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
Third Quarter |  Second Quarter |  First Quarter

NYSE File Number List for 2019

Additional Archives

Chronological List for 2019

Release No. Date Details
Third Quarter
SR-NYSE-2019-48
34-86930 Sep. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Quoting Thresholds Applicable in Relation to an Issue Experienced by the Consolidated Tape Association on August 12, 2019
Comments due: 21 days after publication in the Federal Register
SR-NYSE-2019-47
34-86866 Sep. 4, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 103B
Comments due: October 1, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-46
34-86865 Sep. 4, 2019 Notice of Filing of Proposed Rule Change to Amend the Exchange's Price List Related to Co-location Services
Comments due: October 1, 2019
SR-NYSE-2019-45
34-86784 Aug. 28, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List to Revise the Remove and Adding Liquidity Tiers for Tape B and C Securities
Comments due: September 24, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-44
34-86696 Aug. 16, 2019 Notice of Filing of Proposed Rule Change to Add Certain Rules to the List of Minor Rule Violations in Rule 9217; Delete Obsolete Rules and Increase the Maximum Fine for Minor Rule Violations
Comments due: September 12, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2019-35
34-86687 Aug. 15, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .01(b)(5) to NYSE Rule 8.600 Relating to Generic Listing Standards for Managed Fund Shares
Comments due: September 11, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-14
34-86651 Aug. 13, 2019 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Section 703.18 of the Listed Company Manual to Permit the Listing of Event-Based Contingent Value Rights and Make Other Changes to the Listing Standards for Contingent Value Rights
Comments due: September 9, 2019
SR-NYSE-2019-41
34-86550 Aug. 1, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Price List Related to Co-location Services
Comments due: August 28, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-42
34-86492 Jul. 26, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Discontinue the NYSE Alerts Market Data Product Offering
Comments due: August 22, 2019
SR-NYSE-2019-40
34-86473 Jul. 25, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List
Comments due: August 21, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-34
34-86460 Jul. 24, 2019 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Exchange Rule 104 to Specify Designated Market Maker Requirements for Exchange Traded Products listed on the Exchange
SR-NYSE-2019-20
34-86406 Jul. 18, 2019 Order Granting Approval of a Proposed Rule Change Amending Section 302 of the Listed Company Manual to Provide Exemptions for the Issuers of Certain Categories of Securities from the Obligation to Hold Annual Shareholders' Meetings
SR-NYSE-2019-37
34-86386 Jul. 16, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List to Offer a New Monthly Rebate for Designated Market Makers Assigned 30 or Fewer Securities
Comments due: August 12, 2019
SR-NYSE-2019-39
34-86360 Jul. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List to Adopt Transition Pricing to Support the Introduction of Ports that Connect to the Exchange Using Pillar Technology
Comments due: August 7, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-32
34-86351 Jul. 11, 2019 Order Granting Approval of a Proposed Rule Change to Amend NYSE Rule 123D
SR-NYSE-2019-28
34-86339 Jul. 10, 2019 Notice of Withdrawal of Proposed Rule Change Amending Section 303A.08 of the Listed Company Manual Relating to Shareholder Approval of Equity Compensation Plans
SR-NYSE-2019-20
34-86291 Jul. 3, 2019 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Section 302 of the Listed Company Manual to Provide Exemptions for the Issuers of Certain Categories of Securities from the Obligation to Hold Annual Shareholders' Meetings
Second Quarter
SR-NYSE-2019-14
34-86238 Jun. 28, 2019 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Section 703.18 of the Listed Company Manual to Permit the Listing of Event-Based Contingent Value Rights and Make Other Changes to the Listing Standards for Contingent Value Rights
SR-NYSE-2019-22
34-86167 Jun. 20, 2019 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, to Amend NYSE Rule 7.31 to Add a New Order Type, Capital Commitment Order, Modify the Market Order and the Last Sale Peg Modifier, and Make Related Changes to NYSE Rules 7.16, 7.18, 7.34, 7.36, and 7.37
Comments due: July 17, 2019
SR-NYSE-2019-09
34-86163 Jun. 20, 2019 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rules 104 and 36 to Require Communications From a Designated Market Maker ("DMM") to a Designed Senior Representative of an Issuer of Registered Listed Securities
