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NYSE Rulemaking Archive: 2012
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.
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NYSE File Number List for 2012
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NYSE-2012-71 |
|
34-68538 |
Dec. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List to Waive Certain Fees for Floor Brokers for November and December 2012
Comments due: January 24, 2013
|
SR-NYSE-2012-74 |
|
34-68533 |
Dec. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Bond Trading License and the Bond Liquidity Provider Pilot Program
Comments due: January 22, 2013
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-57 |
|
34-68522 |
Dec. 21, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting NYSE Rules 95(c) and (d) and Related Supplementary Material
See also:
Order: Rel. No. 34-69983,
Notice: Rel. No. 34-69575,
Notice: Rel. No. 34-68923,
Notice: Rel. No. 34-68185 |
SR-NYSE-2012-68 |
|
34-68470 |
Dec. 19, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections 902.02 and 902.03 of the New York Stock Exchange LLC Listed Company Manual to Introduce an Initial Application Fee
Comments due: January 16, 2013
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-73 |
|
34-68452 |
Dec. 17, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the 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 Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, January 18, 2013
Comments due: January 11, 2013
|
SR-NYSE-2012-72 |
|
34-68377 |
Dec. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Manner In Which New York Stock Exchange LLC Calculates Certain Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by the Exchange on November 12, 2012
Comments due: January 2, 2013
|
SR-NYSE-2012-70 |
|
34-68353 |
Dec. 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 472, Which Addresses Communications with the Public, Adopting New Rule Text to Conform to the Changes Adopted by the Financial Industry Regulatory Authority, Inc. for Research Analysts and Research Reports as Required by the Jumpstart our Business Startups Act
Comments due: January 2, 2013
|
SR-NYSE-2012-49 |
|
34-68313 |
Nov. 28, 2012 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1
Additional File Nos.: SR-BATS-2012-039, SR-BX-2012-063, SR-CBOE-2012-094, SR-NASDAQ-2012-109, SR-NYSEArca-2012-105, SR-NYSEMKT-2012-48
See also:
Notice: Rel. No. 34-68639,
Notice: Rel. No. 34-68011
|
SR-NYSE-2012-65 |
|
34-68302 |
Nov. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Moving the Rule Text that Provides for Pegging on the Exchange from Supplementary Material .26 of NYSE Rule 70 to NYSE Rule 13 and Amending Such Text to (i) Permit Designated Market Maker Interest To Be Set as Pegging Interest; (ii) Change References from National Best Bid, National Best Offer and National Best Bid or Offer to Best Protected Bid, Best Protected Offer and Best Protected Bid or Offer, Respectively; (iii) Permit Pegging Interest to Peg to the Opposite Side of the Market; and (iv) Provide for An Offset Value to be Specified for Pegging Interest
Comments due: December 24, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-45 |
|
34-68283 |
Nov. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Specify Pricing that is Currently Applicable to Certain Executions on the Exchange, but That Is Not Currently Included in the Price List
Comments due: December 19, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-63 |
|
34-68282 |
Nov. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C(9)(a)(1)(ii) to Delete the Requirement that the Order Acceptance Cut-Off Time Cannot Be Past 4:30 p.m.
Comments due: December 19, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-54 |
|
34-68276 |
Nov. 20, 2012 |
Notice of Filing of Proposed Rule Change Amending the Listed Company Manual Section 204.00 to Create a Uniform Method for a Company to Provide Notice to the Exchange When Required Pursuant to Sections 204.06, 204.12, 204.17, 204.21, 204.22, 311.01, 401.02, and 601.00 of the Listed Company Manual, and to Make Conforming Changes
Comments due: December 18, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-68635
|
SR-NYSE-2012-67 |
|
34-68271 |
Nov. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the 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 Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, December 14, 2012
Comments due: December 18, 2012
|
SR-NYSE-2012-62 |
|
34-68243 |
Nov. 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C to Add New Supplementary Material .40 To Clarify that All Times Specified in Rule 123C are Adjusted When the Scheduled Close of Trading is Before 4:00 p.m.
Comments due: December 14, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-60 |
|
34-68229 |
Nov. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Monthly Fees for the Use of Ports
Comments due: December 11, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-66 |
|
34-68220 |
Nov. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Interim Rule Change Relating to Rule 440B(b)
Comments due: December 10, 2012
|
SR-NYSE-2012-64 |
|
34-68211 |
Nov. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the 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 Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, November 16, 2012
Comments due: December 10, 2012
|
SR-NYSE-2012-57 |
|
34-68185 |
Nov. 8, 2012 |
Notice of Filing of Proposed Rule Change Deleting NYSE Rules 95(c) and (d) and Related Supplementary Material
Comments due: December 6, 2012
Additional Materials:
Exhibit 5
See also:
Notice: Rel. No. 34-69575,
Notice: Rel. No. 34-68923,
Notice: Rel. No. 34-68522 |
SR-NYSE-2012-61 |
|
34-68161 |
Nov. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Suspension of Those Aspects of Rules 36.20, 36.21, and 36.30 That Would Not Permit Designated Market Makers and Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy From November 5, 2012 Until the Earlier of When Phone Service is Fully Restored or Friday, November 9, 2012
Comments due: December 4, 2012
|
SR-NYSE-2012-56 |
|
34-68150 |
Nov. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Make Changes to Certain Fees and Credits within the New York Stock Exchange LLC Price List
Comments due: November 30, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-59 |
|
34-68146 |
Nov. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Transaction Fees on the New York Block Exchange
Comments due: November 29, 2012
|
SR-NYSE-2012-44 |
|
34-68143 |
Nov. 2, 2012 |
Order Granting Approval of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual, Which Describes Certain Complimentary Products and Services that are Offered to Certain Issuers
See also:
Notice: Rel. No. 34-67846
|
SR-NYSE-2012-58 |
|
34-68137 |
Nov. 1, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Suspend Those Aspects of Rules 36.20, 36.21, and 36.30 That Would Not Permit Designated Market Makers and Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy From October 31, 2012 Until the Earlier of When Phone Service is Fully Restored or Friday, November 2, 2012.
