NYSE Rulemaking

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Chronological List
Second Quarter |  First Quarter

NYSE File Number List for 2019

Additional Archives

Chronological List for 2019

Release No. Date Details
Second Quarter
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
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
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
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-2019-19
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
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-2019-13
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
34-85367 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
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
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
34-85552 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