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NYSE Rulemaking Archive: 2013

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

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

NYSE File Number List for 2013

Additional Archives

Chronological List
Release No. Date Details
Fourth Quarter
SR-NYSE-2013-82
34-71215 Dec. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List Related to Fees for Trading Licenses and to Delete Obsolete Text
Comments due: January 28, 2014
Additional Materials:  Exhibit 5
SR-NYSE-2013-21
34-71175 Dec. 23, 2013 Order Approving Proposed Rule Changes Amending NYSE Rule 104 and NYSE MKT Rule 104 - Equities, Each as Modified by an Amendment No. 1, to Codify Certain Traditional Trading Floor Functions that May Be Performed by Designated Market Makers, to Make Exchange Systems Available to DMMs that Would Provide DMMs with Certain Market Information, to Amend the Exchanges' Rules Governing the Ability of DMMs to Provide Market Information to Floor Brokers, and to Make Conforming Amendments to Other Rules
Additional File No.: SR-NYSEMKT-2013-25
See also:  Notice: Rel. No. 34-70713, Notice: Rel. No. 34-70047, Notice: Rel. No. 34-69736, Notice: Rel. No. 34-69427
SR-NYSE-2013-80
34-71164 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Risk Management Tools Designed to Allow Member Organizations to Monitor and Address Exposure to Risk
Comments due: January 17, 2014
SR-NYSE-2013-81
34-71122 Dec. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Partial Cabinets and Cabinet Upgrades As Part of Its Co-location Services and to Amend its Price List to Reflect the New Services
Comments due: January 14, 2014
Additional Materials:  Exhibit 5
SR-NYSE-2013-79
34-71086 Dec. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 104 and 123C to Specify that Closings May be Effectuated Manually or Electronically
Comments due: January 10, 2014
Additional Materials:  Exhibit 5
SR-NYSE-2013-67
34-71029 Dec. 9, 2013 Order Granting Approval to Proposed Rule Change to Amend the Quantitative Continued Listing Standards Applicable to Companies Listed Under Sections 102.01C and 103.01B of the Listed Company Manual
See also:  Notice: Rel. No. 34-70728
SR-NYSE-2013-78
34-70997 Dec. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List to Specify the Exclusion of Odd Lot Transactions from Consolidated Average Daily Volume Calculations for a Limited Period of Time for Purposes of Certain Transaction Pricing on the Exchange Through January 31, 2014
Comments due: January 2, 2014
Additional Materials:  Exhibit 5
SR-NYSE-2013-77
34-70979 Dec. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List in Order to Provide for Fees For a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center
Comments due: December 31, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-68
34-70971 Dec. 3, 2013 Order Approving Proposed Rule Change Amending Section 907.00 of the Listed Company Manual to Expand the Suite of Complimentary Products and Services that are Offered to Listed Companies
See also:  Notice: Rel. No. 34-70628
SR-NYSE-2013-76
34-70962 Nov. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules Concerning Communications with the Public to Harmonize Them with Certain Financial Industry Regulatory Authority, Inc. Rules and Make Other Conforming Changes
Comments due: December 26, 2013
Comments received are available for this proposal.
SR-NYSE-2013-71
34-70956 Nov. 27, 2013 Notice of Filing of Proposed Rule Change Amending NYSE Rules 13, 70.25, 107C and 1000 to Adopt a New Order Type Called a Midpoint Passive Liquidity Order
Comments due: December 26, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-71330
SR-NYSE-2013-74
34-70913 Nov. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the New York Stock Exchange Price List Related to Co-Location Services
Comments due: December 18, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-72
34-70909 Nov. 21, 2013 Notice of Filing of Proposed Rule Change to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Comments due: December 18, 2013
Additional Materials:  Exhibit 5
See also: Notice: Rel. No. 34-72512, Notice: Rel. No. 34-72205, Notice: Rel. No. 34-71609, Notice: Rel. No. 34-71267
Comments received are available for this proposal.
