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NYSE Rulemaking

We invite comments on the following New York Stock Exchange LLC (NYSE; formerly New York Stock Exchange, Inc.) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List
Third Quarter |  Second Quarter |  First Quarter

NYSE File Number List for 2016

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-NYSE-2016-11
34-78387 Jul. 21, 2016 Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE Price List to Reflect the Changes
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. 34-77976, Notice: Rel. No. 34-77642

SR-NYSE-2016-49
34-78378 Jul. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSE-2016-50
34-78372 Jul. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Regarding Payment of Compensation and Rebates, and Research Analyst Attestation Requirements, Harmonizing with Certain Financial Industry Regulatory Authority, Inc. Rules and Making other Conforming Changes
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSE-2016-43
34-78371 Jul. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a New Rule 346 Prohibiting Association by Member Organizations, Principal Executives, Approved Persons, and Persons Associated with a Member Organization or Control Persons of Member Organizations with Persons Subject to a Statutory Disqualification
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSE-2016-30
34-78368 Jul. 20, 2016 Notice of Withdrawal of Proposed Rule Change Amending the Definition of "Block" for Purposes of Rule 72(d) and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76
See also: Notice: Rel. No. 34-77950, Notice: Rel. No. 34-77701

SR-NYSE-2016-37
34-78326 Jul. 14, 2016 Order Approving Proposed Rule Change Removing from Its Rules Certain Internal Procedures Regarding the Use of Fine Income
See also: Notice: Rel. No. 34-77899

SR-NYSE-2016-44
34-78263 Jul. 8, 2016 Notice of Filing of Proposed Rule Change Allowing the Exchange to Trade Pursuant to Unlisted Trading Privileges for 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
Comments due: August 4, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-47
34-78233 Jul. 6, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List
Comments due: August 2, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-24
34-78228 Jul. 5, 2016 Notice of Filing of Partial Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 2 and 3, Relating to Pre-Opening Indications and Opening Procedures
Comments due: August 1, 2016
See also: Notice: Rel. No. 34-77829, Notice: Rel. No. 34-77491

SR-NYSE-2016-46
34-78154 Jun. 24, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change for A Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 that Would Not Permit Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Floor Broker Telephone Services
Comments due:  July 21, 2016
Second Quarter

SR-NYSE-2016-22
34-78153 Jun. 24, 2016 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 5 and 6, to Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopt Listing Fees Specific to Equity Investment Tracking Stocks
See also: Notice: Rel. No. 34-77996, Notice: Rel. No. 34-77850, Notice: Rel. No. 34-77674

SR-NYSE-2016-42
34-78108 Jun. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List to Adopt a Fee Waiver and a Fee SMCap Related to the Liquidity Provider Incentive Program on the NYSE Bonds System
Comments due:  July 18, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-31
34-78057 Jun. 13, 2016 Notice of Filing of Proposed Rule Change Amending NYSE Rule 6A to Exclude the Physical Area Within Fully Enclosed Telephone Booths Located in 18 Broad Street From the Definition of Trading Floor
Comments due: July 8, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-18
34-78015 Jun. 8, 2016 Notice of Filings of Amendment No. 1, and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendment No. 1, to Provide for How the Exchanges Would Determine an Official Closing Price if the Exchanges are Unable to Conduct a Closing Transaction
Comments due: July 5, 2016
Additional File No.:  SR-NYSEMKT-2016-31
See also:  Notice: Rel. No. 34-77305; Notice: Rel. No. 34-77677

SR-NYSE-2016-22
34-77996 Jun. 6, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 5, to Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopt Listing Fees Specific to Equity Investment Tracking Stocks
See also: Order: Rel. No. 34-78153, Notice: Rel. No. 34-77850, Notice: Rel. No. 34-77674

SR-NYSE-2016-11
34-77976 Jun. 2, 2016 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-location Section of the Price List to Reflect the Changes
See also: Notice: Rel. No. 34-78387, Notice: Rel. No. 34-77642

