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
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

NYSE File Number List for 2018

Additional Archives

Chronological List for 2018

Release No. Date Details
Fourth Quarter
SR-NYSE-2018-48
34-84434 Oct. 16, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Non-Substantive Amendments to Rules 1.1, 7.31, and 7.46
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2018-46
34-84420 Oct. 12, 2018 Notice of Filing of Proposed Rule Change to Amend the Listed Company Manual for 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 Acquisition Companies a Reasonable Time Period Following a Business Combination to Demonstrate Compliance with the Applicable Quantitative Listing Standards
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2018-47
34-84411 Oct. 11, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fees for Routing Orders in UTP Securities Priced Below $1.00
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2018-30
34-84351 Oct. 3, 2018 Order Approving a Proposed Rule Change to Provide for the Listing of Exchange Traded Products with No Component NMS Stock Listed on the Exchange, Delete Obsolete Listing Rules for Exchange Traded Products and Amend Rules Regarding Unlisted Trading Privileges
SR-NYSE-2018-42
34-84349 Oct. 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.14, Clearance and Settlement
Comments due: 21 days after publication in the Federal Register
SR-NYSE-2018-44
34-84336 Oct. 2, 2018 Notice of Filing and Immediate Effectiveness of Amendments to Rules Regarding Qualification, Registration and Continuing Education Applicable to Members and Member Organizations
Comments due: October 30, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-43
34-84330 Oct. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 67 to Specify that D-Quote Functionality under Rule 67(f)(5) will Continue To Be in Effect Until Six Months After the End of the Pilot Period
Comments due: October 26, 2018
Additional Materials: Exhibit 5
Third Quarter
SR-NYSE-2018-41
34-84294 Sep. 27, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.04 of the NYSE Listed Company Manual to Apply a $50,000 Fee Cap Per Transaction for Issuances of Additional Shares by Closed End Funds
Comments due: October 24, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-34
34-84276 Sep. 24, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Rule 104 Governing Transactions by Designated Market Makers
SR-NYSE-2018-28
34-84183 Sep. 18, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Make Permanent the Retail Liquidity Program Pilot, Which is Set to Expire on December 31, 2018
Comments due: October 15, 2018
Rebuttal comments due: October 29, 2018
SR-NYSE-2018-40
34-84097 Sep. 12, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Price List
Comments due: October 9, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2018-39
34-84100 Sep. 12, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Price List to Amend the Threshold Levels and Rebate Amounts Payable under the Liquidity Provider Incentive Program, and to Amend the Rebate Amount Payable under the Agency Order Incentive Program
Comments due: October 9, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-33
34-84077 Sep. 11, 2018 Order Approving a Proposed Rule Change to Amend Rule 2 To Remove Requirement That a Registered Broker-Dealer Be a Member of the Financial Industry Regulatory Authority, Inc. or Another National Securities Exchange
SR-NYSE-2018-37
34-83929 Aug. 23, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Price List
Comments due: September 19, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-38
34-83892 Aug. 21, 2018 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: September 17, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-30
34-83860 Aug. 16, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Provide for the Listing of Exchange Traded Products with No Component NMS Stock Listed on the Exchange, Amend Its Rules Regarding Unlisted Trading Privileges, and Make Corresponding Changes
SR-NYSE-2018-31
34-83836 Aug. 13, 2018 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Require Certain Member Organizations to Participate in Scheduled Market-Wide Circuit Breaker Testing
SR-NYSE-2018-34
34-83821 Aug. 10, 2018 Notice of Filing of Proposed Rule Change to Amend NYSE Rule 104 Governing Transactions by Designated Market Makers
Comments due: September 6, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-26
34-83768 Aug. 3, 2018 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Amending the Exchange's Rules Relating to Reserve Orders, Primary Pegged Orders, and Setter Priority for UTP Securities Trading on the Exchange's Pillar Platform
SR-NYSE-2018-28
34-83749 Jul. 31, 2018 Notice of Designation of a Longer Period on Commission Action of Proposed Rule Change to Make Permanent the Retail Liquidity Program Pilot, NYSE Rule 107C, Which is Set to Expire on December 31, 2018
SR-NYSE-2018-33
34-83740 Jul. 30, 2018 Notice of Filing of Proposed Rule Change to Amend Rule 2 to Remove Requirement that a Registered Broker-Dealer be a Member of the Financial Industry Regulatory Authority, Inc. or Another National Securities Exchange
Comments due: August 24, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2018-35
34-83717 Jul. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List Related to Co-location Services in Connection with a Proposed Transaction with the Chicago Stock Exchange, Inc. Exchange and Its Parent, CHX Holdings, Inc.