SR-NYSE-2013-75
34-70898 Nov. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising Rule 61(a)(iii) to Harmonize the Existing Rule Text With the Recent Amendment to the CTA Plan, Which Provides That Odd-Lot Transactions Are To Be Reported On The Consolidated Tape
Comments due: December 16, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-73
34-70888 Nov. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding Co-location Services to Provide for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center
Comments due: December 12, 2013
SR-NYSE-2013-54
34-70822 Nov. 6, 2013

Notice of Filing of Amendment No. 1 and Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, that Address the Exchanges' Emergency Powers
Comments due: 21 days after publication in the Federal Register
Additional File Nos.: SR-NYSEMKT-2013-66, SR-NYSEArca-2013-77
See also:  Notice: Rel. No. 34-70463, Notice: Rel. No. 34-70099

SR-NYSE-2013-67
34-70728 Oct. 21, 2013 Notice of Filing of Proposed Rule Change Proposing to Amend the Quantitative Continued Listing Standards Applicable to Companies Listed Under Sections 102.01C and 103.01B of the Listed Company Manual
Comments due: November 15, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-71029
SR-NYSE-2013-07
34-70720 Oct. 18, 2013 Order Granting Approval to Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name, and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform
See also:  Notice: Rel. No. 34-70217, Notice: Rel. No. 34-69622, Notice: Rel. No. 34-69286, Notice: Rel. No. 34-68936
SR-NYSE-2013-70
34-70711 Oct. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Replace Certain References to "Member" with References to "Member Organization" in the Rule 9000 Series
Comments due: November 14, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-21
34-70713 Oct. 18, 2013 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes, as Modified by Amendment Nos. 1, Amending NYSE Rule 104 and NYSE MKT Rule 104 - Equities to Codify Certain Traditional Trading Floor Functions that May Be Performed by Designated Market Makers, to make Exchange Systems Available to DMMs That Would Provide DMMs with Certain Market Information, to Amend the Exchanges' Rules Governing the Ability of DMMs to Provide Market Information to Floor Brokers, and to Make Conforming Amendments to Other Rules
Additional File No.: SR-NYSEMKT-2013-25
See also:  Order: Rel. No. 34-71175, Notice: Rel. No. 34-70047, Notice: Rel. No. 34-69736, Notice: Rel. No. 34-69427
SR-NYSE-2013-69
34-70697 Oct. 16, 2013 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 Exchange-Provided Cell Phones Beginning on October 10, 2013 Until The Earlier of When Cell Phone Service is Restored or October 11, 2013
Comments due: November 12, 2013
SR-NYSE-2013-66
34-70652 Oct. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2 to Specify That The Definition of An Approved Person Does Not Include A Governmental Entity and Amending Rule 304 to Provide That If A Governmental Entity Directly or Indirectly Owns A Member Organization, Then The Member Organization Must Identify Such Governmental Entity to The Exchange
Comments due: November 12, 2013
SR-NYSE-2013-68
34-70628 Oct. 8, 2013 Notice of Filing of Proposed Rule Change Amending Section 907.00 Of The Listed Company Manual To Expand The Suite Of Complimentary Products And Services That Are Offered To Certain Current And Newly Listed Companies
Comments due: November 12, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-70971
Third Quarter
SR-NYSE-2013-65
34-70519 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 128 and Removing References to Individual Security Trading Pauses Contained in Rule 128(c)(4)
Comments due: October 23, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-62
34-70487 Sep. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Listing Standard for Reverse Merger Companies Set Forth in Section 102.01F of The Exchange's Listed Company Manual to Harmonize With Nasdaq Stock Market Rules That Require the Timely Filing of All Required Reports for the Most Recent 12-Month Period
Comments due: October 21, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-54
34-70463 Sep. 20, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes that Address the Exchanges' Emergency Powers
Additional File Nos.: SR-NYSEMKT-2013-66, SR-NYSEArca-2013-77
See also:  Notice: Rel. No. 34-70822, Notice: Rel. No. 34-70099
SR-NYSE-2013-61
34-70446 Sep. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement a One-Day 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 Exchange-Provided Cell Phones on September 11, 2013
Comments due: October 15, 2013
SR-NYSE-2013-60
34-70287 Aug. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the New York Stock Exchange Price List to Provide for Fees for a 40 Gigabit Liquidity Center Network Connection in the Exchange Data Center
Comments due: September 26, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-40
34-70246 Aug. 22, 2013 Order Approving Proposed Rule Change Amending 303A.00 of the Exchange's Listed Company Manual to Provide a One-Year Transition Period to Comply with the Internal Audit Requirement of Section 303A.07(c) for Companies Listing in Connection with An Initial Public Offering, or by Means of a Carve-Out or Spin-Off Transaction
See also:  Notice: Rel. No. 34-69914
SR-NYSE-2013-33
34-70218 Aug. 15, 2013 Notice of and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 to: (i) Delete the Sections in the Listed Company Manual (the "Manual") Containing the Listing Application Materials (Including the Listing Application and the Listing Agreement) and Adopt Updated Listing Application Materials that will be Posted on the Exchange's Website; and (ii) Adopt As New Rules Certain Provisions that are Currently Included in the Various Forms of Agreements That Are in the Manual, As Well As Some Additional New Rules that Make Explicit Existing Exchange Policies with Respect to Initial Listings
See also:   Notice: Rel. No. 34-69878, Notice: Rel. No. 34-69565
SR-NYSE-2013-07
34-70217 Aug. 15, 2013 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform
See also:  Order: Rel. No. 34-70720, Notice: Rel. No. 34-69622, Notice: Rel. No. 34-69286, Notice: Rel. No. 34-68936
Comments received are available for this proposal.
SR-NYSE-2013-58
34-70211 Aug. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for Display Use of the NYSE BBO and NYSE Trades Market Data Products and Making Certain Technical Changes to the Fee Schedule
Comments due: September 11, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-42
34-70210 Aug. 15, 2013 Order Granting Approval of Proposed Rule Change Relating to a Corporate Transaction in which NYSE Euronext Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange Group, Inc.