SR-NYSE-2016-39
34-77975 Jun. 2, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List to Eliminate Certain Services that are No Longer Utilized by Users and to Remove Obsolete Text
Comments due: June 29, 2016

SR-NYSE-2016-30
34-77950 May 31, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending the Definition of “Block” for Purposes of Rule 72(d) and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76
See also: Notice: Rel. No. 34-78368, Notice: Rel. No. 34-77701

SR-NYSE-2016-38
34-77930 May 26, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 130
Comments due: June 23, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-36
34-77929 May 26, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List
Comments due: June 23, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-37
34-77899 May 24, 2016 Notice of Filing of Proposed Rule Change Removing from Its Rules Certain Internal Procedures Regarding the Use of Fine Income
Comments due:  June 21, 2016
See also: Order: Rel. No. 34-78326
Comments received are available for this proposal.

SR-NYSE-2016-17
34-77880 May 20, 2016 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Add Additional Order Types to the SMNYSE Bonds Platform, Codify Functionality of Order Types Currently Available on NYSE Bonds, and Provide Greater Detail as to How an Indicative Match Price is Established with Respect to Bond Auctions
See also: Notice: Rel. No. 34-77477

SR-NYSE-2016-35
34-77860 May 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 13 and Related Rules Regarding Market Orders
Comments due:  June 15, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-22
34-77850 May 17, 2016 Notice of Filing of Amendment No. 5 to Proposed Rule Change Adopting Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopting Listing Fees Specific to Equity Investment Tracking Stocks
Comments due:  June 13, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-78153, Notice: Rel. No. 34-77996, Notice: Rel. No. 34-77674,

SR-NYSE-2016-33
34-77838 May 16, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE Rules 2090 (Know Your Customer) and 2111 (Suitability) that are Substantially Similar to FINRA Rules 2090 and 2111 and Deleting Current Rule 405 and the Related NYSE Rule Interpretation to Harmonize its Rules with Certain Financial Industry Regulatory Authority, Inc. Rules
Comments due: June 10, 2016

SR-NYSE-2016-24
34-77829 May 13, 2016

Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 2, Relating to Pre-Opening Indications and Opening Procedures
See also: Notice: Rel. No. 34-77491, Order: Rel. No. 34-78228


SR-NYSE-2016-34
34-77812 May 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Make a Clarifying Change Regarding the Rebate Program Recently Implemented by the Exchange for the NYSE BondsSystem
Comments due: June 7, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-14
34-77782 May 6, 2016 Order Approving Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchanges’ Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access
Additional File Nos.: SR-NYSEArca-2016-25, SR-NYSEMKT-2016-20
See also: Notice: Rel. No. 34-77384

SR-NYSE-2016-16
34-77708 Apr. 26, 2016 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 NYSE Rule 98 to Provide That, When Designated Market Makers Enter Interest for the Purpose of Facilitating the Execution of Customer Orders, Those Orders Would Not be Required to be Designated as DMM Interest
Comments due: May 23, 2016
See also: Notice: Rel. No. 34-77332

SR-NYSE-2015-46
34-77703 Apr. 25, 2016 Notice of Filing of Partial Amendment Nos. 1 and 2 and Order Granting Accelerated Approval to a Proposed Rule Change to Adopt NYSE Rule 67 to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
Comments due:  May 20, 2016
See also: Order: Rel. No. 34-76971, Notice: Rel. No. 34-76551, Notice: Rel. No. 34-76229, Exemptive Letter

SR-NYSE-2016-30
34-77701 Apr. 25, 2016 Notice of Filing of Proposed Rule Change Amending the Definition of "Block" for Purposes of Rule 72(d) and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76
Comments due:  May 20, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-78368, Notice: Rel. No. 34-77950

SR-NYSE-2016-13
34-77681 Apr. 21, 2016 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Procedures for the Allocation of Cages to Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Fee

SR-NYSE-2016-22
34-77674 Apr. 21, 2016 Notice of Filing of Proposed Rule Change Adopting Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopting Listing Fees Specific to Equity Investment Tracking Stocks
Comments due:  May 18, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-78153, Notice: Rel. No. 34-77996, Notice: Rel. No. 34-77850
Comments received are available for this proposal.