Comments due: August 22, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-32
34-83706 Jul. 25, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List Related to Colocation
Comments due: August 21, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-31
34-83601 Jul. 6, 2018 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Require Certain Member Organizations to Participate in Scheduled Market-Wide Circuit Breaker Testing
Comments due: August 1, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Second Quarter
SR-NYSE-2017-53
34-83570 Jun. 29, 2018 Notice of Withdrawal of Proposed Rule Change to Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holders Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the Public Stockholders Continued Listing Requirement, To Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and To Impose a 30-Day Deadline to Demonstrate Compliance With Certain Initial Listing Requirements Following a Business Combination
SR-NYSE-2018-30
34-83560 Jun. 29, 2018 Notice of Filing of Proposed Rule Change to Provide for the Listing of Exchange Traded Products with No Component NMS Stock Listed on the Exchange, Amend Its Rules Regarding Unlisted Trading Privileges, and Make Corresponding Changes
Comments due: July 27, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2018-29
34-83540 Jun. 28, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program Until December 31, 2018.
Comments due: July 24, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-28
34-83454 Jun. 15, 2018 Notice of Filing of Proposed Rule Change to Make Permanent the Retail Liquidity Program Pilot, Rule 107C, Which is Currently Set to Expire on June 30, 2018
Comments due: July 12, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-26
34-83432 Jun. 14, 2018 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Pillar trading Platform Rule 7.31 Relating to Reserve Orders and Rule 7.36 relating to Setter Priority
Comments due: July 11, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2018-27
34-83424 Jun. 13, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List
Comments due: July 10, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-23
34-83404 Jun. 11, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List Related to Co-location Services in Connection with the Re-launch of Trading on NYSE National, Inc. and Proposed NYSE National Co-location Services
Comments due: July 6, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-24
34-83360 Jun. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Proprietary Market Data Fee Schedule Regarding the NYSE Best Quote and Trades Market Data Feed
Comments due: June 28, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-22
34-83359 Jun. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Content of the NYSE Best Quote & Trades Data Feed
Comments due: June 28, 2018
SR-NYSE-2018-25
34-83356 May 31, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37 and Rule 17 with Respect to NYSE National's Reopening of Trading and Reactivating Connection to the Securities Information Processors
Comments due: June 27, 2018
Additional Materials: Exhibit 5
SR-NYSE-2017-53
34-83355 May 31, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holders Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the 300 Public Stockholders Continued Listing Requirement, To Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and To Impose a 30-Day Deadline to Demonstrate Compliance with Certain Initial Listing Requirements Following a Business Combination
SR-NYSE-2018-19
34-83342 May 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Intercontinental Exchange, Inc. Director Independence Policy
Comments due: June 26, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-21
34-83230 May 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List
Comments due: June 8, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-20
34-83221 May 11, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Users with Connectivity to Three Additional Third Party Data Feeds and Change its Price List Related to these Co-location Services
Comments due: June 7, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-18
34-83158 May 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc.
