR-NYSEMKT-2013-91
34-72512 Jul. 1, 2014 Notice of Withdrawal of 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. 34-72205, Notice: Rel. No. 34-71609, Notice: Rel. No. 34-71267, Notice: Rel. No. 34-70909

SR-NYSEMKT-2014-53
34-72510 Jul. 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List to Add Certain charges for Hosting Equipment to Support Internet Connections for Member Organizations Operating on the Floor of the Exchange Starting January 1, 2015
Comments due: July 29, 2014
Additional Materials: Exhibit 5
Second Quarter

SR-NYSEMKT-2014-52
34-72469 Jun. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule by Adopting Fees and Rebates for a New Electronic Crossing Mechanism Called the CUBE Auction
Comments due: July 22, 2014
Comments received are available for this proposal.

SR-NYSEMKT-2014-37
34-72434 Jun. 19, 2014 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48, SR-Phlx-2014-27
See also: Notice: Rel. No. 34-72051

SR-NYSEMKT-2014-51
34-72389 Jun. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 971.1NY(c)(4)(D) to Add Specificity Regarding When a Customer Best Execution Auction Would Conclude Early
Comments due: July 10, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-50
34-72343 Jun. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule
Comments due: July 3, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-49
34-72326 Jun. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT BBO Market Data Product Offering
Comments due: July 2, 2014

SR-NYSEMKT-2014-48
34-72313 Jun. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY(d)(3) in Order to Delete Reserve Orders and References thereto From the Rules
Comments due: July 1, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-46
34-72252 May 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 13 - Equities to Introduce a New "Retail" Modifier for Orders and to Make Related, Administrative Changes to Its Price List
Comments due: June 23, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2013-91
34-72205 May 21, 2014 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove 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. 34-71609, Notice: Rel. No. 34-71267, Notice: Rel. No. 34-70910

SR-NYSEMKT-2014-22
34-72202 May 21, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 98 to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
See also: Order: Rel. No. 34-72535, Notice: Rel. No. 34-71838

SR-NYSEMKT-2014-45
34-72194 May 20, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY to Provide for New Procedures to Account for Erroneous Trades Occurring from Disruptions and/or Malfunctions of Exchange Systems
Comments due: June 17, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-47
34-72190 May 20, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues through December 31, 2014
Comments due: June 17, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-41
34-72156 May 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Name Changes of Its Ultimate Parent, IntercontinentalExchange Group, Inc., and Its Indirect Parents, IntercontinentalExchange, Inc. and NYSE Euronext Holdings LLC
Comments due: June 9, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-43
34-72148 May 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Account for Recent Changes to the Securities Eligible to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: June 6, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-42
34-72084 May 2, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 980NY to Adopt Rules Governing an Opening Auction Process for Electronic Complex Orders and to Amend and Reorganize Existing Rules Specifying Available Electronic Complex Order Types and Modifiers
Comments due: May 29, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-40
34-72075 May 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Offering ArcaBook for Amex Options - Complex on a Standalone Basis Without Charge from May 1, 2014 through October 31, 2014
Comments due: May 28, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-37
34-72051 Apr. 30, 2014 Notice of Filing of Proposed Rule Change Adding New Paragraphs (j) and (k) to Rule 128 - Equities, Entitled "Clearly Erroneous Executions For Equities" 1 2 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the "Act") and 3Rule 19b-4 thereunder, notice is hereby given that, on April 21, 2014, NYSE MKT LLC (the "Exchange" or "NYSE MKT") filed with the Securities and Exchange Commission (the "Commission") the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due: May 27, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72434

SR-NYSEMKT-2014-39
34-72040 Apr. 29, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .01 to Rule 901 to Replace the Reference to "GOOG" with "GOOGL"
Comments due: May 27, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-33
34-72017 Apr. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange rules governing Letters of Guarantee and Letters of Authorization
Comments due: May 22, 2014

SR-NYSEMKT-2014-17
34-72025 Apr. 25, 2014 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Adopting Rule 971.1NY for an Electronic Price Improvement Auction for Single-Leg Options Orde
Comments due: May 22, 2014
See also: Notice: Rel. No. 34-71655-->
Comments received are available for this proposal.