SR-NYSE-2016-18
34-77677 Apr. 21, 2016 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Rule 123C to Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable to Conduct a Closing Transaction
See also: Notice: Rel. No. 34-77305

SR-NYSE-2016-11
34-77642 Apr. 18, 2016 Notice of Filing of Proposed Rule Change Establishing Fees Relating to End Users and Amending the Definition of “Affiliate,” as well as Amending the Exchange’s Price List to Reflect the Changes
Comments due:  May 13, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-78387, Notice: Rel. No. 34-77976
Comments received are available for this proposal.

SR-NYSE-2016-29
34-77604 Apr. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List for Equity Transactions in Stocks with A Per Share Stock Price More than $1.00
Comments due:  May 10, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-28
34-77603 Apr. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 72 Relating to Setting Interest
Comments due:  May 10, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-26
34-77591 Apr. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Adopt a Rebate Program for SMthe NYSE Bonds System
Comments due:  May 9, 2016
Additional Materials: Exhibit 5
First Quarter

SR-NYSE-2016-24
34-77491 Mar. 31, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Amending Its Rules Relating to Pre-Opening Indications and Opening Procedures to Promote Greater Efficiency and Transparency at the Open of Trading on the Exchange
Comments due: April 27, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal
See also: Order: Rel. No. 34-78228

SR-NYSE-2016-17
34-77477 Mar. 30, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend Rule 86 to Add Additional SMOrder Types to the NYSE Bonds Platform, Codify Functionality of Order Types Currently Available on NYSE Bonds, and Amend the Definition of Indicative Match Price in Current Rule 86(B)(2)(G) to Provide Greater Detail of How an IMP is Established with Respect to Bond Auctions
Comments due: April 26, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77880
Comments received are available for this proposal.

SR-NYSE-2016-27
34-77468 Mar. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 25, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter
Comments received are available for this proposal.

SR-NYSE-2016-25
34-77426 Mar. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSE-2016-23
34-77434 Mar. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 to Expand the Availability of Self-Trade Prevention Modifiers to Non-Algorithmically Entered Floor Broker Interest
Comments due: April 19, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-21
34-77388 Mar. 17, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting a Decommission Extension Fee for receipt of the NYSE BBO and NYSE Trades Market Data Products
Comments due:  April 12, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-14
34-77384 Mar. 17, 2016 Notice of Filing of Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchange’s Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access
Comments due:  April 12, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77782

SR-NYSE-2016-20
34-77363 Mar. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List Effective March 1, 2016
Comments due: April 8, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-16
34-77332 Mar. 9, 2016 Notice of Filing of Proposed Rule Change Amending Rule 98 to Provide that When Designated Market Makers Enter Interest for the Purpose of Facilitating the Execution of Customer Orders, Such Orders Would Not be Required to be Designated as DMM Interest
Comments due: April 5, 2016
Additional Materials: Exhibit 5
See also: Notice/Order: Rel. No. 34-77708
Comments received are available for this proposal.

SR-NYSE-2016-18
34-77305 Mar. 7, 2016 Notice of Filing of Proposed Rule Change Amending Rule 123C to Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable to Conduct a Closing Transaction
Comments due: April 1, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-77677
Comments received are available for this proposal.

SR-NYSE-2016-13
34-77302 Mar. 7, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Requirements and Fee
Comments due: April 1, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77681
Comments received are available for this proposal.