Comments due: May 29, 2018
Additional Materials: Exhibit 5a
SR-NYSE-2018-16
34-83145 May 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Non-Substantive, Clarifying Change to Footnote 10 of Its Price List
Comments due: May 29, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-17
34-83134 Apr. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13
Comments due: May 25, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-14
34-83117 Apr. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.11 of the Exchange's Listed Company Manual Concerning Fees Applicable to Acquisition Companies for Shares Issued Contingent on the Consummation of a Business Combination
Comments due: May 23, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-15
34-83113 Apr. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Transaction Fees In Connection with the Exchange's Trading of UTP Securities on Pillar
Comments due: May 23, 2018
Additional Materials: Exhibit 5
First Quarter
SR-NYSE-2018-11
34-82985 Apr. 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Charged in Connection with the Filing of Supplemental Listing Applications in Connection with the Issuance of Convertible Securities
Comments due: April 30, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-10
34-82965 Mar. 29, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List
Comments due: April 25, 2018
Additional Materials: Exhibit 5
SR-NYSE-2017-36
34-82945 Mar. 26, 2018 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt New Equity Trading Rules to Trade Securities Pursuant to Unlisted Trading Privileges, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing on Pillar, the Exchange's New Trading Technology Platform
Comments due: April 19, 2018
Additional Materials: Exhibit 4, Exhibit 5
SR-NYSE-2018-09
34-82922 Mar. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Eleventh Amended and Restated Operating Agreement
Comments due: April 17, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-01
34-82831 Mar. 8, 2018 Order Approving Proposed Rule Change to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 907.00 of the Exchange's Listed Company Manual
SR-NYSE-2017-53
34-82804 Mar. 5, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change To Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holders Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the 300 Public Stockholders Continued Listing Requirement, To Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and To Impose a 30-Day Deadline to Demonstrate Compliance with Certain Initial Listing Requirements Following a Business Combination
Comments due: March 30, 2018
Rebuttal comments due: April 13, 2018
SR-NYSE-2017-42
34-82796 Mar. 1, 2018 Order Granting Approval of Proposed Rule Change to Amend the NYSE Listed Company Manual to Modify Its Requirements with Respect to Physical Delivery of Proxy Materials to the Exchange
SR-NYSE-2018-06
34-82731 Feb. 16, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.11 of the Exchange's Listed Company Manual Concerning Fees Applicable to Acquisition Companies for Shares Issued in Connection with the Consummation of a Business Combination
Comments due: March 16, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-08
34-82706 Feb. 13, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List for Equity Transactions in Stocks with a Per Share Stock Price of $1.00 or More to Introduce a New Market at-the-Close and Limit at-the-Close Tier 3
Comments due: March 13, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-07
34-82640 Feb. 6, 2018 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Certain of the Governing Documents of its Intermediate Parent Companies
Comments due: March 5, 2018
Additional Materials: Exhibit 5
SR-NYSE-2017-30
34-82627 Feb. 2, 2018 Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, to Amend Section 102.01B of the NYSE Listed Company Manual to Provide for the Listing of Companies that List Without a Prior Exchange Act Registration and that Are Not Listing in Connection with an Underwritten Initial Public Offering and Related Changes to Rules 15, 104, and 123D
Comments due: March 1, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-05
34-82620 Feb. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Users with Access to Two Additional Third Party Systems and Connectivity to One Additional Third Party Data Feed
Comments due: February 28, 2018
Additional Materials: Exhibit 5
SR-NYSE-2017-36
34-82613 Feb. 1, 2018 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt New Equity Trading Rules for Trading UTP Securities on Pillar, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing
SR-NYSE-2018-04
34-82566 Jan. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Listing Standard for Warrants in Section 703.12 of the Exchange's Listed Company Manual
Comments due: February 16, 2018
Additional Materials: Exhibit 5
SR-NYSE-2017-42
34-82565 Jan. 22, 2018 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend the NYSE Listed Company Manual to Modify Its Requirements with Respect to Physical Delivery of Proxy Materials to the Exchange
SR-NYSE-2018-03
34-82563 Jan. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List
Comments due: February 16, 2018
Additional Materials: Exhibit 5
SR-NYSE-2017-53
34-82531 Jan. 18, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holders Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the 300 Public Stockholders Continued Listing Requirement, To Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and To Impose a 30-Day Deadline to Demonstrate Compliance with the Initial Listing Requirements Following a Business Combination
SR-NYSE-2017-23
34-82524 Jan. 17, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
SR-NYSE-2018-01
