NYSE Rulemaking

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Chronological List
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

NYSE File Number List for 2017

Additional Archives

Chronological List for 2017

Release No. Date Details
Fourth Quarter
SR-NYSE-2017-58
34-82086 Nov. 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.06 of the NYSE Listed Company Manual
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2017-57
34-82081 Nov. 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Governing Documents of Its Intermediate Parent Companies Intercontinental Exchange Holdings, Inc., NYSE Holdings LLC and NYSE Group, Inc. to Make Them More Consistent with the Governing Documents of Their Ultimate Parent Intercontinental Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e, Exhibit 5f
SR-NYSE-2017-22
34-82049 Nov. 9, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
See also: Notice: Rel. No. 34-80693, Order: Rel. No. 34-81067
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
SR-NYSE-2017-36
34-82028 Nov. 7, 2017 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change 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: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
See also: Notice: Rel. No. 34-81641, Notice: Rel. No. 34-81310
SR-NYSE-2017-56
34-82020 Nov. 6, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain of its Listing Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2017-55
34-82018 Nov. 6, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List Relating to Co-location Services to Reflect the Name Change of a Third Party Data Feed
Comments due: 21 days after publication in the Federal Register
SR-NYSE-2017-52
34-81926 Oct. 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Users with Access to Five Additional Third Party Systems and Connectivity to Two Additional Third Party Data Feeds
Comments due: November 20, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-32
34-81914 Oct. 20, 2017 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Section 202.06 of the NYSE Listed Company Manual to Prohibit Listed Companies From Issuing Material News After the Official Closing Time for the Exchange's Trading Session Until the Earlier of Publication of Such Company's Official Closing Price on the Exchange or Five Minutes After the Official Closing Time
See also: Notice: Rel. No. 34-81494
SR-NYSE-2017-51
34-81880 Oct. 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 80C, 104, 107B, and 128
Comments due: November 13, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-31
34-81856 Oct. 11, 2017 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 the Listed Company Manual to Adopt Initial and Continued Listing Standards for Subscription Receipts
Comments due: November 7, 2017
See also: Notice: Rel. No. 34-81478, Notice: Rel. No. 34-81102
SR-NYSE-2017-50
34-81791 Oct. 2, 2017 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
Comments due: October 27, 2017
Additional Materials: Exhibit 5
Third Quarter
SR-NYSE-2017-49
34-81776 Sep. 29, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical and Conforming Changes to Section 703.02 of the NYSE Listed Company Manual
Comments due: October 26, 2017
SR-NYSE-2017-36
34-81641 Sep. 18, 2017 Notice of Designation of a Longer Period for Commission Action on 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
See also:  Order: Rel. No. 34-82028, Notice: Rel. No. 34-81310
SR-NYSE-2017-30
34-81640 Sep. 15, 2017 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, 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: October 12, 2017
Rebuttal comments due: October 26, 2017
See also: Notice: Rel. No. 34-81309, Notice: Rel. No. 34-80933, Notice: Rel. No. 34-81440
Comments received are available for this proposal.
SR-NYSE-2017-47
34-81612 Sep. 14, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List
Comments due: October 11, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-44
34-81548 Sep. 7, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Its Rules to Make Technical and Conforming Updates, in Connection with the Merger of NYSE Arca Equities, Inc. with and into the Exchange's Affiliate NYSE Arca, Inc. and the Name Change of NYSE National, Inc.
Comments due: October 4, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-43
34-81531 Sep. 5, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Delay the Implementation of its Recently Approved Rule Requiring Listed Companies to Provide Advance Notice of Dividend or Stock Distribution Announcements to the Exchange
Comments due: October 2, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2017-23
34-81499 Aug. 30, 2017 Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
See also: Notice: Rel. No. 34-80799
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-2017-24
34-81500 Aug. 30, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80780
Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31
SR-NYSE-2017-32
34-81494 Aug. 29, 2017 Notice of Filing of Proposed Rule Change to Amend Section 202.06 of the NYSE Listed Company Manual to Prohibit Listed Companies From Issuing Material News After the Official Closing Time for the Exchange's Trading Session Until the Earlier of Publication of Such Company's Official Closing Price on the Exchange or Five Minutes After the Official Closing Time
Comments due:  September 26, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-81914
Comments received are available for this proposal.