Comments due: November 28, 2012
|
SR-NYSE-2012-53 |
|
34-68067 |
Oct. 18, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 17 to Add a New Paragraph (c)(3) Addressing the Authority of the Exchange or Archipelago Securities LLC to Cancel Orders When a Technical or Systems Issue Occurs and to Describe the Operation of An Error Account for Arca SecuritiesSystems Issue Occurs and to Describe the Operation of An Error Account for Arca Securities
Comments due: November 14, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-52 |
|
34-68065 |
Oct. 18, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 102.01 and 103.00 of the Exchange’s Listed Company Manual to Permit the Consideration of Stockholders and Trading Volume in the Company’s Home Country Market or Primary Trading Market Outside the United States, Provided Such Market is a Regulated Stock Exchange, When Determining the Qualification for Initial Listing Under Section 102.01 of a Company From Outside North America
Comments due: November 14, 2012
|
SR-NYSE-2012-51 |
|
34-68024 |
Oct. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.03 of the New York Stock Exchange LLC Listed Company Manual to Amend Annual Fees and Certain Other Listing Fees Included Therein and to Make Technical and Conforming Changes
Comments due: November 6, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-50 |
|
34-68021 |
Oct. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to Certain Fees and Credits Within the New York Stock Exchange LLC Price List
Comments due: November 6, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-47 |
|
34-68017 |
Oct. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.02 of the New York Stock Exchange Listed Company Manual Regarding Waivers for Certain Listing Fees
Comments due: November 6, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-49 |
|
34-68011 |
Oct. 9, 2012 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No.1, Amending Sections 303A.00, 303A.02(a) and 303A.05 of the Exchange's Listed Company Manual to Comply with the Requirements of Securities and Exchange Commission Rule 10C-1
Comments due: November 5, 2012
Additional Materials:
Exhibit 5
See also:
Notice: Rel. No. 34-68639,
Notice: Rel. No. 34-68313
Comments received
are available
for this proposal.
|
| Third Quarter |
SR-NYSE-2012-43 |
|
34-67847 |
Sep. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.02 and 902.03 of the Listed Company Manual of the New York Stock Exchange LLC
Comments due: October 9, 2012
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-NYSE-2012-44 |
|
34-67846 |
Sep. 12, 2012 |
Notice of Filing of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual, Which Describes Certain Complimentary Products and Services that are Offered to Certain Issuers
Comments due: October 9, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-68143
|
SR-NYSE-2012-46 |
|
34-67815 |
Sep. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Non-Operable Text within its Price List Applicable to Supplemental Liquidity Providers ("SLPs")
Comments due: October 5, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-41 |
|
34-67814 |
Sep. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List to Make Changes to Certain Transaction Fees to Eliminate the Step-Up Rate for Non-Floor Broker Transactions
Comments due: October 5, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-29 |
|
34-67812 |
Sep. 10, 2012 |
Order Approving Proposed Rule Change Amending NYSE Rule 76 to Add Supplementary Material Relating to a Cross Function That Provides a Regulation NMS Rule 611-Compliant Tool for Floor Brokers
See also:
Notice: Rel. No. 34-67488
|
SR-NYSE-2012-40 |
|
34-67800 |
Sep. 7, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Certain NYSE Rules to Replace References to "NYSE Amex" with "NYSE MKT" Reflecting the Recent Name Change of NYSE Amex LLC to NYSE MKT LLC
Comments due: October 4, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-38 |
|
34-67759 |
Aug. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107B to Change the Existing Supplemental Liquidity Provider Monthly Volume Requirement in All Assigned SLP Securities and Amend the Exchange's Price List to Specify the Applicable Percentage of NYSE CADV for the Monthly Volume Requirement
Comments due: September 27, 2012
|
SR-NYSE-2012-19 |
|
34-67686 |
Aug. 17, 2012 |
Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, (1) Amending NYSE Rule 13 and NYSE MKT Rule 13 - Equities to Establish New Order Types, (2) Amending NYSE Rule 115A and NYSE MKT Rule 115A-Equities to Delete Obsolete Text and to Clarify and Update the Description of The Allocation of Market and Limit Interest in Opening and Reopening Transactions, (3) Amending NYSE Rule 123C and NYSE MKT Rule 123C - Equities to Include Better-Priced G Orders in The Allocation of Orders in Closing Transactions, and (4) Making Other Technical and Conforming Changes (Corrected to conform to Federal Register version)
Additional File Nos.: SR-NYSEMKT-2012-13
See also:
Notice: Rel. No. 34-67317
|
SR-NYSE-2012-18 |
|
34-67666 |
Aug. 15, 2012 |
Order Approving a Proposed Rule Change Amending the New York Stock Exchange Price List to Provide for Additional Co-location Services and Establish Related Fees
See also:
Notice: Rel. No. 34-67262
|
SR-NYSE-2012-35 |
|
34-67603 |
Aug. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reducing From 10 Days to Five Days the Shareholder Notification Period that is a Condition to a Waiver of the NYSE's Shareholder Approval Requirements Pursuant to Section 312.05 of the Exchange's Listed Company Manual
Comments due: August 31, 2012
|
SR-NYSE-2012-33 |
|
34-67585 |
Aug. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Certain Changes to the Credits within the New York Stock Exchange Price List that are Applicable to Supplemental Liquidity Providers
Comments due: August 29, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-17 |
|
34-67564 |
Aug. 1, 2012 |
Order Granting Approval of Proposed Rule Changes Amending Independence Policy of the Board of Directors of NYSE Euronext and Creating a New Independence Policy for Boards of Directors of the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Regulation, Inc. and NYSE Market, Inc.