SR-NYSE-2016-19
34-77280 Mar. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Proprietary Market Data as They Apply to Federal Agency Customers
Comments due: March 29, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2016-12
34-77198 Feb. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Listed Company Manual to Adopt a Requirement that Listed Foreign Private Issuers Must, At a Minimum, Submit a Form 6-K to the Securities and Exchange Commission Containing Semi-Annual Unaudited Financial Information
Comments due:  March 17, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-01
34-77119 Feb. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-location Services Offered by the Exchange to Include a Means for Co-located Users to Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the Exchange Price List
Comments due:  March 10, 2016
Additional Materials: Exhibit 5

SR-NYSE-2015-53
34-77072 Feb. 5, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Provide that the Co-location Services Offered by the Exchange include Three Time Feeds and Four Partial Cabinet Bundle Options
Comments due: March 3, 2016

SR-NYSE-2015-31
34-77047 Feb. 3, 2016 Notice of Withdrawal of Proposed Rule Changes Amending the NYSE Trades Market Data and NYSE MKT Trades Market Data Product Offerings
Additional File No.: SR-NYSEMKT-2015-56
See also:  Notice: Rel. No. 34-75556, Notice: Rel. No. 34-75937, Notice: Rel. No. 34-75559

SR-NYSE-2015-48
34-76983 Jan. 28, 2016 Order Approving a Proposed Rule Change Deleting Rule 410B Governing Reporting Requirements for Off-Exchange Transactions
See also: Notice: Rel. No. 34-76666, Notice: Rel. No. 34-76277

SR-NYSE-2016-09
34-76973 Jan. 26, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Integrated Feed
Comments due: February 22, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-08
34-76972 Jan. 26, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Order Imbalances and NYSE Alerts
Comments due: February 22, 2016
Additional Materials: Exhibit 5

SR-NYSE-2015-46
34-76971 Jan. 25, 2016 Order Instituting Proceedings to Determine Whether to Disapprove a Proposed Rule Change to Establish Rules to Comply with the Quoting and Trading Requirements of the Plan to Implement a Tick Size Pilot Plan Submitted to the Commission Pursuant to Rule 608 of Regulation NMS under the Act
Comments due: February 19, 2016
Rebuttal comments due: March 4, 2016
See also: Notice: Rel. No. 34-76551, Notice: Rel. No. 34-76229, Notice/Order: Rel. No. 34-77703

SR-NYSE-2016-03
34-76912 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades
Comments due:  February 11, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-02
34-76900 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE OpenBook
Comments due:  February 11, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2016-06
34-76865 Jan. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Trading License Fee for Calendar Year 2016, Effective January 4, 2016
Comments due: February 5, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-07
34-76845 Jan. 7, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 132.30(9) to Conform the Exchange’s Rules to Industry-Wide Standards for Recording the Capacity in which a Member Organization Executes a Transaction
Comments due: February 3, 2016
Additional Materials: Exhibit 5


NYSE File Number List for 2016
Release No. Date Details

SR-NYSE-2016-50
34-78372 Jul. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Regarding Payment of Compensation and Rebates, and Research Analyst Attestation Requirements, Harmonizing with Certain Financial Industry Regulatory Authority, Inc. Rules and Making other Conforming Changes
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSE-2016-49
34-78378 Jul. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSE-2016-47
34-78233 Jul. 6, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List
Comments due: August 2, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-46
34-78154 Jun. 24, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change for A Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 that Would Not Permit Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Floor Broker Telephone Services
Comments due:  July 21, 2016

SR-NYSE-2016-44
34-78263 Jul. 8, 2016 Notice of Filing of Proposed Rule Change Allowing the Exchange to Trade Pursuant to Unlisted Trading Privileges for 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
Comments due: August 4, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-43
34-78371 Jul. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a New Rule 346 Prohibiting Association by Member Organizations, Principal Executives, Approved Persons, and Persons Associated with a Member Organization or Control Persons of Member Organizations with Persons Subject to a Statutory Disqualification
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSE-2016-42
34-78108 Jun. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List to Adopt a Fee Waiver and a Fee SMCap Related to the Liquidity Provider Incentive Program on the NYSE Bonds System
Comments due:  July 18, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-39
34-77975 Jun. 2, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List to Eliminate Certain Services that are No Longer Utilized by Users and to Remove Obsolete Text
Comments due: June 29, 2016

SR-NYSE-2016-38
34-77930 May 26, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 130
Comments due: June 23, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-37
34-78326 Jul. 14, 2016 Order Approving Proposed Rule Change Removing from Its Rules Certain Internal Procedures Regarding the Use of Fine Income
34-77899 May 24, 2016 Notice of Filing of Proposed Rule Change Removing from Its Rules Certain Internal Procedures Regarding the Use of Fine Income
Comments due:  June 21, 2016
Comments received are available for this proposal.