SR-NYSE-2017-31
34-81478 Aug. 24, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the Listed Company Manual to Adopt Initial and Continued Listing Standards for Subscription Receipts
See also: Notice: Rel. No. 34-81102, Notice: Rel. No. 34-81856
SR-NYSE-2017-30
34-81440 Aug. 18, 2017 Notice of Filing of Amendment No. 2 to Proposed Rule Change 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: September 14, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-81309, Notice: Rel. No. 34-80933, Notice: Rel. No. 34-81640
SR-NYSE-2017-41
34-81420 Aug. 17, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change in Connection with the Name Change of its Affiliate, from NYSE MKT LLC to NYSE American LLC
Comments due: September 13, 2017
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d
SR-NYSE-2017-17
34-81393 Aug. 14, 2017 Order Granting Approval of Proposed Rule Change to Provide Advance Notice of Dividend or Stock Distribution Announcements to the Exchange
See also: Notice: Rel. No. 34-81021
SR-NYSE-2017-36
34-81310 Aug. 3, 2017 Notice of Filing of Proposed Rule Change for Trading UTP Securities on Pillar, the Exchange's New Trading Technology Platform, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing
Comments due: August 30, 2017
Additional Materials: Exhibit 5
See also:  Order: Rel. No. 34-82028, Notice: Rel. No. 34-81641
SR-NYSE-2017-30
34-81309 Aug. 3, 2017 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, 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
See also: Notice: Rel. No. 34-81440, Notice: Rel. No. 34-80933, Notice: Rel. No. 34-81640
SR-NYSE-2017-38
34-81231 Jul. 27, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the September 5, 2017 Compliance Date for the Shortening of the Standard Settlement Cycle from Three Business Days After the Trade Date to Two Business Days After the Trade Date
Comments due: August 23, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-08
34-81226 Jul. 27, 2017 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend its Listing Standards for Closed-end Funds
Comments due: August 23, 2017
See also: Notice: Rel. No. 34-80867
SR-NYSE-2017-35
34-81225 Jul. 27, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Trading UTP Securities on Pillar, the Exchange's New Trading Technology Platform
Comments due: August 23, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-33
34-81176 Jul. 20, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Non-Regular Way Trading on the Exchange
Comments due: August 16, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-23
34-81145 Jul. 14, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-80799, Notice: Rel. No. 34-81499
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-IEX-2017-18, SR-ISE-2017-46, 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-2016-71
34-81150 Jul. 14, 2017 Order Disapproving Proposed Rule Changes Amending Exchange Rule 104 to Delete Subsection (g)(i)(A)(III), Which Prohibits Designated Market Makers from Engaging in Transactions, During the Last Ten Minutes of Trading Before the Close, that Establish a New High (Low) Price for the Day on the Exchange in an Assigned Security in Which the DMM Has a Long (Short) Position
See also: Notice: Rel. No. 34-80552, Notice: Rel. No. 34-80044, Notice: Rel. No. 34-79612, Notice: Rel. No. 34-79284
Additional File No.: SR-NYSEMKT 2016-99
SR-NYSE-2017-24
34-81110 Jul. 10, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 6900 to Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members
See also:  Order: Rel. No. 34-81500, Notice: Rel. No. 34-80780
SR-NYSE-2017-07
34-81103 Jul. 7, 2017 Order Granting Approval of Proposed Rule Changes, as Modified by Amendment No. 1, Amending NYSE Rule 36 and NYSE MKT Rule 36 - Equities to Permit Exchange Floor Brokers to Use Non-Exchange Provided Telephones on the Floor
See also: Notice: Rel. No. 34-80753, Notice: Rel. No. 34-80374
Additional File No.: SR-NYSEMKT-2017-16
SR-NYSE-2017-31
34-81102 Jul. 7, 2017 Notice of Filing of Proposed Rule Change to Amend the Listed Company Manual to Adopt Initial and Continued Listing Standards for Subscription Receipts
Comments due: August 3, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-81478, Notice: Rel. No. 34-81856
Comments received are available for this proposal.