Additional File Nos.: SR-NYSEArca-2012-59, and SR-NYSEMKT-2012-07
See also:
Notice: Rel. No. 34-67185
|
SR-NYSE-2012-31 |
|
34-67556 |
Aug. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Effective Date of the Pilot Until February 4, 2013
Comments due: August 28, 2012
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-NYSE-2012-32 |
|
34-67555 |
Aug. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, Which Governs Clearly Erroneous Executions, to Extend the Effective Date of the Pilot by Which Portions of Such Rule Operate Until February 4, 2013
Comments due: August 28, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-30 |
|
34-67529 |
Jul. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the New York Stock Exchange LLC Price List to Establish Pricing for the Retail Liquidity Program
Comments due: August 23, 2012
|
SR-NYSE-2012-26 |
|
34-67494 |
Jul. 25, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or January 31, 2013
Comments due: August 21, 2012
|
SR-NYSE-2012-27 |
|
34-67493 |
Jul 25, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or January 31, 2013
Comments due: August 21, 2012
|
SR-NYSE-2012-29 |
|
34-67488 |
Jul. 23, 2012 |
Notice of Filing of Proposed Rule Change Amending NYSE Rule 76 to Add Supplementary Material Relating to a Cross Function that Provides a Regulation NMS Rule 611-Compliant Tool for Floor Brokers
Comments due: August 17, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-67812
|
SR-NYSE-2012-28 |
|
34-67467 |
Jul. 19, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Television Distribution of the NYSE Trades Data Product
Comments due: August 15, 2012
|
SR-NYSE-2012-25 |
|
34-67445 |
Jul. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 134 to Shorten the Time Frame for Assigning the Contra Party to Unresolved Account Balances in the Exchange's Online Comparison System
Comments due: August 10, 2012
|
SR-NYSE-2011-56 |
|
34-67437 |
Jul. 13, 2012 |
Order Disapproving Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and to Permit Designated Market Makers and Floor Brokers Access to Disaggregated Order Information
Additional File No.: SR-NYSEAmex-2011-86
See also:
Notice: Rel. No. 34-66981,
Order: Rel. No. 34-66397,
Notice: Rel. No. 34-66036,
and
Notice: Rel. No. 34-65736
|
SR-NYSE-2012-22 |
|
34-67408 |
Jul. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Transaction Fees and Credits within Its Price List
Comments due: August 7, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-15 |
|
34-67374 |
Jul. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 440A and Interpretation 440A/01, Which Address Telemarketing, and Adopting New NYSE Rule 3230 to conform to FINRA’s Telemarketing Rule
Comments due: August 6, 2012
|
SR-NYSE-2011-55 |
|
34-67347 |
Jul. 3, 2012 |
Order Granting Approval to Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, Adopting NYSE Rule 107C to Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, and Adopting NYSE Amex Rule 107C to Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date, and Granting Exemptions Pursuant to Rule 612(c) of Regulation NMS
Additional File Nos.: SR-NYSEAmex-2011-84
See also: Order: Rel. No. 34-79587,
Order: Rel. No. 34-70085,
Notice: Rel. No. 34-66928;
Notice: Rel. No. 34-66464;
Order: Rel. No. 34-66346;
Notice: Rel. No. 34-66003;
Notice: Rel. No. 34-65672
|
SR-NYSE-2012-20 |
|
34-67345 |
Jul. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Exchange Rules Related to Floor Official Duties and Responsibilities in the Exchange's Marketplace
Comments due: July 31, 2012
Additional Materials:
Exhibit 5
|
| Second Quarter |
SR-NYSE-2012-19 |
|
34-67317 |
Jun. 29, 2012 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, (1) Amending Rule 13 to Establish New Order Types, (2) Amending Rule 115A to Delete Obsolete Text and To Clarify and Update the Description of The Allocation of Market and Limit Interest in Opening and Reopening Transactions, (3) Amending Rule 123C to Include Better-Priced G Orders in The Allocation of Orders in Closing Transactions, and (4) Making Other Technical and Conforming Changes
Comments due: July 27, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-67686
|
SR-NYSE-2012-18 |
|
34-67262 |
Jun. 26, 2012 |
Notice of Filing of Proposed Rule Change Amending the New York Stock Exchange Price List to Provide for Additional Co-location Services and Establish Related Fees
Comments due: July 23, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-67666
|
SR-NYSE-2012-17 |
|
34-67185 |
Jun. 12, 2012 |
Notice of Filing of Proposed Rule Change Amending Independence Policy of the Board of Directors of NYSE Euronext and Creating New Independence Policy for Boards of Directors of the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Regulation, Inc. and NYSE Market, Inc.
Comments due: July 9, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-67564
|
SR-NYSE-2012-10 |
|
34-67154 |
Jun. 7, 2012 |
Order Granting Approval of Proposed Rule Change Amending NYSE Rule 107B to Add a Class of Supplemental Liquidity Providers that are Registered as Market Makers at the Exchange
See also:
Notice: Rel. No. 34-66821
|
SR-NYSE-2012-16 |
|
34-67126 |
Jun. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Temporarily Suspending the Requirements of NYSE Rule 311 and Related NYSE Rules Concerning the Approval of New Member Organizations in Order to Approve Apex Clearing Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. as An NYSE Member Organization, Subject to Apex Clearing Complying with Exchange Rules for a New Member Organization Within 30 Calendar Days of the Date that Apex Clearing is Provisionally Approved as An NYSE Member Organization
Comments due: July 2, 2012
Comments received
are available
for this proposal.