Comments due: July 17, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-34
34-86151 Jun. 19, 2019 Notice of Filing of Proposed Rule Change amend Exchange Rule 104 to Specify Designated Market Maker Requirements for Exchange Traded Products listed on the Exchange
Comments due: July 16, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2019-25
34-86131 Jun. 18, 2019 Notice of Filing and Immediate Effectiveness of Proposed Change of Amendments to Define "Net Position Information in DMM Securities" in NYSE Rule 98(c)(5) and the "the Position of the DMM Unit" in NYSE Rule 104(g)(1)(B)
Comments due: July 15, 2019
Additional Materials: Exhibit 5
SR-NYSE-2018-46
34-86117 Jun. 14, 2019 Order Disapproving a Proposed Rule Change to Amend the Listed Company Manual for Special Purpose Acquisition Companies To Reduce the Continued Listing Standards for Public Holders from 300 to 100 and to Enable the Exchange to Exercise Discretion to Allow Special Purpose Acquisition Companies a Reasonable Time Period Following a Business Combination to Demonstrate Compliance with the Applicable Quantitative Listing Standards
SR-NYSE-2019-33
34-86084 Jun. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31 Relating to the Yielding Modifier
Comments due: July 8, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-32
34-85990 May 31, 2019 Notice of Filing of Proposed Rule Change to Amend Rule 123D
Comments due: June 27, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-05
34-85962 May 29, 2019 Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, to Amend NYSE Rules 7.31, 7.36, 7.37; Make Conforming Amendments to NYSE Rules 1.1, 7.11, 7.12, 7.16, 7.18, 7.32, 7.34, and 7.36; and Amend the Preambles on Current Exchange Rules Relating to their Applicability to the Pillar Trading Platform
Comments due: June 26, 2019
SR-NYSE-2019-30
34-85961 May 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Listing Fee Schedule for Pre-Revenue Companies
Comments due: June 25, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-31
34-85952 May 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Price List Related to Co-location Services
Comments due: June 25, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-29
34-85945 May 28, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Rules 7.6, 7.31, 7.34, 98, 107B and 131A, to Specify Order Behavior for Orders Entered Via the Pillar Phase II Protocols
Comments due: June 24, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-28
34-85937 May 24, 2019 Notice of Filing of Proposed Rule Change Amending Section 303A.08 of the Listed Company Manual Relating to Shareholder Approval of Equity Compensation Plans
Comments due: June 21, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-26
34-85930 May 23, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change of New Rule 7.44 to Operate Its Retail Liquidity Program on Pillar, the Exchange's New Technology Trading Platform
Comments due: June 20, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-27
34-85913 May 22, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Independence Policy of the Board of Directors of the Exchange
Comments due: June 19, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-20
34-85889 May 17, 2019 Notice of Filing of Proposed Rule Change Amending Section 302 of the Listed Company Manual to Provide Exemptions for the Issuers of Certain Categories of Securities from the Obligation to Hold Annual Shareholders' Meetings
Comments due:  June 13, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-24
34-85864 May 15, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List
Comments due:  June 11, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-09
34-85826 May 10, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Exchange Rules 104 and 36 to Require Designated Market Makers to Communicate with a Designed Senior Representative of the Issuers of the DMM's Assigned Securities
SR-NYSE-2019-14
34-85812 May 9, 2019 Notice of Filing of Proposed Rule Change to Amend Section 703.18 of the Listed Company Manual to Permit the Listing of Event-Based Contingent Value Rights and Make Other Changes to the Listing Standards for Contingent Value Rights
Comments due:  June 5, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2019-22
34-85772 May 3, 2019 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 7.31 to Add a New Order Type, Capital Commitment Order, and Make Related Changes to Rules 7.16, 7.34, 7.36, and 7.37
Comments due: May 30, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2019-21
34-85722 Apr. 25, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7.11 and 80C, Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments due: May 22, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-16
34-85649 Apr. 15, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31(i)(4) Relating to the Last Sale Peg Modifier.