SR-NYSE-2017-11
34-81079 Jul. 5, 2017 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend Listing Standards for Special Purpose Acquisition Companies to Modify the Initial and Continued Distribution Requirements
Comments due: August 1, 2017
See also: Notice: Rel. No. 34-80358, Notice: Rel. No. 34-80735
SR-NYSE-2017-20
34-81073 Jul. 3, 2017 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 Listing Standards for Special Purpose Acquisition Companies to Change its Requirements with Respect to the Approval of a Business Combination
Comments due: July 31, 2017
See also: Notice: Rel. No. 34-80677
Second Quarter
SR-NYSE-2017-22
34-81067 Jun. 30, 2017 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017
Rebuttal comments due: August 11, 2017
See also: Notice: Rel. No. 34-80693, Notice: Rel. No. 34-82049
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-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37
Comments received are available for this proposal.
SR-NYSE-2017-17
34-81021 Jun. 26, 2017 Notice of Filing of Proposed Rule Change to Require Listed Companies to Provide Advance Notice of Dividend Announcements to the Exchange
Comments due: July 21, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-81393
SR-NYSE-2017-25
34-81014 Jun. 23, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Access for Users to Two Third Party Systems and Connectivity to Six Additional Third Party Data Feeds
Comments due: July 20, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-12
34-81000 Jun. 22, 2017 Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 3, to Amend Section 102.01B of the NYSE Listed Company Manual to Modify the Requirements that Apply to Companies that List Without a Prior Exchange Act Registration and that Are Not Listing in Connection with an Underwritten Initial Public Offering
See also: Notice: Rel. No. 34-80670, Notice: Rel. No. 34-80313
SR-NYSE-2017-27
34-80934 Jun. 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List Regarding the Liquidity Provider Incentive Program
Comments due: July 11, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-30
34-80933 Jun. 15, 2017 Notice of Filing of Proposed Rule Change 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: July 11, 2017
Additional Materials: Exhibit 5
See also:Notice: Rel. No. 34-81440,  Notice: Rel. No. 34-81309, Notice: Rel. No. 34-81640
Comments received are available for this proposal.
SR-NYSE-2017-28
34-80906 Jun. 12, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Authority to Grant Exemptions from the OATS Requirements
Comments due: July 7, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-08
34-80867 Jun. 6, 2017 Notice of Filing of Proposed Rule Change to Amend its Listing Standards for Closed-end Funds
Comments due: July 3, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-81226
Comments received are available for this proposal.
SR-NYSE-2017-26
34-80844 Jun. 1, 2017 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, 2017
Comments due: June 28, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-21
34-80807 May 30, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rules 5220 and 9560 and Amend Rule 8313
Comments due: June 26, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-24
34-80780 May 26, 2017 Notice of Filing of Proposed Rule Change to Adopt Rule 6900 to Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members
Comments due: June 22, 2017
Additional Materials: Exhibit 5
See also:  Order: Rel. No. 34-81500, Notice: Rel. No. 34-81110
Comments received are available for this proposal.
SR-NYSE-2017-23
34-80799 May 26, 2017 Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 23, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-81145, Notice: Rel. No. 34-81499
Comments received are available for this proposal.
SR-NYSE-2017-07
34-80753 May 24, 2017 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Amending NYSE Rule 36 and NYSE MKT Rule 36 - Equities to Permit Exchange Floor Brokers to Use Non-Exchange Provided Telephones on the Floor
See also: Order: Rel. No. 34-81103, Notice: Rel. No. 34-80374
Additional File No.: SR-NYSEMKT-2017-16
SR-NYSE-2017-13
34-80752 May 24, 2017 Order Approving Proposed Rule Changes to Amend the Certificate and Bylaws of Their Ultimate Parent Company, Intercontinental Exchange, Inc.
See also: Notice: Rel. No. 34-80420
Additional File Nos.: SR-NYSEArca-2017-29, SR-NYSEMKT-2017-17, SR-NYSENAT-2017-01
SR-NYSE-2017-11
34-80735 May 19, 2017 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Its Listing Standards for Special Purpose Acquisition Companies to Modify the Initial and Continued Distribution Requirements
See also: Notice: Rel. No. 34-80358
SR-NYSE-2017-22
34-80693 May 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Price List
Comments due: June 12, 2017
Additional Materials: Exhibit 3, Exhibit 5
See also: Order: Rel. No. 34-81067, Notice: Rel. No. 34-82049
Comments received are available for this proposal.