|
SR-NYSE-2011-48 |
|
34-67090 |
May 31, 2012 |
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments due: June 27, 2012
See also:
Notice: Rel. No. 34-66680;
Order: Rel. No. 34-66065;
Notice: Rel. No. 34-65770; and
Notice: Rel. No. 34-65427
|
SR-NYSE-2012-12 |
|
34-66994 |
May 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 102.01C and 103.01B of the Exchange's Listed Company Manual to Permit the Listing of Emerging Growth Companies on the Basis of Two Years of Reported Financial Data
Comments due: June 11, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2011-56 |
|
34-66981 |
May 14, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and to Permit Designated Market Makers and Floor Brokers Access to Disaggregated Order Information
Additional File Nos.: SR-NYSEAmex-2011-86
See also:
Order: Rel. No. 34-67437;
Order: Rel. No 34-66397;
Notice: Rel. No. 34-66036; and
Notice: Rel. No. 34-65736
|
SR-NYSE-2011-55 |
|
34-66928 |
May 4, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, Adopting NYSE Rule 107C to Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, and Adopting NYSE Amex Rule 107C to Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date
See also: Order: Rel. No. 34-79587
Order: Rel. No. 34-70085,
Order: Rel. No. 34-67347;
Notice: Rel. No. 34-66464;
Order: Rel. No. 34-66346;
Notice: Rel. No. 34-66003;
Notice: Rel. No. 34-65672
Comments received
are available
for this notice.
|
SR-NYSE-2012-10 |
|
34-66821 |
Apr. 17, 2012 |
Notice of Filing of Proposed Rule Change Amending NYSE Rule 107B to Add a Class of Supplemental Liquidity Providers that are Registered as Market Makers at the Exchange
Comments due: May 14, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-67154
|
SR-NYSE-2012-09 |
|
34-66797 |
Apr. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Recent Changes to FINRA Rules 7440 and 7450, and to Adopt Recent Changes to FINRA Rule 5320 by Amending Supplementary Material .02 to NYSE Rule 5320 to Require that Member Organizations Report to the Order Audit Trail System Information Barriers Put Into Place by the Member Organization in Reliance on Supplementary Material .02 to NYSE Rule 5320
Comments due: May 9, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-05 |
|
34-66758 |
Apr. 6, 2012 |
Order Granting Approval of a Proposed Rule Change Amending NYSE Rule 476A to Update Its "List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A"
See also:
Notice: Rel. No. 34-66421
|
SR-NYSE-2012-06 |
|
34-66709 |
Apr. 2, 2012 |
Order Approving a Proposed Rule Change Amending the Definition of Approved Person to Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
See also:
Notice: Rel. No. 34-66462
|
| First Quarter |
| Release No. |
Date |
Details |
SR-NYSE-2011-48 |
|
34-66680 |
Mar. 29, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also:
Order: Rel. No. 34-67090;
Order: Rel. No. 34-66065;
Notice: Rel. No. 34-65770; and
Notice: Rel. No. 34-65427
|
SR-NYSE-2012-08 |
|
34-66662 |
Mar. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying that Rule Change in Connection with Proposed Combination Between NYSE Euronext and Deutsche Börse AG Will Not Become Effective
Comments due: April 20, 2012
|
SR-NYSE-2012-07 |
|
34-66600 |
Mar. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Certain Changes to the Transaction Fees and Credits Within the New York Stock Exchange Price List
Comments due: April 10, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-01 |
|
34-66576 |
Mar. 12, 2012 |
Order Approving a Proposed Rule Change to Establish an NYBX Immediate-or-Cancel Order
See also:
Notice: Rel. No. 34-66218
|
SR-NYSE-2011-55 |
|
34-66464 |
Feb. 24, 2012 |
Notice of Filing of Partial Amendment No. 2 to Proposed Rule Changes, As Modified By Amendment No. 1, Adopting New Rule 107C to Establish a Retail Liquidity Program on a Pilot Basis to Attract Additional Retail Order Flow to the Exchanges
Comments due: March 22, 2012
See also:
Order: Rel. No. 34-79587,
Order: Rel. No. 34-70085,
Order: Rel. No. 34-67347;
Notice: Rel. No. 34-66928;
Order: Rel. No. 34-66346;
Notice: Rel. No. 34-66003;
Notice: Rel. No. 34-65672
Comments received
are available
for this notice.
|
SR-NYSE-2012-06 |
|
34-66462 |
Feb. 24, 2012 |
Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person to Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
Comments due: March 21, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-66709
|
SR-NYSE-2012-05 |
|
34-66421 |
Feb. 17, 2012 |
Notice of Filing of Proposed Rule Change Amending NYSE Rule 476A to Update Its "List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A"
Comments due: March 16, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-66758
|
SR-NYSE-2012-04 |
|
34-66411 |
Feb. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 319 and its Interpretation, Which Address Fidelity Bond Requirements, and Adopt New Rule Text that is Substantially Similar to FINRA Rule 4360
Comments due: March 15, 2012
|
SR-NYSE-2012-03 |
|
34-66401 |
Feb. 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 123C(4) to Provide for How Certain Interest is Included in the Calculation of MOC and LOC Imbalances
Comments due: March 14, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2011-56 |
|
34-66397 |
Feb. 15, 2012 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and to Permit Designated Market Makers and Floor Brokers Access to Disaggregated Order Information
Comments due: March 14, 2012
Rebuttal comments due: March 28, 2012
Additional File No.: SR-NYSEAmex-2011-86
See also:
Order: Rel. No. 34-67437;
Notice: Rel. No. 34-66981;
Notice: Rel. No. 34-66036; and
Notice: Rel. No. 34-65736
Comments received
are available
for this proposal.