Comments due: May 10, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2018-46
34-85644 Apr. 15, 2019 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Listed Company Manual for Special Purpose Acquisition Companies To Reduce the Continued Listing Standards for Public Holders from 300 to 100 and to Enable the Exchange to Exercise Discretion to Allow Special Purpose Acquisition Companies a Reasonable Time Period Following a Business Combination to Demonstrate Compliance with the Applicable Quantitative Listing Standards
SR-NYSE-2018-34
34-85637 Apr. 12, 2019 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Rule 104
Comments due: May 8, 2019
SR-NYSE-2019-15
34-85597 Apr. 10, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List to Modify the Supplemental Liquidity Provider Provide Tier 1 Credit for Securities Traded Pursuant to Unlisted Trading Privileges
Comments due: May 7, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2019-19
34-85560 Apr. 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 80B, Trading Halts Due to Extraordinary Market Volatility
Comments due: May 6, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-05
34-85552 Apr. 8, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as modified by Amendment No. 1, to: (1) Amend NYSE Rules 7.36 and 7.37 to Add the Designated Market Maker as a Participant for Trading of Exchange-listed Securities on Pillar; (2) Amend NYSE Rule 7.31 to Add Auction-Only Orders and Make Related Changes; (3) Add New Trading Rules Relating to Auctions for Pillar; (4) Make Conforming Amendments to NYSE Rules 1.1, 7.11, 7.12, 7.16, 7.18, 7.32, 7.34, and 7.36; and (5) Amend the Preambles on Current Exchange Rules Relating to their Applicability to the Pillar Trading Platform
SR-NYSE-2019-17
34-85523 Apr. 5, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10, Clearly Erroneous Executions, and Rule 128, Clearly Erroneous Executions for NYSE Equities
Comments due: May 2, 2019
Additional Materials: Exhibit 5
First Quarter
SR-NYSE-2019-07
34-85456 Mar. 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Price List Related to Co-location Services
Comments due: April 25, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2019-13
34-85390 Mar. 21, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List to Permit Affiliated Member Organizations that are Supplemental Liquidity Providers on the Exchange to Obtain the Most Favorable Rate in Securities Traded Pursuant to Unlisted Trading Privileges
Comments due: April 17, 2019
Additional Materials: Exhibit 5
SR-NYSE-2018-54
34-85374 Mar. 20, 2019 Order Granting Approval of 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-2019-09
34-85367 Mar. 20, 2019 Notice of Filing of Proposed Rule Change to Amend Rules 104 and 36 to Require and Facilitate Routine Communications Between Designated Market Makers ("DMMs") and Designated Representatives of Listed Issuers
Comments due: April 16, 2019
Comments received are available for this proposal.
SR-NYSE-2019-11
34-85300 Mar. 13, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Price List Related to Co-location Services
Comments due: April 9, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-08
34-85274 Mar. 8, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7.16, 7.18, 7.31, 7.34, 7.37, and 7.38
Comments due: April 4, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-04
34-85252 Mar. 6, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust Its Annual Fee Requirements for Listed Companies for Any Calendar Year in Which a Listed Company Consummates a Reverse Stock Split
Comments due: April 2, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-06
34-85186 Feb. 25, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the Content of the NYSE Trades Market Data Product Offering
Comments due: March 22, 2019
SR-NYSE-2019-05
34-85176 Feb. 22, 2019 Notice of Filing of Proposed Rule Change to (1) Amend Rules 7.36 and 7.37 to Add the Designated Market Maker as a Participant for Trading of Exchange-listed Securities on Pillar; (2) Amend Rule 7.31 to Add Auction-Only Orders and Make Related Changes; (3) Add New Trading Rules Relating to Auctions for Pillar; (4) Make Conforming Amendments to Rules 1.1, 7.11, 7.12, 7.16, 7.18, 7.32, 7.34, and 7.36; and (5) Amend the Preambles on Current Exchange Rules Relating to their Applicability to the Pillar Trading Platform
Comments due: March 21, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
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: March 15, 2019
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: March 14, 2019
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: March 8, 2019
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: March 6, 2019
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-2019-48
34-86930 Sep. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Quoting Thresholds Applicable in Relation to an Issue Experienced by the Consolidated Tape Association on August 12, 2019
Comments due: 21 days after publication in the Federal Register
SR-NYSE-2019-47
34-86866 Sep. 4, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 103B
Comments due: October 1, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-46
34-86865 Sep. 4, 2019 Notice of Filing of Proposed Rule Change to Amend the Exchange's Price List Related to Co-location Services
Comments due: October 1, 2019
SR-NYSE-2019-45
34-86784 Aug. 28, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List to Revise the Remove and Adding Liquidity Tiers for Tape B and C Securities
Comments due: September 24, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-44
34-86696 Aug. 16, 2019 Notice of Filing of Proposed Rule Change to Add Certain Rules to the List of Minor Rule Violations in Rule 9217; Delete Obsolete Rules and Increase the Maximum Fine for Minor Rule Violations
Comments due: September 12, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2019-42
34-86492 Jul. 26, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Discontinue the NYSE Alerts Market Data Product Offering
Comments due: August 22, 2019
SR-NYSE-2019-41