SR-NYSE-2017-20
34-80677 May 15, 2017 Notice of Filing of Proposed Rule Change Amending its Listing Standard for Special Purpose Acquisition Companies to Change Shareholder Vote Requirement for the Approval of a Business Combination
Comments due: June 9, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-12
34-80670 May 12, 2017 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend Section 102.01B of the NYSE Listed Company Manual to Modify the Requirements that Apply to Companies that List Without a Prior Exchange Act Registration and that Are Not Listing in Connection with an Underwritten Initial Public Offering
See also: Notice: Rel. No. 34-81000, Notice: Rel. No. 34-80313
SR-NYSE-2017-19
34-80642 May 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 67 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 6, 2017
Additional Materials: Exhibit 5
SR-NYSE-2016-71
34-80552 Apr. 28, 2017 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending Rule 104 to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Security the DMM has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading
See also: Order: Rel. No. 34-81150; Notice: Rel. No. 34-80044, Notice: Rel. No. 34-79612, Notice: Rel. No. 34-79284, Notice: Rel. No. 34-80552
SR-NYSE-2017-18
34-80542 Apr. 27, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Annual Fee Cap for Acquisition Companies
Comments due: May 24, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-14
34-80456 Apr. 13, 2017 Notice of Filing and Immediate Effectiveness of Proposal to Adopt a Fee Schedule for Acquisition Companies
Comments due: May 10, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-13
34-80420 Apr. 10, 2017 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc.
Comments due: May 5, 2017
Additional Materials: Exhibit 5a, Exhibit 5b
See also: Order: Rel. No. 34-80752
Comments received are available for this proposal.
SR-NYSE-2017-15
34-80398 Apr. 7, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Section 204.25 (Treasury Stock Changes) from the NYSE Listed Company Manual
Comments due: May 4, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-07
34-80374 Apr. 4, 2017 Notice of Filing of Proposed Rule Change Amending Rule 36 to Permit Exchange Floor Brokers to Use Non-Exchange Provided Telephones on the Floor
Comments due: May 1, 2017
Additional Materials: Exhibit 5, Exhibit 5a
See also: Order: Rel. No. 34-81103, Notice: Rel. No. 34-80753
Comments received are available for this proposal.
First Quarter
SR-NYSE-2017-11
34-80358 Mar. 31, 2017 Notice of Filing of Proposed Rule Change to Amend Listing Standards for Acquisition Companies to Modify the Initial and Continued Distribution Requirements
Comments due: April 27, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2017-03
34-80334 Mar. 29, 2017 Order Approving Proposed Rule Change Amending Rule 98
See also: Notice: Rel. No. 34-80019
SR-NYSE-2017-12
34-80313 Mar. 27, 2017 Notice of Filing of Proposed Rule Change to Amend Section 102.01B of the NYSE Listed Company Manual to Modify the Requirements that Apply to Companies that List Without a Prior Exchange Act Registration and that Are Not Listing in Connection with an Underwritten Initial Public Offering
Comments due: April 21, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-81000, Notice: Rel. No. 34-80670
Comments received are available for this proposal.