|
SR-NYSE-2011-55 |
|
34-66346 |
Feb. 7, 2012 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, Adopting NYSE Rule 107C to Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 months From Implementation Date, Which Shall Occur No Later Than 90 Days After Approval, If Granted and Adopting NYSE Amex Rule 107C to Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 months From Implementation Date, Which Shall Occur No Later Than 90 Days After Approval, If Granted
Comments due: March 5, 2012
Rebuttal comments due: March 19, 2012
Additional File No.: SR-NYSEAmex-2011-84
See also:
Order: Rel. No. 34-79587,
Order: Rel. No. 34-70085,
Order: Rel. No. 34-67347;
Notice: Rel. No. 34-66928;
Notice: Rel. No. 34-66464;
Notice: Rel. No. 34-66003;
Notice: Rel. No. 34-65672
Comments received
are available
for this notice.
|
SR-NYSE-2012-01 |
|
34-66218 |
Jan. 24, 2012 |
Notice of Filing of Proposed Rule Change to Establish an NYBX Immediate-or-Cancel Order
Comments due: February 21, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-66576
|
SR-NYSE-2011-51 |
|
34-66171 |
Jan. 17, 2012 |
Order Granting Approval of Proposed Rule Change Relating to a Corporate Transaction in which Deutsche Börse AG and NYSE Euronext Would Become Subsidiaries of Alpha Beta Netherlands Holding N.V.
See also:
Notice: Rel. No. 34-65562
Comments received
are available
for this notice.
|
SR-NYSE-2011-70 |
|
34-66138 |
Jan. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Price List to Revise Its Schedule of Rebates Paid to Designated Market Makers for Providing Liquidity on the Exchange and to Delete References to Round and Odd Lot Transactions
Comments due: February 8, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2011-69 |
|
34-66136 |
Jan. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, Which Governs Clearly Erroneous Executions, to Extend the Effective Date of The Pilot by Which Portions of Such Rule Operate Until July 31, 2012
Comments due: February 8, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2011-68 |
|
34-66134 |
Jan. 11, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Rule 80C, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Effective Date of The Pilot Until July 31, 2012
Comments due: February 8, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2011-71 |
|
34-66108 |
Jan. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to (1) Adopting a Trading License Fee for Calendar Year 2012 and (2) Eliminating the NYSE e-Broker® Hand Held Device Fee and the NYSE e-Broker® Hand Held Device - Opening and Closing Order Imbalances Only (Together the "Hand Held Device fees"), the Fee for Approval of a Pre-Qualified Substitute, and the Badge Maintenance Fee
Comments due: February 1, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2011-72 |
|
34-66107 |
Jan. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Change the Monthly Fees for the Use of Ports that Provide Connectivity to Its Equity Trading Systems
Comments due: February 1, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2011-73 |
|
34-66106 |
Jan. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Rebates Paid to Supplemental Liquidity Providers for Providing Liquidity
Comments due: February 1, 2012
Additional Materials:
Exhibit 5
|
| NYSE File Number List for 2012 |
| Release No. |
Date |
Details |
SR-NYSE-2012-80 |
|
34-68607 |
Jan. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Increasing The Fees Paid by Participants in the Exchange's Medallion Signature Program from $1,000 Per Year to $1,300 Per Year
Comments due: February 5, 2013
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-79 |
|
34-68580 |
Jan. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Adopt a Trading License Fee for Calendar Year 2013
Comments due: January 31, 2013
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-78 |
|
34-68579 |
Jan. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Eliminating Certain Credits Within the New York Stock Exchange LLC Price List
Comments due: January 31, 2013
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-77 |
|
34-68587 |
Jan. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price With Respect to Regulatory Fees Related to the Central Registration Depository, Which Are Collected By the Financial Industry Regulatory Authority, Inc.
Comments due: February 1, 2013
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-76 |
|
34-68560 |
Jan. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of its Supplemental Liquidity Providers Pilot (Rule 107B) Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 2013
Comments due: January 29, 2013
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-75 |
|
34-68558 |
Jan. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2013
Comments due: January 29, 2013
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-74 |
|
34-68533 |
Dec. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Bond Trading License and the Bond Liquidity Provider Pilot Program
Comments due: January 22, 2013
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-73 |
|
34-68452 |
Dec. 17, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the 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 Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, January 18, 2013
Comments due: January 11, 2013
|
SR-NYSE-2012-72 |
|
34-68377 |
Dec. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Manner In Which New York Stock Exchange LLC Calculates Certain Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by the Exchange on November 12, 2012
Comments due: January 2, 2013
|
SR-NYSE-2012-71 |
|
34-68538 |
Dec. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List to Waive Certain Fees for Floor Brokers for November and December 2012
Comments due: January 24, 2013
|
SR-NYSE-2012-70 |
|
34-68353 |
Dec. 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 472, Which Addresses Communications with the Public, Adopting New Rule Text to Conform to the Changes Adopted by the Financial Industry Regulatory Authority, Inc. for Research Analysts and Research Reports as Required by the Jumpstart our Business Startups Act
Comments due: January 2, 2013
|
SR-NYSE-2012-68 |
|
34-68470 |
Dec. 19, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections 902.02 and 902.03 of the New York Stock Exchange LLC Listed Company Manual to Introduce an Initial Application Fee
Comments due: January 16, 2013
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-67 |
|
34-68271 |
Nov. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the 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 Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, December 14, 2012
Comments due: December 18, 2012
|
SR-NYSE-2012-66 |
|
34-68220 |
Nov. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Interim Rule Change Relating to Rule 440B(b)
Comments due: December 10, 2012
|
SR-NYSE-2012-65 |
|
34-68302 |
Nov. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Moving the Rule Text that Provides for Pegging on the Exchange from Supplementary Material .26 of NYSE Rule 70 to NYSE Rule 13 and Amending Such Text to (i) Permit Designated Market Maker Interest To Be Set as Pegging Interest; (ii) Change References from National Best Bid, National Best Offer and National Best Bid or Offer to Best Protected Bid, Best Protected Offer and Best Protected Bid or Offer, Respectively; (iii) Permit Pegging Interest to Peg to the Opposite Side of the Market; and (iv) Provide for An Offset Value to be Specified for Pegging Interest
Comments due: December 24, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-64 |
|
34-68211 |
Nov. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the 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 Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, November 16, 2012
Comments due: December 10, 2012
|
SR-NYSE-2012-63 |
|
34-68282 |
Nov. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C(9)(a)(1)(ii) to Delete the Requirement that the Order Acceptance Cut-Off Time Cannot Be Past 4:30 p.m.