Additional File Nos.: SR-NYSEMKT-2013-50, SR-NYSEArca-2013-62
See also:  Notice: Rel. No. 34-69851
SR-NYSE-2013-59
34-70206 Aug. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Describe the Billing Practice for Co-location Services and Expand Co-location Services to Provide for a 40 Gigabit Liquidity Center Network Connection
Comments due: September 11, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-56
34-70193 Aug. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Changes to the Price List
Comments due: September 10, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-57
34-70155 Aug. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.03 of the Listed Company Manual to Specify How the Initial Application Fee is Treated for Certain Issuers That Do Not Immediately List a Security For Which They Already Paid an Initial Application Fee
Comments due: September 5, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-55
34-70104 Aug. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending One of the Supplemental Liquidity Provider Credits In Its Price List
Comments due: August 29, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-54
34-70099 Aug. 2, 2013

Notice of Filing of Proposed Rule Change to Amend NYSE Rule 49, Which Addresses the Exchange's Emergency Powers
Comments due: August 29, 2013
Additional Materials:  Exhibit 5
Additional File Nos.: SR-NYSEMKT-2013-66, SR-NYSEArca-2013-77
See also:  Notice: Rel. No. 34-70822, Notice: Rel. No. 34-70463
Comments received are available for this proposal.

SR-NYSE-2013-48
34-70096 Aug. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program for An Additional 12 Months, to Expire on July 31, 2014
Comments due: August 29, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2011-55
34-70085 Jul. 31, 2013 Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs
Additional File No.: SR-NYSEAmex-2011-84
See also: Order: Rel. No. 34-79587, Notice: Rel. No. 34-67347, Notice: Rel. No. 34-66928, Notice: Rel. No. 34-66464, Notice: Rel. No. 34-66346, Notice: Rel. No. 34-66003, Notice: Rel. No. 34-65672
See also:  Incoming Letter
SR-NYSE-2013-53
34-70066 Jul. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Content of the NYSE Trades Digital Media Data Feed
Comments due: August 26, 2013
SR-NYSE-2013-21
34-70047 Jul. 26, 2013 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Amending NYSE Rule 104 and NYSE MKT Rule 104- Equities, as Modified by Amendment Nos. 1, to Codify Certain Traditional Trading Floor Functions that may be Performed by Designated Market Makers, to make Exchange Systems Available to DMMs that would Provide DMMs with Certain Market Information, to Amend the Exchanges' Rules Governing the Ability of DMMs to Provide Market Information to Floor brokers, and to Make Conforming Amendments to Other Rules
Comments due: August 22, 2013
Rebuttal comments due: September 5, 2013
Additional File No.: SR-NYSEMKT-2013-25
See also:  Order: Rel. No. 34-71175, Notice: Rel. No. 34-70713, Notice: Rel. No. 34-69736, Notice: Rel. No. 34-69427
Comments received are available for this proposal.
SR-NYSE-2013-51
34-69992 Jul. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Revise the Credits for Certain Designated Market Maker Transactions and Revise the Annual Trading License Fees
Comments due: August 12, 2013
Additional Materials:  Exhibit 5
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
See also:  Notice: Rel. No. 34-68185, Notice: Rel. No. 34-68522, Order: Rel. No. 34-68923, Notice: Rel. No. 34-69575
SR-NYSE-2013-45
34-69975 Jul. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List To Change the Monthly Fees For the Use of Certain Ports
Comments due: August 7, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-47
34-69970 Jul. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 312.07 of the Listed Company Manual to Remove the 50% Quorum Requirement and Add Certain Clarifying Language
Comments due: August 7, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-49
34-69963 Jul. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Several NYSE Rules to Reflect Changes to Rules and Adopt Guidance of the Financial Industry Regulatory Authority
Comments due: August 6, 2013
SR-NYSE-2013-46
34-69927 Jul. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Add Greater Specificity Related to the Applicable "Tier 3" Supplemental Liquidity Provider Rate and the Member Organization Tier 1 and Tier 2 Adding Credit Rates
Comments due: July 30, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-40
34-69914 Jul. 2, 2013 Notice of Filing of Proposed Rule Change Amending 303A.00 of the Exchange's Listed Company Manual to Provide a One-Year Transition Period to Comply with the Internal Audit Requirement of Section 303A.07(c) for Companies Listing in Connection with An Initial Public Offering, as New Registrants or by Means of a Carve-Out or Spin-Off Transaction
Comments due: July 29, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-70246
Comments received are available for this proposal.
Second Quarter
SR-NYSE-2013-33
34-69878 Jun. 27, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Proposing To: (i) Delete the Sections in the Listed Company Manual (the "Manual") Containing the Listing Application Materials (Including the Listing Application and the Listing Agreement) and Adopt Updated Listing Application Materials that will be Posted on the Exchange's website; and (ii) Adopt As New Rules Certain Provisions that are Currently Included in the Various Forms of Agreements That Are in the Manual, As Well As Some Additional New Rules that Make Explicit Existing Exchange Policies with Respect to Initial Listings
See also:  Order: Rel. No. 34-70218, Notice: Rel. No. 34-69565
SR-NYSE-2013-32
34-69869 Jun. 27, 2013 Order Approving a Proposed Rule Change Proposing an Amendment to the Bylaws of its Wholly-Owned Subsidiary, NYSE Regulation, Inc. ("NYSE Regulation"), to Eliminate a Requirement That Not Less Than Two Members of the Board of Directors of NYSE Regulation Must Qualify as "Fair Representation Candidates"
See also:  Notice: Rel. No. 34-69590
SR-NYSE-2013-42
34-69851 Jun. 25, 2013 Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange Group, Inc.
Comments due: July 22, 2013
Additional Materials:  Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H, Exhibit 5I, Exhibit 5J, Exhibit 5K, Exhibit 5L, Exhibit 5M, Exhibit 5N, Exhibit 5O
See also:  Order: Rel. No. 34-70210
Comments received are available for this proposal.