SR-NYSE-2016-45
34-80311 Mar. 24, 2017 Notice of Filing of Partial Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 through 4, to Amend the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees
See also: Notice: Rel. No. 34-80002, Notice: Rel. No. 34-79674, Notice: Rel. No. 34-79316, Notice: Rel. No. 34-78966, Notice: Rel. No. 34-78887, Notice: Rel. No. 34-78556
Comments due: April 20, 2017
SR-NYSE-2017-01
34-80256 Mar. 15, 2017 Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
See also: Notice: Rel. No. 34-79907
Additional File Nos.:  SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03
SR-NYSE-2017-09
34-80222 Mar. 13, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List
Comments due: April 7, 2017
Additional Materials: Exhibit 5
SR-NYSE-2016-44
34-80214 Mar. 10, 2017 Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 4, Allowing the Exchange to Trade Pursuant to Unlisted Trading Privileges Any NMS Stock Listed on Another National Securities Exchange; Establishing Listing and Trading Requirements for Exchange Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to Unlisted Trading Privileges on the Pillar Platform
Comments due: April 6, 2017
See also: Notice: Rel. No. 34-79736, Notice: Rel. No. 34-79085, Notice: Rel. No. 34-78641, Notice: Rel. No. 34-78263
SR-NYSE-2016-72
34-80199 Mar. 10, 2017 Order Granting Approval of a Proposed Rule Change Amending Initial and Continued Listing Standards for Special Purpose Acquisition Companies
See also: Notice: Rel. No. 34-79676, Notice: Rel. No. 34-80022
SR-NYSE-2017-10
34-80172 Mar. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 67 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 4, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-05
34-80125 Feb. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-location Services Offered by the Exchange Adding a Wireless Connection to Toronto Stock Exchange (TSX) Third Party Data
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2017-06
34-80122 Feb. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 103B
Comments due: March 27, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-04
34-80084 Feb. 22, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Eighth Amended and Restated Certificate of Incorporation of Intercontinental Exchange Holdings, Inc. and the Fifth Amended and Restated Certificate of Incorporation of NYSE Group, Inc.
Comments due: March 20, 2017
Additional Materials: Exhibit 5A, Exhibit 5B
SR-NYSE-2016-71
34-80044 Feb. 15, 2017 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending Rule 104 to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Security the DMM has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading
Comments due: March 15, 2017
Rebuttal comments due: March 29, 2017
See also: Order: Rel. No. 34-81150; Notice: Rel. No. 34-79612, Notice: Rel. No. 34-79284, Notice: Rel. No. 34-80552
Comments received are available for this proposal.
SR-NYSE-2017-02
34-80030 Feb. 13, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.02 of the New York Stock Exchange LLC Listed Company Manual to Waive the First Partial Year's Annual Fees for Companies Transferring from Other Exchanges
Comments due: March 10, 2017
Additional Materials: Exhibit 5
SR-NYSE-2016-72
34-80022 Feb. 10, 2017 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Its Listing Standards for Special Purpose Acquisition Companies
See also: Order: Rel. No. 34-80199, Notice: Rel. No. 34-79676
SR-NYSE-2016-87
34-80021 Feb. 10, 2017 Order Granting Approval of a Proposed Rule Change to Conform to Proposed Amendment to Rule 15c6-1(a) under the Securities Exchange Act of 1934 to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from Three Business Days after the Trade Date ("T+3") to Two Business Days after the Trade Date ("T+2")
See also: Notice: Rel. No. 34-79659
SR-NYSE-2017-03
34-80019 Feb. 10, 2017 Notice of Filing of Proposed Rule Change Amending Rule 98
Comments due: March 9, 2017
See also: Order: Rel. No. 34-80334
SR-NYSE-2016-45
34-80002 Feb. 9, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 - 4, to Amend the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees
See also: Notice: Rel. No. 34-80311, Notice: Rel. No. 34-79674, Notice: Rel. No. 34-79316, Notice: Rel. No. 34-78966, Notice: Rel. No. 34-78887, Notice: Rel. No. 34-78556
SR-NYSE-2017-01
34-79907 Jan. 31, 2017 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the Rule 6800 Series to Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: February 27, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-80256
Comments received are available for this proposal.
SR-NYSE-2016-90
34-79901 Jan. 30, 2017 Order Approving Proposed Rule Changes, Each as Modified by Amendment No. 1 Thereto, in Connection with the Proposed Acquisition of National Stock Exchange, Inc. by the NYSE Group, Inc.
Additional File Nos.: SR-NYSEArca-2016-167, SR-NYSEMKT-2016-122
See also: Notice: Rel. No. 34-79671
SR-NYSE-2016-93
34-79748 Jan. 6, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List
Comments due:  February 2, 2017
Additional Materials: Exhibit 5
SR-NYSE-2016-44
34-79736 Jan. 4, 2017 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendments No. 1 and 2, Allowing the Exchange to Trade Pursuant to Unlisted Trading Privileges Any NMS Stock Listed on Another National Securities Exchange; Establishing Listing and Trading Requirements for Exchange Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform
See also: Notice: Rel. No. 34-80214, Notice: Rel. No. 34-79085, Notice: Rel. No. 34-78641, Notice: Rel. No. 34-78263
SR-NYSE-2016-92
34-79730 Jan. 4, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange’s Price List Related to Co-location Services to Increase LCN and IP Network Fees and Add a Description of Access to Trading and Execution Services and Connectivity to Included Data Products
Comments due:  January 31, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.