SR-NYSE-2016-36
34-77929 May 26, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List
Comments due: June 23, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-35
34-77860 May 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 13 and Related Rules Regarding Market Orders
Comments due:  June 15, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-34
34-77812 May 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Make a Clarifying Change Regarding the Rebate Program Recently Implemented by the Exchange for the NYSE BondsSystem
Comments due: June 7, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-33
34-77838 May 16, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE Rules 2090 (Know Your Customer) and 2111 (Suitability) that are Substantially Similar to FINRA Rules 2090 and 2111 and Deleting Current Rule 405 and the Related NYSE Rule Interpretation to Harmonize its Rules with Certain Financial Industry Regulatory Authority, Inc. Rules
Comments due: June 10, 2016

SR-NYSE-2016-31
34-78057 Jun. 13, 2016 Notice of Filing of Proposed Rule Change Amending NYSE Rule 6A to Exclude the Physical Area Within Fully Enclosed Telephone Booths Located in 18 Broad Street From the Definition of Trading Floor
Comments due: July 8, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-30
34-78368 Jul. 20, 2016 Notice of Withdrawal of Proposed Rule Change Amending the Definition of "Block" for Purposes of Rule 72(d) and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76
34-77950 May 31, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending the Definition of “Block” for Purposes of Rule 72(d) and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76
34-77701 Apr. 25, 2016 Notice of Filing of Proposed Rule Change Amending the Definition of "Block" for Purposes of Rule 72(d) and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76
Comments due:  May 20, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-29
34-77604 Apr. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List for Equity Transactions in Stocks with A Per Share Stock Price More than $1.00
Comments due:  May 10, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-28
34-77603 Apr. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 72 Relating to Setting Interest
Comments due:  May 10, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-27
34-77468 Mar. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 25, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter
Comments received are available for this proposal.