SR-NYSE-2013-44
34-69819 Jun. 21, 2013 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, 2014
Comments due: July 18, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-43
34-69813 Jun. 20, 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 January 31, 2014
Comments due: July 18, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-41
34-69810 Jun. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 1000 to Increase the Price Threshold for Those Securities Ineligible for Automatic Executions From $1,000.00 or More to $10,000.00 or More
Comments due: July 17, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-38
34-69763 Jun. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Traders Conducting Certain Futures and Options Trading On ICE Futures U.S. In Space Rented From The Exchange At 20 Broad Street To Access The IFUS Trading Floor Prior To 7 a.m. And On Days That The Exchange Is Closed Via The Exchange's 11 Wall Street Facilities And To Permit Additional IFUS Traders To Conduct Business On The IFUS Trading Floor
Comments due: July 11, 2013
SR-NYSE-2013-29
34-69751 Jun. 13, 2013 Order Approving Proposed Rule Change Deleting NYSE Rule 476(a)(8), Which Addresses Wash Sales, in Order to Harmonize the Exchange's Rules with the Rules of the Financial Industry Regulatory Authority
See also:  Notice: Rel. No. 34-69441
SR-NYSE-2013-21
34-69736 Jun. 11, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending NYSE Rule 104 to Codify Certain Traditional Trading Floor Functions that may be Performed by Designated Market Makers, to make Exchange Systems Available to DMMs that would Provide DMMs with Certain Market Information, to Amend the Exchange's Rules Governing the Ability of DMMs to Provide Market Information to Floor brokers, and to Make Conforming Amendments to Other Rules
See also:  Order: Rel. No. 34-71175, Order: Rel. No. 34-70047, Notice: Rel. No. 34-70713, Notice: Rel. No. 34-69427
Comments received are available for this proposal.
SR-NYSE-2013-39
34-69735 Jun. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 103B, Section III(A) to increase from three to four the minimum number of DMM units an issuer must interview from the pool of DMM units eligible to participate in the allocation process
Comments due: July 8, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-35
34-69734 Jun. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List Related to Certain Pricing Applicable to Supplemental Liquidity Providers on the Exchange
Comments due: July 8, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-36
34-69695 Jun. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1000 to Revise the Manner by Which the Exchange will Phase out the Functionality Associated with Liquidity Replenishment Points in Connection with the Implementation of the Limit Up - Limit Down Plan
Comments due: July 1, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-07
34-69622 May 23, 2013 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name, and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform
Comments due:  July 5, 2013
See also:  Order: Rel. No. 34-70720, Notice: Rel. No. 34-70217, Notice: Rel. No. 34-69286, Notice: Rel. No. 34-68936
SR-NYSE-2013-32
34-69590 May 16, 2013 Notice of Filing of a Proposed Rule Change Proposing an Amendment to the Bylaws of its Wholly-Owned Subsidiary, NYSE Regulation, Inc. ("NYSE Regulation"), to Eliminate a Requirement that Not Less than Two Members of the Board of Directors of NYSE Regulation Must Qualify as "Fair Representation Candidates"
Comments due: June 12, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69869
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
See also:  Order: Rel. No. 34-69983, Notice: Rel. No. 34-68923, Notice: Rel. No. 34-68522, Notice: Rel. No. 34-68185
SR-NYSE-2013-33
34-69565 May 13, 2013 Notice of Filing of Proposed Rule Change Proposing To: (i) Delete the Sections in the Listed Company Manual (the "Manual") Containing the Listing Application Materials (Including the Listing Application and the Listing Agreement) and Adopt Updated Listing Application Materials that will be Posted on the Exchange's Website; and (ii) Adopt As New Rules Certain Provisions that are Currently Included in the Various Forms of Agreements That Are in the Manual, As Well As Some Additional New Rules that Make Explicit Existing Exchange Policies with Respect to Initial Listings
Comments due: June 7, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-70218, Notice: Rel. No. 34-69878
Comments received are available for this proposal.
SR-NYSE-2013-08
34-69513 May 3, 2013 Order Granting Approval to Proposed Rule Changes Amending the Attestation Requirement of Rule 107C (NYSE) and 107C - Equities (NYSE MKT) To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
See also:  Notice: Rel. No. 34-68747, Notice: Rel. No. 34-69187
SR-NYSE-2013-30
34-69502 May 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 to Expand the Availability of Self-Trade Prevention Modifiers
Comments due: May 29, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-29
34-69441 Apr. 24, 2013 Notice of Filing of Proposed Rule Change Deleting NYSE Rule 476(a)(8), Which Addresses Wash Sales, in Order to Harmonize the Exchange's Rules With the Rules of the Financial Industry Regulatory Authority
Comments due: May 21, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69751
SR-NYSE-2013-21
34-69427 Apr. 23, 2013 Notice of Filing of Proposed Rule Change Amending NYSE Rule 104 to Codify Certain Traditional Trading Floor Functions that may be Performed by Designated Market Makers, to make Exchange Systems Available to DMMs that would Provide DMMs with Certain Market Information, to Amend the Exchange's Rules Governing the Ability of DMMs to Provide Market Information to Floor brokers, and to Make Conforming Amendments to Other Rules
Comments due: May 20, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-71175, Order: Rel. No. 34-70047, Notice: Rel. No. 34-70713, Notice: Rel. No. 34-69736
Comments received are available for this proposal.