NYSE File Number List for 2017

Release No. Date Details
SR-NYSE-2017-58
34-82086 Nov. 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.06 of the NYSE Listed Company Manual
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2017-57
34-82081 Nov. 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Governing Documents of Its Intermediate Parent Companies Intercontinental Exchange Holdings, Inc., NYSE Holdings LLC and NYSE Group, Inc. to Make Them More Consistent with the Governing Documents of Their Ultimate Parent Intercontinental Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e, Exhibit 5f
SR-NYSE-2017-56
34-82020 Nov. 6, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain of its Listing Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2017-55
34-82018 Nov. 6, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List Relating to Co-location Services to Reflect the Name Change of a Third Party Data Feed
Comments due: 21 days after publication in the Federal Register
SR-NYSE-2017-52
34-81926 Oct. 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Users with Access to Five Additional Third Party Systems and Connectivity to Two Additional Third Party Data Feeds
Comments due: November 20, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-51
34-81880 Oct. 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 80C, 104, 107B, and 128
Comments due: November 13, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-50
34-81791 Oct. 2, 2017 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
Comments due: October 27, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-49
34-81776 Sep. 29, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical and Conforming Changes to Section 703.02 of the NYSE Listed Company Manual
Comments due: October 26, 2017
SR-NYSE-2017-47
34-81612 Sep. 14, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List
Comments due: October 11, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-44
34-81548 Sep. 7, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Its Rules to Make Technical and Conforming Updates, in Connection with the Merger of NYSE Arca Equities, Inc. with and into the Exchange's Affiliate NYSE Arca, Inc. and the Name Change of NYSE National, Inc.
Comments due: October 4, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-43
34-81531 Sep. 5, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Delay the Implementation of its Recently Approved Rule Requiring Listed Companies to Provide Advance Notice of Dividend or Stock Distribution Announcements to the Exchange
Comments due: October 2, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2017-41
34-81420 Aug. 17, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change in Connection with the Name Change of its Affiliate, from NYSE MKT LLC to NYSE American LLC
Comments due: September 13, 2017
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d
SR-NYSE-2017-38
34-81231 Jul. 27, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the September 5, 2017 Compliance Date for the Shortening of the Standard Settlement Cycle from Three Business Days After the Trade Date to Two Business Days After the Trade Date
Comments due: August 23, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-36
34-82028 Nov. 7, 2017 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change 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: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
See also: Notice: Rel. No. 34-81641, Notice: Rel. No. 34-81310
34-81641 Sep. 18, 2017 Notice of Designation of a Longer Period for Commission Action on 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
34-81310 Aug. 3, 2017 Notice of Filing of Proposed Rule Change for Trading UTP Securities on Pillar, the Exchange's New Trading Technology Platform, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing
Comments due: August 30, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-35
34-81225 Jul. 27, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Trading UTP Securities on Pillar, the Exchange's New Trading Technology Platform
Comments due: August 23, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-33
34-81176 Jul. 20, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Non-Regular Way Trading on the Exchange
Comments due: August 16, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-32
34-81914 Oct. 20, 2017 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Section 202.06 of the NYSE Listed Company Manual to Prohibit Listed Companies From Issuing Material News After the Official Closing Time for the Exchange's Trading Session Until the Earlier of Publication of Such Company's Official Closing Price on the Exchange or Five Minutes After the Official Closing Time
34-81494 Aug. 29, 2017 Notice of Filing of Proposed Rule Change to Amend Section 202.06 of the NYSE Listed Company Manual to Prohibit Listed Companies From Issuing Material News After the Official Closing Time for the Exchange's Trading Session Until the Earlier of Publication of Such Company's Official Closing Price on the Exchange or Five Minutes After the Official Closing Time
Comments due: September 26, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2017-31
34-81856 Oct. 11, 2017 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 the Listed Company Manual to Adopt Initial and Continued Listing Standards for Subscription Receipts
Comments due: November 7, 2017
34-81478 Aug. 24, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the Listed Company Manual to Adopt Initial and Continued Listing Standards for Subscription Receipts
34-81102 Jul. 7, 2017 Notice of Filing of Proposed Rule Change to Amend the Listed Company Manual to Adopt Initial and Continued Listing Standards for Subscription Receipts
Comments due: August 3, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2017-30
34-81640 Sep. 15, 2017 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, 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: October 12, 2017
Rebuttal comments due: October 26, 2017
Comments received are available for this proposal.