SR-NYSEMKT-2014-34
34-71988 Apr. 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT Rule 343 - Equities to Harmonize the NYSE MKT's Rules with Changes by Financial Industry Regulatory Authority, Inc. to Amend the Uniform Branch Office Registration Form
Comments due: May 19, 2014
Additional Materials: Exhibit 5

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: May 14, 2014
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: May 13, 2014
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: May 8, 2014
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 5
See also:  Notice/Order: Rel. No. 34-72536
Comments received are available for this proposal.

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
See also: Order: Rel. No. 34-72535, Notice: Rel. No. 34-72202
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
See also:  Notice/Order: Rel. No. 34-72025-->
Comments received are available for this proposal.

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. 34-72205, 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. 34-72205, Notice: Rel. No. 34-71609, 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: 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-2014-97
34-73671 Nov. 21, 2014 Notice of Filing of 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
Comments due: 21 days after publication in the Federal Register

SR-NYSEMKT-2014-96
34-73620 Nov. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE MKT LLC Equities Proprietary Market Data Fee Schedule ("Market Data Fee Schedule") Regarding Non-Display Use Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-95
34-73593 Nov. 14, 2014 Notice of Filing of Proposed Rule Change Amending Rule 13 - Equities and Related Rules Governing Order Types and Modifiers to Clarify the Nature of Order Types
Comments due: December 11, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2014-94
34-73589 Nov. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fees for the NYSE ArcaBook for Amex Options Complex Feed and a Change to the NYSE Amex Options Proprietary Market Data Fee Schedule ("Market Data Fee Schedule") Regarding Non-Display Use Fees
Comments due: December 10, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-93
34-73640 Nov. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Rules Concerning Supervision to Harmonize the Rules with Certain Financial Industry Regulatory Authority, Inc. Rules and Making Other Conforming Changes
Comments due: 21 days after publication in the Federal Register

SR-NYSEMKT-2014-92
34-73490 Oct. 31, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Modify the Fees Related to the Use of ports that Provide Connectivity to the Exchange's Trading Systems for Entry of Orders and/or Quotes
Comments due: November 28, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-89
34-73353 Oct. 15, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Amend Certain of its Rules to Remove and Replace Obsolete References to Fixed Return Options with the Updated References to Binary Return Derivatives Contracts.
Comments due: November 12, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-88
34-73346 Oct. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Amendments to Reflect Recent Deletion of Rule 343 - Equities
Comments due: November 10, 2014

SR-NYSEMKT-2014-87
34-73542 Nov. 6, 2014 Notice of Filing of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Add a Service Fee for Certain Post Trade Adjustments Performed by the Exchange to be Effective December 1, 2014
Comments due: December 4, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-86
34-73367 Oct. 15, 2014 Notice of Filing of Proposed Rule Change Modifying Its Quote Mitigation Plan and Amending Rule 970NY and Rule 970.1NY
Comments due: November 12, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-85
34-73302 Oct. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change that Constitutes a Stated Interpretation with Respect to The Meaning, Administration, and Enforcement of Rule 46 - Equities
Comments due: October 31, 2014

SR-NYSEMKT-2014-84
34-73284 Oct. 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 900.2NY to Codify the Terms Complex BBO and Complex NBBO and To Amend Exchange Rule 900.3NY(w) to Revise the Definition of a PNP Plus Order
Comments due: October 28, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-83
34-73372 Oct. 16, 2014 Notice of Filing of Proposed Rule Change in Connection with the Proposed Termination of the Amended and Restated Trust Agreement, dated as of November 13, 2013 and Amended on June 2, 2014 by and Among NYSE Holdings LLC, a Delaware Limited Liability Company, NYSE Group, Inc., a Delaware Corporation, Wilmington Trust Company, as Delaware Trustee, and each of Jacques de Larosière de Champfeu, Alan Trager and John Shepard Reed, as Trustees
Comments due: November 12, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2014-82
34-73255 Sep. 30, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 900.3NY (Orders Defined) to Delete WAIT Orders from its Rules
Comments due: October 27, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-81
34-73669 Nov. 21, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Rule 902.1NY to Authorize the Exchange to Share Any User-Designated Risk Settings in Exchange Systems with the Clearing Member that Clears Transactions on Behalf of the User
34-73280 Oct. 1, 2014 Notice of Filing of Proposed Rule Change Amending Rule 902.1NY to Authorize the Exchange to Share Any User-Designated Risk Settings in Exchange Systems with the Clearing Member that Clears Transactions on Behalf of the User
Comments due: October 28, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2014-79
34-73218 Sep. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 141 and 142 of the NYSE MKT Company Guide To Increase Certain of the Fees Set Forth Therein
Comments due: October 22, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-78
34-73159 Sep. 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .01 to Rule 341 to Specify the Registration and Examination Requirements for Certain Persons Engaged in Supervisory Activities
Comments due: October 17, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-77
34-73351 Oct. 15, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 - Equities to Specify that Exchange Systems Can Publish Pre-Opening Indications and To Extend the Time Order Imbalance Information is Disseminated When An Opening is Delayed
Comments due: November 12, 2014