Comments due: December 19, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-62 |
|
34-68243 |
Nov. 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C to Add New Supplementary Material .40 To Clarify that All Times Specified in Rule 123C are Adjusted When the Scheduled Close of Trading is Before 4:00 p.m.
Comments due: December 14, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-61 |
|
34-68161 |
Nov. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Suspension of Those Aspects of Rules 36.20, 36.21, and 36.30 That Would Not Permit Designated Market Makers and Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy From November 5, 2012 Until the Earlier of When Phone Service is Fully Restored or Friday, November 9, 2012
Comments due: December 4, 2012
|
SR-NYSE-2012-60 |
|
34-68229 |
Nov. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Monthly Fees for the Use of Ports
Comments due: December 11, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-59 |
|
34-68146 |
Nov. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Transaction Fees on the New York Block Exchange
Comments due: November 29, 2012
|
SR-NYSE-2012-57 |
|
34-69983 |
Jul. 12, 2013 |
Order Approving Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d) - Equities and Related Supplementary Material
Additional File No.: SR-NYSEMKT-2012-58
|
|
34-68137 |
Nov. 1, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Suspend Those Aspects of Rules 36.20, 36.21, and 36.30 That Would Not Permit Designated Market Makers and Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy From October 31, 2012 Until the Earlier of When Phone Service is Fully Restored or Friday, November 2, 2012.
Comments due: November 28, 2012
|
SR-NYSE-2012-57 |
|
34-69575 |
May 14, 2013 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d) - Equities and Related Supplementary Material
Additional File No.: SR-NYSEMKT-2012-58
|
|
34-68923 |
Feb. 13, 2013 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d) - Equities and Related Supplementary Material
Additional File No.: SR-NYSEMKT-2012-58
Comments due: March 13, 2013
Rebuttal comments due: March 27, 2013
|
|
34-68522 |
Dec. 21, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting NYSE Rules 95(c) and (d) and Related Supplementary Material
|
|
34-68185 |
Nov. 8, 2012 |
Notice of Filing of Proposed Rule Change Deleting NYSE Rules 95(c) and (d) and Related Supplementary Material
Comments due: December 6, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-56 |
|
34-68150 |
Nov. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Make Changes to Certain Fees and Credits within the New York Stock Exchange LLC Price List
Comments due: November 30, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-54 |
|
34-68635 |
Jan. 11, 2013 |
Order Granting Approval to Proposed Rule Change Amending the Listed Company Manual Section 204.00 to Create a Uniform Method for a Company to Provide Notice to the Exchange When Required Pursuant to Sections 204.06, 204.12, 204.17, 204.21, 204.22, 311.01, 401.02, and 601.00 of the Listed Company Manual, and to Make Conforming Changes
See also:
Notice: Rel. No. 34-68276
|
|
34-68276 |
Nov. 20, 2012 |
Notice of Filing of Proposed Rule Change Amending the Listed Company Manual Section 204.00 to Create a Uniform Method for a Company to Provide Notice to the Exchange When Required Pursuant to Sections 204.06, 204.12, 204.17, 204.21, 204.22, 311.01, 401.02, and 601.00 of the Listed Company Manual, and to Make Conforming Changes
Comments due: December 18, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-68635
|
SR-NYSE-2012-53 |
|
34-68067 |
Oct. 18, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 17 to Add a New Paragraph (c)(3) Addressing the Authority of the Exchange or Archipelago Securities LLC to Cancel Orders When a Technical or Systems Issue Occurs and to Describe the Operation of An Error Account for Arca SecuritiesSystems Issue Occurs and to Describe the Operation of An Error Account for Arca Securities
Comments due: November 14, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-52 |
|
34-68065 |
Oct. 18, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 102.01 and 103.00 of the Exchange’s Listed Company Manual to Permit the Consideration of Stockholders and Trading Volume in the Company’s Home Country Market or Primary Trading Market Outside the United States, Provided Such Market is a Regulated Stock Exchange, When Determining the Qualification for Initial Listing Under Section 102.01 of a Company From Outside North America
Comments due: November 14, 2012
|
SR-NYSE-2012-51 |
|
34-68024 |
Oct. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.03 of the New York Stock Exchange LLC Listed Company Manual to Amend Annual Fees and Certain Other Listing Fees Included Therein and to Make Technical and Conforming Changes
Comments due: November 6, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-50 |
|
34-68021 |
Oct. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to Certain Fees and Credits Within the New York Stock Exchange LLC Price List
Comments due: November 6, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-49 |
|
34-68639 |
Jan. 11, 2013 |
Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval for Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, to Amend the Listing Rules for Compensation Committees to Comply with Securities Exchange Act Rule 10C-1 and Make Other Related Changes
Comments due: February 12, 2013
Additional Materials:
Exhibit 5
|
|
34-68313 |
Nov. 28, 2012 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1
Additional File Nos.: SR-BATS-2012-039, SR-BX-2012-063, SR-CBOE-2012-094, SR-NASDAQ-2012-109, SR-NYSEArca-2012-105, SR-NYSEMKT-2012-48
|
|
34-68011 |
Oct. 9, 2012 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No.1, Amending Sections 303A.00, 303A.02(a) and 303A.05 of the Exchange's Listed Company Manual to Comply with the Requirements of Securities and Exchange Commission Rule 10C-1
Comments due: November 5, 2012
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-NYSE-2012-47 |
|
34-68017 |
Oct. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.02 of the New York Stock Exchange Listed Company Manual Regarding Waivers for Certain Listing Fees
Comments due: November 6, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-46 |
|
34-67815 |
Sep. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Non-Operable Text within its Price List Applicable to Supplemental Liquidity Providers ("SLPs")
Comments due: October 5, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-45 |
|
34-68283 |
Nov. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Specify Pricing that is Currently Applicable to Certain Executions on the Exchange, but That Is Not Currently Included in the Price List
Comments due: December 19, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-44 |
|
34-68143 |
Nov. 2, 2012 |
Order Granting Approval of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual, Which Describes Certain Complimentary Products and Services that are Offered to Certain Issuers
|
|
34-67846 |
Sep. 12, 2012 |
Notice of Filing of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual, Which Describes Certain Complimentary Products and Services that are Offered to Certain Issuers
Comments due: October 9, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-43 |