SR-NYSE-2016-26
34-77591 Apr. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Adopt a Rebate Program for SMthe NYSE Bonds System
Comments due:  May 9, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-25
34-77426 Mar. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSE-2016-24
34-78228 Jul. 5, 2016 Notice of Filing of Partial Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 2 and 3, Relating to Pre-Opening Indications and Opening Procedures
Comments due: August 1, 2016
34-77829 May 13, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 2, Relating to Pre-Opening Indications and Opening Procedures
34-77491 Mar. 31, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Amending Its Rules Relating to Pre-Opening Indications and Opening Procedures to Promote Greater Efficiency and Transparency at the Open of Trading on the Exchange
Comments due: April 27, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2016-23
34-77434 Mar. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 to Expand the Availability of Self-Trade Prevention Modifiers to Non-Algorithmically Entered Floor Broker Interest
Comments due: April 19, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-22
34-78153 Jun. 24, 2016 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 5 and 6, to Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopt Listing Fees Specific to Equity Investment Tracking Stocks
34-77996 Jun. 6, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 5, to Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopt Listing Fees Specific to Equity Investment Tracking Stocks
34-77850 May 17, 2016 Notice of Filing of Amendment No. 5 to Proposed Rule Change Adopting Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopting Listing Fees Specific to Equity Investment Tracking Stocks
Comments due:  June 13, 2016
Additional Materials: Exhibit 5
34-77674 Apr. 21, 2016 Notice of Filing of Proposed Rule Change Adopting Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopting Listing Fees Specific to Equity Investment Tracking Stocks
Comments due:  May 18, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2016-21
34-77388 Mar. 17, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting a Decommission Extension Fee for receipt of the NYSE BBO and NYSE Trades Market Data Products
Comments due:  April 12, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-20
34-77363 Mar. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List Effective March 1, 2016
Comments due: April 8, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-19
34-77280 Mar. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Proprietary Market Data as They Apply to Federal Agency Customers
Comments due: March 29, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2016-18
34-78015 Jun. 8, 2016 Notice of Filings of Amendment No. 1, and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendment No. 1, to Provide for How the Exchanges Would Determine an Official Closing Price if the Exchanges are Unable to Conduct a Closing Transaction
Comments due: July 5, 2016
Additional File No.: SR-NYSEMKT-2016-31
34-77677 Apr. 21, 2016 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Rule 123C to Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable to Conduct a Closing Transaction
34-77305 Mar. 7, 2016 Notice of Filing of Proposed Rule Change Amending Rule 123C to Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable to Conduct a Closing Transaction
Comments due: April 1, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2016-17
34-77880 May 20, 2016 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Add Additional Order Types to the SMNYSE Bonds Platform, Codify Functionality of Order Types Currently Available on NYSE Bonds, and Provide Greater Detail as to How an Indicative Match Price is Established with Respect to Bond Auctions
34-77477 Mar. 30, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend Rule 86 to Add Additional SMOrder Types to the NYSE Bonds Platform, Codify Functionality of Order Types Currently Available on NYSE Bonds, and Amend the Definition of Indicative Match Price in Current Rule 86(B)(2)(G) to Provide Greater Detail of How an IMP is Established with Respect to Bond Auctions
Comments due: April 26, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2016-16
34-77708 Apr. 26, 2016 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 NYSE Rule 98 to Provide That, When Designated Market Makers Enter Interest for the Purpose of Facilitating the Execution of Customer Orders, Those Orders Would Not be Required to be Designated as DMM Interest
Comments due: May 23, 2016
34-77332 Mar. 9, 2016 Notice of Filing of Proposed Rule Change Amending Rule 98 to Provide that When Designated Market Makers Enter Interest for the Purpose of Facilitating the Execution of Customer Orders, Such Orders Would Not be Required to be Designated as DMM Interest
Comments due: April 5, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2016-14
34-77782 May 6, 2016 Order Approving Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchanges’ Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access
Additional File Nos.: SR-NYSEArca-2016-25, SR-NYSEMKT-2016-20
34-77384 Mar. 17, 2016 Notice of Filing of Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchange’s Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access
Comments due:  April 12, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-13
34-77681 Apr. 21, 2016 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Procedures for the Allocation of Cages to Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Fee
34-77302 Mar. 7, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Requirements and Fee
Comments due: April 1, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2016-12
34-77198 Feb. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Listed Company Manual to Adopt a Requirement that Listed Foreign Private Issuers Must, At a Minimum, Submit a Form 6-K to the Securities and Exchange Commission Containing Semi-Annual Unaudited Financial Information
Comments due:  March 17, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-11
34-78387 Jul. 21, 2016 Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE Price List to Reflect the Changes
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
34-77976 Jun. 2, 2016 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-location Section of the Price List to Reflect the Changes
34-77642 Apr. 18, 2016 Notice of Filing of Proposed Rule Change Establishing Fees Relating to End Users and Amending the Definition of “Affiliate,” as well as Amending the Exchange’s Price List to Reflect the Changes
Comments due:  May 13, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2016-09
34-76973 Jan. 26, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Integrated Feed
Comments due: February 22, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-08
34-76972 Jan. 26, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Order Imbalances and NYSE Alerts
Comments due: February 22, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-07
34-76845 Jan. 7, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 132.30(9) to Conform the Exchange’s Rules to Industry-Wide Standards for Recording the Capacity in which a Member Organization Executes a Transaction
Comments due: February 3, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-06
34-76865 Jan. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Trading License Fee for Calendar Year 2016, Effective January 4, 2016
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSE-2016-03
34-76912 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades
Comments due:  February 11, 2016
Additional Materials: Exhibit 5

SR-NYSE-2016-02
34-76900 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE OpenBook
Comments due:  February 11, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSE-2016-01
34-77119 Feb. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-location Services Offered by the Exchange to Include a Means for Co-located Users to Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the Exchange Price List
Comments due:  March 10, 2016
Additional Materials: Exhibit 5

 

http://www.sec.gov/rules/sro/nyse.shtml


Modified: 07/22/2016