SR-NYSEMKT-2014-76
34-73024 Sep. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 967NY(b) to Enhance the Functionality of the Limit Order Filter
Comments due: October 6, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-75
34-73029 Sep. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 49 - Equities, Which Addresses the Exchange's Emergency Powers Revising How Certain Messages are Disseminated
Comments due: October 6, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-74
34-73019 Sep. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Adjust the Pricing Related to the Retail Liquidity Program under Rule 107C - Equities
Comments due: October 6, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-73
34-73008 Sep. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE Amex Options Market Data
Comments due: October 2, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-72
34-73020 Sep. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE MKT OpenBook, NYSE MKT Trades, and NYSE MKT BBO, and to Establish Fees for Non-Display Use of NYSE MKT Order Imbalances
Comments due: October 6, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-71
34-72972 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and, through NYSE Amex Options LLC Amending the NYSE Amex Options Fee Schedule to Establish Billing Practices with Respect to Billing Disputes
Comments due: September 30, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-70
34-72891 Aug. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing the Short-Term Option Series Program to Introduce Finer Strike Price Intervals for Related Non-Short Term Options
Comments due: September 17, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-69
34-72890 Aug. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 86 - Equities to Extend the Hours for the Core Bond Trading Session for NYSE MKT Bonds
Comments due: September 17, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-68
34-72857 Aug. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 332 of the NYSE MKT Company Guide to Provide that Listed Companies Should Pay Listing Fees Due in Connection with the Listing of Additional Securities in the Manner Specified in the Exchange's Invoice
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-67
34-72865 Aug. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule
Comments due: September 15, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-66
34-72790 Aug. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule in a Number of Different Ways
Comments due: September 3, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2014-65
34-72815 Aug. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 935NY and Rule 964NY to Delete Obsolete References to Tracking Orders and Make Other Non-Substantive, Technical Changes to the Exchange Rules
Comments due: September 8, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-63
34-73095 Sep. 15, 2014 Order Approving Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented from the Exchange
34-72680 Jul. 28, 2014 Notice of Filing of Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented from the Exchange
Comments due: August 22, 2014

SR-NYSEMKT-2014-62
34-72709 Jul. 29, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance
Comments due: August 26, 2014
Comments received are available for this proposal.

SR-NYSEMKT-2014-61
34-72719 Jul. 30, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule, Related to Co-location Services
Comments due: August 26, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-60
34-72625 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program until March 31, 2015
Comments due: August 12, 2014
Comments received are available for this proposal.

SR-NYSEMKT-2014-59
34-72624 Jul. 16, 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 "UTP Securities" to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or December 31, 2014
Comments due: August 12, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-58
34-72623 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Currently Scheduled to Expire on July 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or December 31, 2014
Comments due: August 12, 2014

SR-NYSEMKT-2014-57
34-72622 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Currently Scheduled to Expire on July 31, 2014, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or December 31, 2014
Comments due: August 12, 2014

SR-NYSEMKT-2014-56
34-73333 Oct. 9, 2014 Order Approving Proposed Rule Changes Amending Exchange Rule 13 to Make the Add Liquidity Only Modifier Available for Limit Orders, and Make the Day Time-In-Force Condition and Add Liquidity Only Modifier Available for Intermarket Sweep Orders
Additional File No.: SR-NYSE-2014-32
34-72894 Aug. 21, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 13 - Equities to Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders
34-72547 Jul. 7, 2014 Notice of Filing of Proposed Rule Change Amending Rule 13 - Equities to Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders
Comments due: August 1, 2014
Comments received are available for this proposal.