SR-NYSE-2013-26
34-69372 Apr. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Provide Relief for Floor Brokers from the Annual Telephone Line Charge for January, February and March 2013
Comments due: May 10, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-24
34-69298 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Certain Fees for the NYSE Trades and NYSE Realtime Reference Prices Market Data Products
Comments due: May 1, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-27
34-69295 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 1000
Comments due: May 1, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-07
34-69286 Apr. 3, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name, and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform
See also:  Order: Rel. No. 34-70720, Notice: Rel. No. 34-70217, Order: Rel. No. 34-69622, Notice: Rel. No. 34-68936
Comments received are available for this proposal.
SR-NYSE-2013-25
34-69278 Apr. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Non-Display Usage Fees for NYSE OpenBook, NYSE Trades, and NYSE BBO and a Redistribution Fee for NYSE OpenBook
Comments due: April 29, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-23
34-69272 Apr. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Trades Digital Media Data Feed and a Schedule of the NYSE Proprietary Market Data Fees
Comments due: April 29, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
First Quarter
SR-NYSE-2013-22
34-69225 Mar. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Commentary .01 to NYSE Rule 2B, Which Provides an Exception Related to the Exchange's Equity Ownership Interest in BIDS Holdings L.P.
Comments due: April 19, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-08
34-69187 Mar. 20, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Amending the Attestation Requirement of Rules 107C and 107C-Equities, Respectively, To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders" See also:  Order: Rel. No. 34-69513, Notice: Rel. No. 34-68747
SR-NYSE-2013-20
34-69103 Mar. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C to Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as well as in an Agency Capacity
Comments due: April 5, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-17
34-69102 Mar. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Adding Two Self-Trade Prevention ("STP") Modifiers That May Be Used By Certain Market Participants
Comments due: April 5, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-19
34-69101 Mar. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List to Increase the Gross FOCUS Fee
Comments due: April 5, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-02
34-69045 Mar. 5, 2013 Order Approving Proposed Rule Change Adopting Investigation, Disciplinary, Sanction, and Other Procedural Rules that are Modeled on the Rules of the Financial Industry Regulatory Authority and To Make Certain Conforming and Technical Changes
See also:  Notice: Rel. No. 34-68678
SR-NYSE-2013-13
34-68996 Feb. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New York Mercantile Exchange to the Exchange’s Facilities at 20 Broad Street and Amending NYSE Rule 6A, Which Defines the Terms “Trading Floor” and “NYSE Amex Options Trading Floor”
Comments due: March 26, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-14
34-68958 Feb. 20, 2013 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, March 29, 2013
Comments due: March 19, 2013
SR-NYSE-2013-07
34-68936 Feb. 15, 2013 Notice of Filing of Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform
Comments due: March 15, 2013
Additional Materials:  Notice: Rel. No. 34-70217, Exhibit 2, Exhibit 5
See also:  Order: Rel. No. 34-70720, Notice: Rel. No. 34-70217,   Order: Rel. No. 34-69622, Notice: Rel. No. 34-69286
Comments received are available for this proposal.
SR-NYSE-2012-57
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
See also:  Order: Rel. No. 34-69983, Notice: Rel. No. 34-69575, Notice: Rel. No. 34-68522, Notice: Rel. No. 34-68185
SR-NYSE-2013-09
34-68876 Feb. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C to Establish Rules to Comply with the Requirements of the Plan to Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS
Comments due: March 7, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-12
34-68861 Feb. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Cease Operating New York Block Exchange and Contemporaneously Delete the Text of Rule 1600, Which Governs NYBX Functionality
Comments due: March 6, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-11
34-68804 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, which Governs Clearly Erroneous Executions, Extending the Effective Date of the Pilot Until September 30, 2013 and Adopting New Paragraph (i) to NYSE Rule 128 in Connection with the Upcoming Operation of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act
Comments due: February 27, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-10
34-68784 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of A Rule Change to NYSE Rule 80B, Which Provides for Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility, From the Date of February 4, 2013, Until April 8, 2013
Comments due: February 27, 2013
SR-NYSE-2013-08
34-68747 Jan. 28, 2013 Notice of Filing of Proposed Rule Change Amending the Attestation Requirement of Rule 107C To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
Comments due: February 25, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69513, Notice: Rel. No. 34-69187
Comments received are available for this proposal.
SR-NYSE-2013-05
34-68745 Jan. 28, 2013 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, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014
Comments due: February 25, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-03
34-68724 Jan. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 440B to Provide How the Trigger Price Will Be Calculated if Trading Is Interrupted Because of a Systems or Technical Issue and Is Not Restored During the Trading Day
Comments due: February 20, 2013
SR-NYSE-2013-04
34-68709 Jan. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 107C To Allow Retail Liquidity Providers to Enter Retail Price Improvement Orders in a Non-RLP Capacity for Securities to Which the RLP is Not Assigned
Comments due: February 19, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-06
34-68704 Jan. 22, 2013 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, February 15, 2013
Comments due: February 19, 2013
SR-NYSE-2013-02
34-68678 Jan. 16, 2013 Notice of Filing of Proposed Rule Change Adopting Investigation, Disciplinary, Sanction, and Other Procedural Rules that are Modeled on the Rules of the Financial Industry Regulatory Authority and To Make Certain Conforming and Technical Changes
Comments due: February 14, 2013
Additional Materials:  Exhibit 3, Exhibit 5
See also:  Order: Rel. No. 34-69045
SR-NYSE-2013-01
34-68658 Jan. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program that Provides an Exception to NYSE Rule 2B by Permitting the Exchange's Equity Ownership Interest in BIDS Holdings L.P.