34-82506 Jan. 16, 2018 Notice of Filing of Proposed Rule Change to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 907.00 of the Exchange's Listed Company Manual
Comments due: February 12, 2018
Additional Materials: Exhibit 5
SR-NYSE-2017-22
34-82503 Jan. 16, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37


NYSE File Number List for 2018

Release No. Date Details
SR-NYSE-2018-48
34-84434 Oct. 16, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Non-Substantive Amendments to Rules 1.1, 7.31, and 7.46
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2018-47
34-84411 Oct. 11, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fees for Routing Orders in UTP Securities Priced Below $1.00
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2018-46
34-84420 Oct. 12, 2018 Notice of Filing of Proposed Rule Change to Amend the Listed Company Manual for 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 Acquisition Companies a Reasonable Time Period Following a Business Combination to Demonstrate Compliance with the Applicable Quantitative Listing Standards
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2018-44
34-84336 Oct. 2, 2018 Notice of Filing and Immediate Effectiveness of Amendments to Rules Regarding Qualification, Registration and Continuing Education Applicable to Members and Member Organizations
Comments due: October 30, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-43
34-84330 Oct. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 67 to Specify that D-Quote Functionality under Rule 67(f)(5) will Continue To Be in Effect Until Six Months After the End of the Pilot Period
Comments due: October 26, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-42
34-84349 Oct. 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.14, Clearance and Settlement
Comments due: 21 days after publication in the Federal Register
SR-NYSE-2018-41
34-84294 Sep. 27, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.04 of the NYSE Listed Company Manual to Apply a $50,000 Fee Cap Per Transaction for Issuances of Additional Shares by Closed End Funds
Comments due: October 24, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-40
34-84097 Sep. 12, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Price List
Comments due: October 9, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2018-39
34-84100 Sep. 12, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Price List to Amend the Threshold Levels and Rebate Amounts Payable under the Liquidity Provider Incentive Program, and to Amend the Rebate Amount Payable under the Agency Order Incentive Program
Comments due: October 9, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-38
34-83892 Aug. 21, 2018 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: September 17, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-37
34-83929 Aug. 23, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Price List
Comments due: September 19, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-35
34-83717 Jul. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List Related to Co-location Services in Connection with a Proposed Transaction with the Chicago Stock Exchange, Inc. Exchange and Its Parent, CHX Holdings, Inc.
Comments due: August 22, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-34
34-84276 Sep. 24, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Rule 104 Governing Transactions by Designated Market Makers
34-83821 Aug. 10, 2018 Notice of Filing of Proposed Rule Change to Amend NYSE Rule 104 Governing Transactions by Designated Market Makers
Comments due: September 6, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-33
34-84077 Sep. 11, 2018 Order Approving a Proposed Rule Change to Amend Rule 2 To Remove Requirement That a Registered Broker-Dealer Be a Member of the Financial Industry Regulatory Authority, Inc. or Another National Securities Exchange
34-83740 Jul. 30, 2018 Notice of Filing of Proposed Rule Change to Amend Rule 2 to Remove Requirement that a Registered Broker-Dealer be a Member of the Financial Industry Regulatory Authority, Inc. or Another National Securities Exchange
Comments due: August 24, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2018-32
34-83706 Jul. 25, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List Related to Colocation
Comments due: August 21, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-31
34-83836 Aug. 13, 2018 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Require Certain Member Organizations to Participate in Scheduled Market-Wide Circuit Breaker Testing
34-83601 Jul. 6, 2018 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Require Certain Member Organizations to Participate in Scheduled Market-Wide Circuit Breaker Testing
Comments due: August 1, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2018-30
34-84351 Oct. 3, 2018 Order Approving a Proposed Rule Change to Provide for the Listing of Exchange Traded Products with No Component NMS Stock Listed on the Exchange, Delete Obsolete Listing Rules for Exchange Traded Products and Amend Rules Regarding Unlisted Trading Privileges
34-83860 Aug. 16, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Provide for the Listing of Exchange Traded Products with No Component NMS Stock Listed on the Exchange, Amend Its Rules Regarding Unlisted Trading Privileges, and Make Corresponding Changes
34-83560 Jun. 29, 2018 Notice of Filing of Proposed Rule Change to Provide for the Listing of Exchange Traded Products with No Component NMS Stock Listed on the Exchange, Amend Its Rules Regarding Unlisted Trading Privileges, and Make Corresponding Changes
Comments due: July 27, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2018-29
34-83540 Jun. 28, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program Until December 31, 2018.
