NYSE Rulemaking

We invite comments on the following New York Stock Exchange LLC (NYSE; formerly New York Stock Exchange, Inc.) 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 File Number List for 2019

Additional Archives

Chronological List for 2019

Release No. Date Details
First Quarter
SR-NYSE-2018-28
34-85160 Feb. 15, 2019 Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent the Retail Liquidity Program Pilot, Rule 107C, Which is Set to Expire on June 30, 2019, Notice of Filing of Amendment No. 1, and Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2018-52
34-85158 Feb. 15, 2019 Order Granting Approval of a Proposed Rule Change to Amend NYSE Rule 7.31 Relating to Discretionary Orders, Auction-Only Orders, Discretionary Modifier, and Yielding Modifier and Related Amendments to Rules 7.16, 7.34, 7.36, and 7.37
SR-NYSE-2019-03
34-85145 Feb. 14, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to (1) Delete Dealings and Settlements (Rule 45-299C), Rule 235 (Ex-Dividend, Ex-Rights), Rule 236 (Ex-Warrants), and Rule 257 (Deliveries After "Ex" Date) And (2) Amend Dealings and SettlementsT (Rule 45-299C), Rule 235T (Ex-Dividend, Ex-Rights), Rule 236T (Ex-Warrants), and Rule 257T (Deliveries After "Ex" Date)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2018-34
34-85096 Feb. 11, 2019 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend NYSE Rule 104 Governing Transactions by Designated Market Makers
SR-NYSE-2019-02
34-85095 Feb. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List to Add a New Incentive for Supplemental Liquidity Providers in Tape A Securities When Adding Liquidity in Securities Traded pursuant to Unlisted Trading Privileges
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2019-01
34-85071 Feb. 7, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31 Relating to the Minimum Trade Size Modifier
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2018-67
34-85037 Feb. 1, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List to Modify the Incremental Step Up Tier for Supplemental Liquidity Providers
Comments due: February 22, 2019
Additional Materials: Exhibit 5
SR-NYSE-2018-58
34-85021 Jan. 31, 2019 Order Approving a Proposed Rule Change to Amend Rule 123C to Extend the Cut-Off Times for Order Entry and Cancellation for Participation in the Closing Auction and When the Exchange Will Begin Disseminating Order Imbalance Information for the Closing Auction
SR-NYSE-2018-52
34-85019 Jan. 31, 2019 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rule 7.31 Relating to Discretionary Orders, Auction-Only Orders, Discretionary Modifier, and Yielding Modifier and Related Amendments to Rules 7.16, 7.34, 7.36, and 7.37
SR-NYSE-2018-54
34-85005 Jan. 30, 2019 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Amending Sections 312.03 and 312.04 of the Listed Company Manual To Amend the Price Requirements for Certain Exceptions From the Shareholder Approval Rules
SR-NYSE-2018-46
34-84984 Jan. 15, 2019 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Listed Company Manual for Acquisition Companies to Reduce the Continued Listing Standards for Public Stockholders from 300 to 100 and to Enable the Exchange to Exercise Discretion to Allow Acquisition Companies a Reasonable Time Period Following a Business Combination to Demonstrate Compliance with the Applicable Quantitative Listing Standards
Comments due: February 21, 2019


NYSE File Number List for 2019

Release No. Date Details
SR-NYSE-2019-03
34-85145 Feb. 14, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to (1) Delete Dealings and Settlements (Rule 45-299C), Rule 235 (Ex-Dividend, Ex-Rights), Rule 236 (Ex-Warrants), and Rule 257 (Deliveries After "Ex" Date) And (2) Amend Dealings and SettlementsT (Rule 45-299C), Rule 235T (Ex-Dividend, Ex-Rights), Rule 236T (Ex-Warrants), and Rule 257T (Deliveries After "Ex" Date)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2019-02
34-85095 Feb. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List to Add a New Incentive for Supplemental Liquidity Providers in Tape A Securities When Adding Liquidity in Securities Traded pursuant to Unlisted Trading Privileges
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2019-01
34-85071 Feb. 7, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31 Relating to the Minimum Trade Size Modifier
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5