Comments due: February 12, 2013
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
See also:   Notice: Rel. No. 34-68313, Notice: Rel. No. 34-68011
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
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-2012-77
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-2012-79
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-2012-76
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

NYSE File Number List for 2013

Release No. Date Details
SR-NYSE-2013-84
34-71246 Jan. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C(7)(b) to Provide that G Orders with A Price Equal to the Closing Price Are the Last Interest Eligible To Be Used to Offset A Closing Imbalance
Comments due: February 3, 2014
SR-NYSE-2013-83
34-71273 Jan. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Effective as of January 1, 2014 Recently Approved Changes to NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual Concerning Charges by Member Organizations for Processing and Forwarding Proxy and Other Issuer Communications to Beneficial Owners, and Establishing a Fee Under Certain Conditions for an Enhanced Brokers' Internet Platform
Comments due: February 5, 2014
Additional Materials:  Exhibit 5
SR-NYSE-2013-82
34-71215 Dec. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List Related to Fees for Trading Licenses and to Delete Obsolete Text
Comments due: January 28, 2014
Additional Materials:  Exhibit 5
SR-NYSE-2013-81
34-71122 Dec. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Partial Cabinets and Cabinet Upgrades As Part of Its Co-location Services and to Amend its Price List to Reflect the New Services
Comments due: January 14, 2014
Additional Materials:  Exhibit 5
SR-NYSE-2013-80
34-71164 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Risk Management Tools Designed to Allow Member Organizations to Monitor and Address Exposure to Risk
Comments due: January 17, 2014
SR-NYSE-2013-79
34-71086 Dec. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 104 and 123C to Specify that Closings May be Effectuated Manually or Electronically
Comments due: January 10, 2014
Additional Materials:  Exhibit 5
SR-NYSE-2013-78
34-70997 Dec. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List to Specify the Exclusion of Odd Lot Transactions from Consolidated Average Daily Volume Calculations for a Limited Period of Time for Purposes of Certain Transaction Pricing on the Exchange Through January 31, 2014
Comments due: January 2, 2014
Additional Materials:  Exhibit 5
SR-NYSE-2013-77
34-70979 Dec. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List in Order to Provide for Fees For a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center
Comments due: December 31, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-76
34-70962 Nov. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules Concerning Communications with the Public to Harmonize Them with Certain Financial Industry Regulatory Authority, Inc. Rules and Make Other Conforming Changes
Comments due: December 26, 2013
Comments received are available for this proposal.
SR-NYSE-2013-75
34-70898 Nov. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising Rule 61(a)(iii) to Harmonize the Existing Rule Text With the Recent Amendment to the CTA Plan, Which Provides That Odd-Lot Transactions Are To Be Reported On The Consolidated Tape
Comments due: December 16, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-74
34-70913 Nov. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the New York Stock Exchange Price List Related to Co-Location Services
Comments due: December 18, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-73
34-70888 Nov. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding Co-location Services to Provide for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center
Comments due: December 12, 2013
SR-NYSE-2013-72
34-72512 Jul. 1, 2014 Notice of Withdrawal of Proposed Rule Changes to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Additional File No.: SR-NYSEMKT-2013-91
34-72205 May 21, 2014 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Additional File No.: SR-NYSEMKT-2013-91
34-71609 Feb. 25, 2014 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Additional File No.: SR-NYSEMKT-2013-91
34-71267 Jan. 9, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Additional File No.: SR-NYSEMKT-2013-91
34-70909 Nov. 21, 2013 Notice of Filing of Proposed Rule Change to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Comments due: December 18, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-71
34-71330 Jan. 16, 2014 Order Approving Proposed Rule Change Amending NYSE Rules 13, 70.25, 107C and 1000 to Adopt a New Order Type Called a Midpoint Passive Liquidity Order
34-70956 Nov. 27, 2013 Notice of Filing of Proposed Rule Change Amending NYSE Rules 13, 70.25, 107C and 1000 to Adopt a New Order Type Called a Midpoint Passive Liquidity Order
Comments due: December 26, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-70
34-70711 Oct. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Replace Certain References to "Member" with References to "Member Organization" in the Rule 9000 Series
Comments due: November 14, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-69
34-70697 Oct. 16, 2013 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 Exchange-Provided Cell Phones Beginning on October 10, 2013 Until The Earlier of When Cell Phone Service is Restored or October 11, 2013
Comments due: November 12, 2013
SR-NYSE-2013-68
34-70971 Dec. 3, 2013 Order Approving Proposed Rule Change Amending Section 907.00 of the Listed Company Manual to Expand the Suite of Complimentary Products and Services that are Offered to Listed Companies
See also:  Notice: Rel. No. 34-70628
34-70628 Oct. 8, 2013 Notice of Filing of Proposed Rule Change Amending Section 907.00 Of The Listed Company Manual To Expand The Suite Of Complimentary Products And Services That Are Offered To Certain Current And Newly Listed Companies
Comments due: November 12, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-70971
SR-NYSE-2013-67
34-71029 Dec. 9, 2013 Order Granting Approval to Proposed Rule Change to Amend the Quantitative Continued Listing Standards Applicable to Companies Listed Under Sections 102.01C and 103.01B of the Listed Company Manual