34-86550 Aug. 1, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Price List Related to Co-location Services
Comments due: August 28, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-40
34-86473 Jul. 25, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List
Comments due: August 21, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-39
34-86360 Jul. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List to Adopt Transition Pricing to Support the Introduction of Ports that Connect to the Exchange Using Pillar Technology
Comments due: August 7, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-37
34-86386 Jul. 16, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List to Offer a New Monthly Rebate for Designated Market Makers Assigned 30 or Fewer Securities
Comments due: August 12, 2019
SR-NYSE-2019-35
34-86687 Aug. 15, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .01(b)(5) to NYSE Rule 8.600 Relating to Generic Listing Standards for Managed Fund Shares
Comments due: September 11, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-34
34-86460 Jul. 24, 2019 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Exchange Rule 104 to Specify Designated Market Maker Requirements for Exchange Traded Products listed on the Exchange
34-86151 Jun. 19, 2019 Notice of Filing of Proposed Rule Change amend Exchange Rule 104 to Specify Designated Market Maker Requirements for Exchange Traded Products listed on the Exchange
Comments due: July 16, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2019-33
34-86084 Jun. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31 Relating to the Yielding Modifier
Comments due: July 8, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-32
34-86351 Jul. 11, 2019 Order Granting Approval of a Proposed Rule Change to Amend NYSE Rule 123D
34-85990 May 31, 2019 Notice of Filing of Proposed Rule Change to Amend Rule 123D
Comments due: June 27, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-31
34-85952 May 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Price List Related to Co-location Services
Comments due: June 25, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-30
34-85961 May 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Listing Fee Schedule for Pre-Revenue Companies
Comments due: June 25, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-29
34-85945 May 28, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Rules 7.6, 7.31, 7.34, 98, 107B and 131A, to Specify Order Behavior for Orders Entered Via the Pillar Phase II Protocols
Comments due: June 24, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-28
34-86339 Jul. 10, 2019 Notice of Withdrawal of Proposed Rule Change Amending Section 303A.08 of the Listed Company Manual Relating to Shareholder Approval of Equity Compensation Plans
34-85937 May 24, 2019 Notice of Filing of Proposed Rule Change Amending Section 303A.08 of the Listed Company Manual Relating to Shareholder Approval of Equity Compensation Plans
Comments due: June 21, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-27
34-85913 May 22, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Independence Policy of the Board of Directors of the Exchange
Comments due: June 19, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-26
34-85930 May 23, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change of New Rule 7.44 to Operate Its Retail Liquidity Program on Pillar, the Exchange's New Technology Trading Platform
Comments due: June 20, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-25
34-86131 Jun. 18, 2019 Notice of Filing and Immediate Effectiveness of Proposed Change of Amendments to Define "Net Position Information in DMM Securities" in NYSE Rule 98(c)(5) and the "the Position of the DMM Unit" in NYSE Rule 104(g)(1)(B)
Comments due: July 15, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-24
34-85864 May 15, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List
Comments due:  June 11, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-22
34-86167 Jun. 20, 2019 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, to Amend NYSE Rule 7.31 to Add a New Order Type, Capital Commitment Order, Modify the Market Order and the Last Sale Peg Modifier, and Make Related Changes to NYSE Rules 7.16, 7.18, 7.34, 7.36, and 7.37
Comments due: July 17, 2019
34-85772 May 3, 2019 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 7.31 to Add a New Order Type, Capital Commitment Order, and Make Related Changes to Rules 7.16, 7.34, 7.36, and 7.37
Comments due: May 30, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2019-20
34-86406 Jul. 18, 2019 Order Granting Approval of a Proposed Rule Change Amending Section 302 of the Listed Company Manual to Provide Exemptions for the Issuers of Certain Categories of Securities from the Obligation to Hold Annual Shareholders' Meetings
34-86291 Jul. 3, 2019 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Section 302 of the Listed Company Manual to Provide Exemptions for the Issuers of Certain Categories of Securities from the Obligation to Hold Annual Shareholders' Meetings
34-85889 May 17, 2019 Notice of Filing of Proposed Rule Change Amending Section 302 of the Listed Company Manual to Provide Exemptions for the Issuers of Certain Categories of Securities from the Obligation to Hold Annual Shareholders' Meetings
Comments due:  June 13, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-21
34-85722 Apr. 25, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7.11 and 80C, Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments due: May 22, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-19
34-85560 Apr. 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 80B, Trading Halts Due to Extraordinary Market Volatility
Comments due: May 6, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-17
34-85523 Apr. 5, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10, Clearly Erroneous Executions, and Rule 128, Clearly Erroneous Executions for NYSE Equities
Comments due: May 2, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-16
34-85649 Apr. 15, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31(i)(4) Relating to the Last Sale Peg Modifier.