|
34-67847 |
Sep. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.02 and 902.03 of the Listed Company Manual of the New York Stock Exchange LLC
Comments due: October 9, 2012
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-NYSE-2012-41 |
|
34-67814 |
Sep. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List to Make Changes to Certain Transaction Fees to Eliminate the Step-Up Rate for Non-Floor Broker Transactions
Comments due: October 5, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-40 |
|
34-67800 |
Sep. 7, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Certain NYSE Rules to Replace References to "NYSE Amex" with "NYSE MKT" Reflecting the Recent Name Change of NYSE Amex LLC to NYSE MKT LLC
Comments due: October 4, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-38 |
|
34-67759 |
Aug. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107B to Change the Existing Supplemental Liquidity Provider Monthly Volume Requirement in All Assigned SLP Securities and Amend the Exchange's Price List to Specify the Applicable Percentage of NYSE CADV for the Monthly Volume Requirement
Comments due: September 27, 2012
|
SR-NYSE-2012-35 |
|
34-67603 |
Aug. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reducing From 10 Days to Five Days the Shareholder Notification Period that is a Condition to a Waiver of the NYSE's Shareholder Approval Requirements Pursuant to Section 312.05 of the Exchange's Listed Company Manual
Comments due: August 31, 2012
|
SR-NYSE-2012-33 |
|
34-67585 |
Aug. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Certain Changes to the Credits within the New York Stock Exchange Price List that are Applicable to Supplemental Liquidity Providers
Comments due: August 29, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-32 |
|
34-67555 |
Aug. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, Which Governs Clearly Erroneous Executions, to Extend the Effective Date of the Pilot by Which Portions of Such Rule Operate Until February 4, 2013
Comments due: August 28, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-31 |
|
34-67556 |
Aug. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Effective Date of the Pilot Until February 4, 2013
Comments due: August 28, 2012
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-NYSE-2012-30 |
|
34-67529 |
Jul. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the New York Stock Exchange LLC Price List to Establish Pricing for the Retail Liquidity Program
Comments due: August 23, 2012
|
SR-NYSE-2012-29 |
|
34-67812 |
Sep. 10, 2012 |
Order Approving Proposed Rule Change Amending NYSE Rule 76 to Add Supplementary Material Relating to a Cross Function That Provides a Regulation NMS Rule 611-Compliant Tool for Floor Brokers
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34-67488 |
Jul. 23, 2012 |
Notice of Filing of Proposed Rule Change Amending NYSE Rule 76 to Add Supplementary Material Relating to a Cross Function that Provides a Regulation NMS Rule 611-Compliant Tool for Floor Brokers
Comments due: August 17, 2012
Additional Materials:
Exhibit 5
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SR-NYSE-2012-28 |
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34-67467 |
Jul. 19, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Television Distribution of the NYSE Trades Data Product
Comments due: August 15, 2012
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SR-NYSE-2012-27 |
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34-67493 |
Jul 25, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or January 31, 2013
Comments due: August 21, 2012
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SR-NYSE-2012-26 |
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34-67494 |
Jul. 25, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or January 31, 2013
Comments due: August 21, 2012
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SR-NYSE-2012-25 |
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34-67445 |
Jul. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 134 to Shorten the Time Frame for Assigning the Contra Party to Unresolved Account Balances in the Exchange's Online Comparison System
Comments due: August 10, 2012
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SR-NYSE-2012-22 |
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34-67408 |
Jul. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Transaction Fees and Credits within Its Price List
Comments due: August 7, 2012
Additional Materials:
Exhibit 5
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SR-NYSE-2012-20 |
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34-67345 |
Jul. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Exchange Rules Related to Floor Official Duties and Responsibilities in the Exchange's Marketplace
Comments due: July 31, 2012
Additional Materials:
Exhibit 5
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SR-NYSE-2012-19 |
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34-67686 |
Aug. 17, 2012 |
Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, (1) Amending NYSE Rule 13 and NYSE MKT Rule 13 - Equities to Establish New Order Types, (2) Amending NYSE Rule 115A and NYSE MKT Rule 115A-Equities to Delete Obsolete Text and to Clarify and Update the Description of The Allocation of Market and Limit Interest in Opening and Reopening Transactions, (3) Amending NYSE Rule 123C and NYSE MKT Rule 123C - Equities to Include Better-Priced G Orders in The Allocation of Orders in Closing Transactions, and (4) Making Other Technical and Conforming Changes (Corrected to conform to Federal Register version)
Additional File Nos.: SR-NYSEMKT-2012-13
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34-67317 |
Jun. 29, 2012 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, (1) Amending Rule 13 to Establish New Order Types, (2) Amending Rule 115A to Delete Obsolete Text and To Clarify and Update the Description of The Allocation of Market and Limit Interest in Opening and Reopening Transactions, (3) Amending Rule 123C to Include Better-Priced G Orders in The Allocation of Orders in Closing Transactions, and (4) Making Other Technical and Conforming Changes
Comments due: July 27, 2012
Additional Materials:
Exhibit 5
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SR-NYSE-2012-18 |
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34-67666 |
Aug. 15, 2012 |
Order Approving a Proposed Rule Change Amending the New York Stock Exchange Price List to Provide for Additional Co-location Services and Establish Related Fees
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34-67262 |
Jun. 26, 2012 |
Notice of Filing of Proposed Rule Change Amending the New York Stock Exchange Price List to Provide for Additional Co-location Services and Establish Related Fees
Comments due: July 23, 2012
Additional Materials:
Exhibit 5
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SR-NYSE-2012-17 |
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34-67564 |
Aug. 1, 2012 |
Order Granting Approval of Proposed Rule Changes Amending Independence Policy of the Board of Directors of NYSE Euronext and Creating a New Independence Policy for Boards of Directors of the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Regulation, Inc. and NYSE Market, Inc.