34-70728 Oct. 21, 2013 Notice of Filing of Proposed Rule Change Proposing to Amend the Quantitative Continued Listing Standards Applicable to Companies Listed Under Sections 102.01C and 103.01B of the Listed Company Manual
Comments due: November 15, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-66
34-70652 Oct. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2 to Specify That The Definition of An Approved Person Does Not Include A Governmental Entity and Amending Rule 304 to Provide That If A Governmental Entity Directly or Indirectly Owns A Member Organization, Then The Member Organization Must Identify Such Governmental Entity to The Exchange
Comments due: November 12, 2013
SR-NYSE-2013-65
34-70519 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 128 and Removing References to Individual Security Trading Pauses Contained in Rule 128(c)(4)
Comments due: October 23, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-62
34-70487 Sep. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Listing Standard for Reverse Merger Companies Set Forth in Section 102.01F of The Exchange's Listed Company Manual to Harmonize With Nasdaq Stock Market Rules That Require the Timely Filing of All Required Reports for the Most Recent 12-Month Period
Comments due: October 21, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-61
34-70446 Sep. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement a One-Day 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 Exchange-Provided Cell Phones on September 11, 2013
Comments due: October 15, 2013
SR-NYSE-2013-60
34-70287 Aug. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the New York Stock Exchange Price List to Provide for Fees for a 40 Gigabit Liquidity Center Network Connection in the Exchange Data Center
Comments due: September 26, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-59
34-70206 Aug. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Describe the Billing Practice for Co-location Services and Expand Co-location Services to Provide for a 40 Gigabit Liquidity Center Network Connection
Comments due: September 11, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-58
34-70211 Aug. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for Display Use of the NYSE BBO and NYSE Trades Market Data Products and Making Certain Technical Changes to the Fee Schedule
Comments due: September 11, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-57
34-70155 Aug. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.03 of the Listed Company Manual to Specify How the Initial Application Fee is Treated for Certain Issuers That Do Not Immediately List a Security For Which They Already Paid an Initial Application Fee
Comments due: September 5, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-56
34-70193 Aug. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Changes to the Price List
Comments due: September 10, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-55
34-70104 Aug. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending One of the Supplemental Liquidity Provider Credits In Its Price List
Comments due: August 29, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-54
34-70822 Nov. 6, 2013 Notice of Filing of Amendment No. 1 and Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, that Address the Exchanges' Emergency Powers
Comments due: 21 days after publication in the Federal Register
Additional File Nos.: SR-NYSEMKT-2013-66, SR-NYSEArca-2013-77
* 
34-70463 Sep. 20, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes that Address the Exchanges' Emergency Powers
Additional File Nos.: SR-NYSEMKT-2013-66, SR-NYSEArca-2013-77
34-70099 Aug. 2, 2013 Notice of Filing of Proposed Rule Change to Amend NYSE Rule 49, Which Addresses the Exchange's Emergency Powers
Comments due: August 29, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-53
34-70066 Jul. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Content of the NYSE Trades Digital Media Data Feed
Comments due: August 26, 2013
SR-NYSE-2013-51
34-69992 Jul. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Revise the Credits for Certain Designated Market Maker Transactions and Revise the Annual Trading License Fees
Comments due: August 12, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-49
34-69963 Jul. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Several NYSE Rules to Reflect Changes to Rules and Adopt Guidance of the Financial Industry Regulatory Authority
Comments due: August 6, 2013
SR-NYSE-2013-48
34-70096 Aug. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program for An Additional 12 Months, to Expire on July 31, 2014
Comments due: August 29, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-47
34-69970 Jul. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 312.07 of the Listed Company Manual to Remove the 50% Quorum Requirement and Add Certain Clarifying Language
Comments due: August 7, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-46
34-69927 Jul. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Add Greater Specificity Related to the Applicable "Tier 3" Supplemental Liquidity Provider Rate and the Member Organization Tier 1 and Tier 2 Adding Credit Rates
Comments due: July 30, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-45
34-69975 Jul. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List To Change the Monthly Fees For the Use of Certain Ports
Comments due: August 7, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-44
34-69819 Jun. 21, 2013 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, 2014
Comments due: July 18, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-43
34-69813 Jun. 20, 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 January 31, 2014
Comments due: July 18, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-42
34-70210 Aug. 15, 2013 Order Granting Approval of Proposed Rule Change Relating to a Corporate Transaction in which NYSE Euronext Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange Group, Inc.
Additional File Nos.: SR-NYSEMKT-2013-50, SR-NYSEArca-2013-62
34-69851 Jun. 25, 2013 Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange Group, Inc.
Comments due: July 22, 2013
Additional Materials:  Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H, Exhibit 5I, Exhibit 5J, Exhibit 5K, Exhibit 5L, Exhibit 5M, Exhibit 5N, Exhibit 5O
Comments received are available for this proposal.