Comments due: May 10, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2019-15
34-85597 Apr. 10, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List to Modify the Supplemental Liquidity Provider Provide Tier 1 Credit for Securities Traded Pursuant to Unlisted Trading Privileges
Comments due: May 7, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2019-14
34-86651 Aug. 13, 2019 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Section 703.18 of the Listed Company Manual to Permit the Listing of Event-Based Contingent Value Rights and Make Other Changes to the Listing Standards for Contingent Value Rights
Comments due: September 9, 2019
34-86238 Jun. 28, 2019 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Section 703.18 of the Listed Company Manual to Permit the Listing of Event-Based Contingent Value Rights and Make Other Changes to the Listing Standards for Contingent Value Rights
34-85812 May 9, 2019 Notice of Filing of Proposed Rule Change to Amend Section 703.18 of the Listed Company Manual to Permit the Listing of Event-Based Contingent Value Rights and Make Other Changes to the Listing Standards for Contingent Value Rights
Comments due:  June 5, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2019-13
34-85390 Mar. 21, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List to Permit Affiliated Member Organizations that are Supplemental Liquidity Providers on the Exchange to Obtain the Most Favorable Rate in Securities Traded Pursuant to Unlisted Trading Privileges
Comments due: April 17, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-11
34-85300 Mar. 13, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Price List Related to Co-location Services
Comments due: April 9, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-09
34-86163 Jun. 20, 2019 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rules 104 and 36 to Require Communications From a Designated Market Maker ("DMM") to a Designed Senior Representative of an Issuer of Registered Listed Securities
Comments due: July 17, 2019
Additional Materials: Exhibit 5
34-85826 May 10, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Exchange Rules 104 and 36 to Require Designated Market Makers to Communicate with a Designed Senior Representative of the Issuers of the DMM's Assigned Securities
34-85367 Mar. 20, 2019 Notice of Filing of Proposed Rule Change to Amend Rules 104 and 36 to Require and Facilitate Routine Communications Between Designated Market Makers ("DMMs") and Designated Representatives of Listed Issuers
Comments due: April 16, 2019
Comments received are available for this proposal.
SR-NYSE-2019-08
34-85274 Mar. 8, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7.16, 7.18, 7.31, 7.34, 7.37, and 7.38
Comments due: April 4, 2019
Additional Materials: Exhibit 5
SR-NYSE-2019-07
34-85456 Mar. 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Price List Related to Co-location Services
Comments due:  April 25, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2019-06
34-85186 Feb. 25, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the Content of the NYSE Trades Market Data Product Offering
Comments due: March 22, 2019
SR-NYSE-2019-05
34-85962 May 29, 2019 Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, to Amend NYSE Rules 7.31, 7.36, 7.37; Make Conforming Amendments to NYSE Rules 1.1, 7.11, 7.12, 7.16, 7.18, 7.32, 7.34, and 7.36; and Amend the Preambles on Current Exchange Rules Relating to their Applicability to the Pillar Trading Platform
Comments due: June 26, 2019
34-85552 Apr. 8, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as modified by Amendment No. 1, to: (1) Amend NYSE Rules 7.36 and 7.37 to Add the Designated Market Maker as a Participant for Trading of Exchange-listed Securities on Pillar; (2) Amend NYSE Rule 7.31 to Add Auction-Only Orders and Make Related Changes; (3) Add New Trading Rules Relating to Auctions for Pillar; (4) Make Conforming Amendments to NYSE Rules 1.1, 7.11, 7.12, 7.16, 7.18, 7.32, 7.34, and 7.36; and (5) Amend the Preambles on Current Exchange Rules Relating to their Applicability to the Pillar Trading Platform
34-85176 Feb. 22, 2019 Notice of Filing of Proposed Rule Change to (1) Amend Rules 7.36 and 7.37 to Add the Designated Market Maker as a Participant for Trading of Exchange-listed Securities on Pillar; (2) Amend Rule 7.31 to Add Auction-Only Orders and Make Related Changes; (3) Add New Trading Rules Relating to Auctions for Pillar; (4) Make Conforming Amendments to Rules 1.1, 7.11, 7.12, 7.16, 7.18, 7.32, 7.34, and 7.36; and (5) Amend the Preambles on Current Exchange Rules Relating to their Applicability to the Pillar Trading Platform
Comments due: March 21, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2019-04
34-85252 Mar. 6, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust Its Annual Fee Requirements for Listed Companies for Any Calendar Year in Which a Listed Company Consummates a Reverse Stock Split
Comments due: April 2, 2019
Additional Materials: Exhibit 5
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: March 14, 2019
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: March 8, 2019
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: March 6, 2019
Additional Materials: Exhibit 5