34-81440 Aug. 18, 2017 Notice of Filing of Amendment No. 2 to Proposed Rule Change 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: September 14, 2017
Additional Materials: Exhibit 5
34-81309 Aug. 3, 2017 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, 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
34-80933 Jun. 15, 2017 Notice of Filing of Proposed Rule Change 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: July 11, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2017-28
34-80906 Jun. 12, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Authority to Grant Exemptions from the OATS Requirements
Comments due: July 7, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-27
34-80934 Jun. 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List Regarding the Liquidity Provider Incentive Program
Comments due: July 11, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-26
34-80844 Jun. 1, 2017 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, 2017
Comments due: June 28, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-25
34-81014 Jun. 23, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Access for Users to Two Third Party Systems and Connectivity to Six Additional Third Party Data Feeds
Comments due: July 20, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-24
34-81500 Aug. 30, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80780
Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31
34-81110 Jul. 10, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 6900 to Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members
34-80780 May 26, 2017 Notice of Filing of Proposed Rule Change to Adopt Rule 6900 to Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members
Comments due: June 22, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2017-23
34-81499 Aug. 30, 2017 Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
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
34-81145 Jul. 14, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes 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-IEX-2017-18, SR-ISE-2017-46, 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
34-80799 May 26, 2017 Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 23, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-81145
Comments received are available for this proposal.
SR-NYSE-2017-22
34-82049 Nov. 9, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes 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
34-81067 Jun. 30, 2017 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017
Rebuttal comments due: August 11, 2017
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-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37
Comments received are available for this proposal.
34-80693 May 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Price List
Comments due: June 12, 2017
Additional Materials: Exhibit 3, Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2017-21
34-80807 May 30, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rules 5220 and 9560 and Amend Rule 8313
Comments due: June 26, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-20
34-81073 Jul. 3, 2017 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 Listing Standards for Special Purpose Acquisition Companies to Change its Requirements with Respect to the Approval of a Business Combination
Comments due: July 31, 2017
34-80677 May 15, 2017 Notice of Filing of Proposed Rule Change Amending its Listing Standard for Special Purpose Acquisition Companies to Change Shareholder Vote Requirement for the Approval of a Business Combination
Comments due: June 9, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-19
34-80642 May 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 67 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 6, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-18
34-80542 Apr. 27, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Annual Fee Cap for Acquisition Companies
Comments due: May 24, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-17
34-81393 Aug. 14, 2017 Order Granting Approval of Proposed Rule Change to Provide Advance Notice of Dividend or Stock Distribution Announcements to the Exchange
34-81021 Jun. 26, 2017 Notice of Filing of Proposed Rule Change to Require Listed Companies to Provide Advance Notice of Dividend Announcements to the Exchange
Comments due: July 21, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-15
34-80398 Apr. 7, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Section 204.25 (Treasury Stock Changes) from the NYSE Listed Company Manual
Comments due: May 4, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-14
34-80456 Apr. 13, 2017 Notice of Filing and Immediate Effectiveness of Proposal to Adopt a Fee Schedule for Acquisition Companies
Comments due: May 10, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-13
34-80752 May 24, 2017 Order Approving Proposed Rule Changes to Amend the Certificate and Bylaws of Their Ultimate Parent Company, Intercontinental Exchange, Inc.
Additional File Nos.: SR-NYSEArca-2017-29, SR-NYSEMKT-2017-17, SR-NYSENAT-2017-01
34-80420 Apr. 10, 2017 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc.
Comments due: May 5, 2017
Additional Materials: Exhibit 5a, Exhibit 5b
Comments received are available for this proposal.