SR-NYSEMKT-2014-55
34-72574 Jul. 9, 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: August 5, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-54
34-72573 Jul. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC In Order to Reflect Changes to the Capital Structure of the Company
Comments due: August 5, 2014
Additional Materials: Exhibit 5A; Exhibit 5B

SR-NYSEMKT-2014-53
34-72510 Jul. 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List to Add Certain charges for Hosting Equipment to Support Internet Connections for Member Organizations Operating on the Floor of the Exchange Starting January 1, 2015
Comments due: July 29, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-52
34-72469 Jun. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule by Adopting Fees and Rebates for a New Electronic Crossing Mechanism Called the CUBE Auction
Comments due: July 22, 2014
Comments received are available for this proposal.

SR-NYSEMKT-2014-51
34-72389 Jun. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 971.1NY(c)(4)(D) to Add Specificity Regarding When a Customer Best Execution Auction Would Conclude Early
Comments due: July 10, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-50
34-72343 Jun. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule
Comments due: July 3, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-49
34-72326 Jun. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT BBO Market Data Product Offering
Comments due: July 2, 2014

SR-NYSEMKT-2014-48
34-72313 Jun. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY(d)(3) in Order to Delete Reserve Orders and References thereto From the Rules
Comments due: July 1, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-47
34-72190 May 20, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues through December 31, 2014
Comments due: June 17, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-46
34-72252 May 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 13 - Equities to Introduce a New "Retail" Modifier for Orders and to Make Related, Administrative Changes to Its Price List
Comments due: June 23, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-45
34-72194 May 20, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY to Provide for New Procedures to Account for Erroneous Trades Occurring from Disruptions and/or Malfunctions of Exchange Systems
Comments due: June 17, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-43
34-72148 May 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Account for Recent Changes to the Securities Eligible to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: June 6, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-42
34-72084 May 2, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 980NY to Adopt Rules Governing an Opening Auction Process for Electronic Complex Orders and to Amend and Reorganize Existing Rules Specifying Available Electronic Complex Order Types and Modifiers
Comments due: May 29, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-41
34-72156 May 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Name Changes of Its Ultimate Parent, IntercontinentalExchange Group, Inc., and Its Indirect Parents, IntercontinentalExchange, Inc. and NYSE Euronext Holdings LLC
Comments due: June 9, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-40
34-72075 May 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Offering ArcaBook for Amex Options - Complex on a Standalone Basis Without Charge from May 1, 2014 through October 31, 2014
Comments due: May 28, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-39
34-72040 Apr. 29, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .01 to Rule 901 to Replace the Reference to "GOOG" with "GOOGL"
Comments due: May 27, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-37
34-72434 Jun. 19, 2014 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48, SR-Phlx-2014-27
34-72051 Apr. 30, 2014 Notice of Filing of Proposed Rule Change Adding New Paragraphs (j) and (k) to Rule 128 - Equities, Entitled "Clearly Erroneous Executions For Equities" 1 2 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the "Act") and 3Rule 19b-4 thereunder, notice is hereby given that, on April 21, 2014, NYSE MKT LLC (the "Exchange" or "NYSE MKT") filed with the Securities and Exchange Commission (the "Commission") the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due: May 27, 2014
Additional Materials: Exhibit 5

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: May 14, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-34
34-71988 Apr. 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT Rule 343 - Equities to Harmonize the NYSE MKT's Rules with Changes by Financial Industry Regulatory Authority, Inc. to Amend the Uniform Branch Office Registration Form
Comments due: May 19, 2014
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-33
34-72017 Apr. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange rules governing Letters of Guarantee and Letters of Authorization
Comments due: May 22, 2014

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: May 13, 2014
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: May 8, 2014
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

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
34-72535 Jul. 3, 2014 Order Approving Proposed Rule Change Amending Rule 98 to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
34-72202 May 21, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 98 to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
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
34-72536 Jul. 3, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quot
Comments due: July 31, 2014
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 5
Comments received are available for this proposal.

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
34-72025 Apr. 25, 2014 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Adopting Rule 971.1NY for an Electronic Price Improvement Auction for Single-Leg Options Orde
Comments due: May 22, 2014 !--
Comments received are available for this proposal.
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
Comments received are available for this proposal.

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-2014-14
34-73544 Nov. 6, 2014 Notice of Filing of Proposed Rule Change Amending Rule 967NY to Enhance the Functionality of the Trade Collar Protection Mechanism
Comments due: 21 days after publication in the Federal Register
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: 11/25/2014