Comments due: July 24, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-28
34-84183 Sep. 18, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Make Permanent the Retail Liquidity Program Pilot, Which is Set to Expire on December 31, 2018
Comments due: October 15, 2018
Rebuttal comments due: October 29, 2018
34-83749 Jul. 31, 2018 Notice of Designation of a Longer Period on Commission Action of Proposed Rule Change to Make Permanent the Retail Liquidity Program Pilot, NYSE Rule 107C, Which is Set to Expire on December 31, 2018
34-83454 Jun. 15, 2018 Notice of Filing of Proposed Rule Change to Make Permanent the Retail Liquidity Program Pilot, Rule 107C, Which is Currently Set to Expire on June 30, 2018
Comments due: July 12, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-27
34-83424 Jun. 13, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List
Comments due: July 10, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-26
34-83768 Aug. 3, 2018 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Amending the Exchange's Rules Relating to Reserve Orders, Primary Pegged Orders, and Setter Priority for UTP Securities Trading on the Exchange's Pillar Platform
34-83432 Jun. 14, 2018 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Pillar trading Platform Rule 7.31 Relating to Reserve Orders and Rule 7.36 relating to Setter Priority
Comments due: July 11, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2018-25
34-83356 May 31, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37 and Rule 17 with Respect to NYSE National's Reopening of Trading and Reactivating Connection to the Securities Information Processors
Comments due: June 27, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-24
34-83360 Jun. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Proprietary Market Data Fee Schedule Regarding the NYSE Best Quote and Trades Market Data Feed
Comments due: June 28, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-23
34-83404 Jun. 11, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List Related to Co-location Services in Connection with the Re-launch of Trading on NYSE National, Inc. and Proposed NYSE National Co-location Services
Comments due: July 6, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-22
34-83359 Jun. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Content of the NYSE Best Quote & Trades Data Feed
Comments due: June 28, 2018
SR-NYSE-2018-21
34-83230 May 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List
Comments due: June 8, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-20
34-83221 May 11, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Users with Connectivity to Three Additional Third Party Data Feeds and Change its Price List Related to these Co-location Services
Comments due: June 7, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-19
34-83342 May 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Intercontinental Exchange, Inc. Director Independence Policy
Comments due: June 26, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-18
34-83158 May 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc.
Comments due: May 29, 2018
Additional Materials: Exhibit 5a
SR-NYSE-2018-17
34-83134 Apr. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13
Comments due: May 25, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-16
34-83145 May 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Non-Substantive, Clarifying Change to Footnote 10 of Its Price List
Comments due: May 29, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-15
34-83113 Apr. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Transaction Fees In Connection with the Exchange's Trading of UTP Securities on Pillar
Comments due: May 23, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-14
34-83117 Apr. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.11 of the Exchange's Listed Company Manual Concerning Fees Applicable to Acquisition Companies for Shares Issued Contingent on the Consummation of a Business Combination
Comments due: May 23, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-11
34-82985 Apr. 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Charged in Connection with the Filing of Supplemental Listing Applications in Connection with the Issuance of Convertible Securities
Comments due: April 30, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-10
34-82965 Mar. 29, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List
Comments due: April 25, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-09
34-82922 Mar. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Eleventh Amended and Restated Operating Agreement
Comments due: April 17, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-08
34-82706 Feb. 13, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List for Equity Transactions in Stocks with a Per Share Stock Price of $1.00 or More to Introduce a New Market at-the-Close and Limit at-the-Close Tier 3
Comments due: March 13, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-07
34-82640 Feb. 6, 2018 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Certain of the Governing Documents of its Intermediate Parent Companies
Comments due: March 5, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-06
34-82731 Feb. 16, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.11 of the Exchange's Listed Company Manual Concerning Fees Applicable to Acquisition Companies for Shares Issued in Connection with the Consummation of a Business Combination
Comments due: March 16, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-05
34-82620 Feb. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Users with Access to Two Additional Third Party Systems and Connectivity to One Additional Third Party Data Feed
Comments due: February 28, 201
Additional Materials: Exhibit 5
SR-NYSE-2018-04
34-82566 Jan. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Listing Standard for Warrants in Section 703.12 of the Exchange's Listed Company Manual
Comments due: February 16, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-03
34-82563 Jan. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List
Comments due: February 16, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-01
34-82831 Mar. 8, 2018 Order Approving Proposed Rule Change to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 907.00 of the Exchange's Listed Company Manual
34-82506 Jan. 16, 2018 Notice of Filing of Proposed Rule Change to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 907.00 of the Exchange's Listed Company Manual
Comments due: February 12, 2018
Additional Materials: Exhibit 5