SR-NYSE-2017-12
34-81000 Jun. 22, 2017 Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 3, to Amend Section 102.01B of the NYSE Listed Company Manual to Modify the Requirements that Apply to Companies that List Without a Prior Exchange Act Registration and that Are Not Listing in Connection with an Underwritten Initial Public Offering
34-80670 May 12, 2017 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend Section 102.01B of the NYSE Listed Company Manual to Modify the Requirements that Apply to Companies that List Without a Prior Exchange Act Registration and that Are Not Listing in Connection with an Underwritten Initial Public Offering
34-80313 Mar. 27, 2017 Notice of Filing of Proposed Rule Change to Amend Section 102.01B of the NYSE Listed Company Manual to Modify the Requirements that Apply to Companies that List Without a Prior Exchange Act Registration and that Are Not Listing in Connection with an Underwritten Initial Public Offering
Comments due: April 21, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2017-11
34-81079 Jul. 5, 2017 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend Listing Standards for Special Purpose Acquisition Companies to Modify the Initial and Continued Distribution Requirements
Comments due: August 1, 2017
See also: Notice: Rel. No. 34-80358, Notice: Rel. No. 34-80735
34-80735 May 19, 2017 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Its Listing Standards for Special Purpose Acquisition Companies to Modify the Initial and Continued Distribution Requirements
34-80358 Mar. 31, 2017 Notice of Filing of Proposed Rule Change to Amend Listing Standards for Acquisition Companies to Modify the Initial and Continued Distribution Requirements
Comments due: April 27, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2017-10
34-80172 Mar. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 67 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 4, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-09
34-80222 Mar. 13, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List
Comments due: April 7, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-08
34-81226 Jul. 27, 2017 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend its Listing Standards for Closed-end Funds
Comments due: August 23, 2017
34-80867 Jun. 6, 2017 Notice of Filing of Proposed Rule Change to Amend its Listing Standards for Closed-end Funds
Comments due: July 3, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2017-07
34-81103 Jul. 7, 2017 Order Granting Approval of Proposed Rule Changes, as Modified by Amendment No. 1, Amending NYSE Rule 36 and NYSE MKT Rule 36 - Equities to Permit Exchange Floor Brokers to Use Non-Exchange Provided Telephones on the Floor
Additional File No.: SR-NYSEMKT-2017-16
34-80753 May 24, 2017 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Amending NYSE Rule 36 and NYSE MKT Rule 36 - Equities to Permit Exchange Floor Brokers to Use Non-Exchange Provided Telephones on the Floor
Additional File No.: SR-NYSEMKT-2017-16
34-80374 Apr. 4, 2017 Notice of Filing of Proposed Rule Change Amending Rule 36 to Permit Exchange Floor Brokers to Use Non-Exchange Provided Telephones on the Floor
Comments due: May 1, 2017
Additional Materials: Exhibit 5, Exhibit 5a
Comments received are available for this proposal.
SR-NYSE-2017-06
34-80122 Feb. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 103B
Comments due: March 27, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-05
34-80125 Feb. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-location Services Offered by the Exchange Adding a Wireless Connection to Toronto Stock Exchange (TSX) Third Party Data
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2017-04
34-80084 Feb. 22, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Eighth Amended and Restated Certificate of Incorporation of Intercontinental Exchange Holdings, Inc. and the Fifth Amended and Restated Certificate of Incorporation of NYSE Group, Inc.
Comments due: March 20, 2017
Additional Materials: Exhibit 5A, Exhibit 5B
SR-NYSE-2017-03
34-80334 Mar. 29, 2017 Order Approving Proposed Rule Change Amending Rule 98
34-80019 Feb. 10, 2017 Notice of Filing of Proposed Rule Change Amending Rule 98
Comments due: March 9, 2017
SR-NYSE-2017-02
34-80030 Feb. 13, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.02 of the New York Stock Exchange LLC Listed Company Manual to Waive the First Partial Year's Annual Fees for Companies Transferring from Other Exchanges
Comments due: March 10, 2017
Additional Materials: Exhibit 5
SR-NYSE-2017-01
34-80256 Mar. 15, 2017 Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
Additional File Nos.:  SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03
34-79907 Jan. 31, 2017 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the Rule 6800 Series to Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: February 27, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.