Additional File Nos.: SR-NYSEArca-2012-59, and SR-NYSEMKT-2012-07
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34-67185 |
Jun. 12, 2012 |
Notice of Filing of Proposed Rule Change Amending Independence Policy of the Board of Directors of NYSE Euronext and Creating New Independence Policy for Boards of Directors of the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Regulation, Inc. and NYSE Market, Inc.
Comments due: July 9, 2012
Additional Materials:
Exhibit 5
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SR-NYSE-2012-16 |
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34-67126 |
Jun. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Temporarily Suspending the Requirements of NYSE Rule 311 and Related NYSE Rules Concerning the Approval of New Member Organizations in Order to Approve Apex Clearing Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. as An NYSE Member Organization, Subject to Apex Clearing Complying with Exchange Rules for a New Member Organization Within 30 Calendar Days of the Date that Apex Clearing is Provisionally Approved as An NYSE Member Organization
Comments due: July 2, 2012
Comments received
are available
for this proposal.
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SR-NYSE-2012-15 |
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34-67374 |
Jul. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 440A and Interpretation 440A/01, Which Address Telemarketing, and Adopting New NYSE Rule 3230 to conform to FINRA’s Telemarketing Rule
Comments due: August 6, 2012
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SR-NYSE-2012-12 |
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34-66994 |
May 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 102.01C and 103.01B of the Exchange's Listed Company Manual to Permit the Listing of Emerging Growth Companies on the Basis of Two Years of Reported Financial Data
Comments due: June 11, 2012
Additional Materials:
Exhibit 5
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SR-NYSE-2012-10 |
|
34-67154 |
Jun. 7, 2012 |
Order Granting Approval of Proposed Rule Change Amending NYSE Rule 107B to Add a Class of Supplemental Liquidity Providers that are Registered as Market Makers at the Exchange
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|
34-66821 |
Apr. 17, 2012 |
Notice of Filing of Proposed Rule Change Amending NYSE Rule 107B to Add a Class of Supplemental Liquidity Providers that are Registered as Market Makers at the Exchange
Comments due: May 14, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-09 |
|
34-66797 |
Apr. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Recent Changes to FINRA Rules 7440 and 7450, and to Adopt Recent Changes to FINRA Rule 5320 by Amending Supplementary Material .02 to NYSE Rule 5320 to Require that Member Organizations Report to the Order Audit Trail System Information Barriers Put Into Place by the Member Organization in Reliance on Supplementary Material .02 to NYSE Rule 5320
Comments due: May 9, 2012
Additional Materials:
Exhibit 5
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SR-NYSE-2012-08 |
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34-66662 |
Mar. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying that Rule Change in Connection with Proposed Combination Between NYSE Euronext and Deutsche Börse AG Will Not Become Effective
Comments due: April 20, 2012
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SR-NYSE-2012-07 |
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34-66600 |
Mar. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Certain Changes to the Transaction Fees and Credits Within the New York Stock Exchange Price List
Comments due: April 10, 2012
Additional Materials:
Exhibit 5
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SR-NYSE-2012-06 |
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34-66709 |
Apr. 2, 2012 |
Order Approving a Proposed Rule Change Amending the Definition of Approved Person to Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
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34-66462 |
Feb. 24, 2012 |
Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person to Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
Comments due: March 21, 2012
Additional Materials:
Exhibit 5
|
SR-NYSE-2012-05 |
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34-66758 |
Apr. 6, 2012 |
Order Granting Approval of a Proposed Rule Change Amending NYSE Rule 476A to Update Its "List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A"
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34-66421 |
Feb. 17, 2012 |
Notice of Filing of Proposed Rule Change Amending NYSE Rule 476A to Update Its "List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A"
Comments due: March 16, 2012
Additional Materials:
Exhibit 5
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SR-NYSE-2012-04 |
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34-66411 |
Feb. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 319 and its Interpretation, Which Address Fidelity Bond Requirements, and Adopt New Rule Text that is Substantially Similar to FINRA Rule 4360
Comments due: March 15, 2012
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SR-NYSE-2012-03 |
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34-66401 |
Feb. 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 123C(4) to Provide for How Certain Interest is Included in the Calculation of MOC and LOC Imbalances
Comments due: March 14, 2012
Additional Materials:
Exhibit 5
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SR-NYSE-2012-01 |
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34-66576 |
Mar. 12, 2012 |
Order Approving a Proposed Rule Change to Establish an NYBX Immediate-or-Cancel Order
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34-66218 |
Jan. 24, 2012 |
Notice of Filing of Proposed Rule Change to Establish an NYBX Immediate-or-Cancel Order
Comments due: February 21, 2012
Additional Materials:
Exhibit 5
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http://www.sec.gov/rules/sro/nyse/nysearchive/nysearchive2012.shtml
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