SR-NYSE-2013-41
34-69810 Jun. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 1000 to Increase the Price Threshold for Those Securities Ineligible for Automatic Executions From $1,000.00 or More to $10,000.00 or More
Comments due: July 17, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-40
34-70246 Aug. 22, 2013 Order Approving Proposed Rule Change Amending 303A.00 of the Exchange's Listed Company Manual to Provide a One-Year Transition Period to Comply with the Internal Audit Requirement of Section 303A.07(c) for Companies Listing in Connection with An Initial Public Offering, or by Means of a Carve-Out or Spin-Off Transaction
34-69914 Jul. 2, 2013 Notice of Filing of Proposed Rule Change Amending 303A.00 of the Exchange's Listed Company Manual to Provide a One-Year Transition Period to Comply with the Internal Audit Requirement of Section 303A.07(c) for Companies Listing in Connection with An Initial Public Offering, as New Registrants or by Means of a Carve-Out or Spin-Off Transaction
Comments due: July 29, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-39
34-69735 Jun. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 103B, Section III(A) to increase from three to four the minimum number of DMM units an issuer must interview from the pool of DMM units eligible to participate in the allocation process
Comments due: July 8, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-38
34-69763 Jun. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Traders Conducting Certain Futures and Options Trading On ICE Futures U.S. In Space Rented From The Exchange At 20 Broad Street To Access The IFUS Trading Floor Prior To 7 a.m. And On Days That The Exchange Is Closed Via The Exchange's 11 Wall Street Facilities And To Permit Additional IFUS Traders To Conduct Business On The IFUS Trading Floor
Comments due: July 11, 2013
SR-NYSE-2013-36
34-69695 Jun. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1000 to Revise the Manner by Which the Exchange will Phase out the Functionality Associated with Liquidity Replenishment Points in Connection with the Implementation of the Limit Up - Limit Down Plan
Comments due: July 1, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-35
34-69734 Jun. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List Related to Certain Pricing Applicable to Supplemental Liquidity Providers on the Exchange
Comments due: July 8, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-33
34-70218 Aug. 15, 2013 Notice of and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 to: (i) Delete the Sections in the Listed Company Manual (the "Manual") Containing the Listing Application Materials (Including the Listing Application and the Listing Agreement) and Adopt Updated Listing Application Materials that will be Posted on the Exchange's Website; and (ii) Adopt As New Rules Certain Provisions that are Currently Included in the Various Forms of Agreements That Are in the Manual, As Well As Some Additional New Rules that Make Explicit Existing Exchange Policies with Respect to Initial Listings
34-69878 Jun. 27, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Proposing To: (i) Delete the Sections in the Listed Company Manual (the "Manual") Containing the Listing Application Materials (Including the Listing Application and the Listing Agreement) and Adopt Updated Listing Application Materials that will be Posted on the Exchange's website; and (ii) Adopt As New Rules Certain Provisions that are Currently Included in the Various Forms of Agreements That Are in the Manual, As Well As Some Additional New Rules that Make Explicit Existing Exchange Policies with Respect to Initial Listings
34-69565 May 13, 2013 Notice of Filing of Proposed Rule Change Proposing To: (i) Delete the Sections in the Listed Company Manual (the "Manual") Containing the Listing Application Materials (Including the Listing Application and the Listing Agreement) and Adopt Updated Listing Application Materials that will be Posted on the Exchange's Website; and (ii) Adopt As New Rules Certain Provisions that are Currently Included in the Various Forms of Agreements That Are in the Manual, As Well As Some Additional New Rules that Make Explicit Existing Exchange Policies with Respect to Initial Listings
Comments due: June 7, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-32
34-69869 Jun. 27, 2013 Order Approving a Proposed Rule Change Proposing an Amendment to the Bylaws of its Wholly-Owned Subsidiary, NYSE Regulation, Inc. ("NYSE Regulation"), to Eliminate a Requirement That Not Less Than Two Members of the Board of Directors of NYSE Regulation Must Qualify as "Fair Representation Candidates"
34-69590 May 16, 2013 Notice of Filing of a Proposed Rule Change Proposing an Amendment to the Bylaws of its Wholly-Owned Subsidiary, NYSE Regulation, Inc. ("NYSE Regulation"), to Eliminate a Requirement that Not Less than Two Members of the Board of Directors of NYSE Regulation Must Qualify as "Fair Representation Candidates"
Comments due: June 12, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-30
34-69502 May 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 to Expand the Availability of Self-Trade Prevention Modifiers
Comments due: May 29, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-29
34-69751 Jun. 13, 2013 Order Approving Proposed Rule Change Deleting NYSE Rule 476(a)(8), Which Addresses Wash Sales, in Order to Harmonize the Exchange's Rules with the Rules of the Financial Industry Regulatory Authority
34-69441 Apr. 24, 2013 Notice of Filing of Proposed Rule Change Deleting NYSE Rule 476(a)(8), Which Addresses Wash Sales, in Order to Harmonize the Exchange's Rules With the Rules of the Financial Industry Regulatory Authority
Comments due: May 21, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-27
34-69295 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 1000
Comments due: May 1, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-26
34-69372 Apr. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Provide Relief for Floor Brokers from the Annual Telephone Line Charge for January, February and March 2013
Comments due: May 10, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-25
34-69278 Apr. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Non-Display Usage Fees for NYSE OpenBook, NYSE Trades, and NYSE BBO and a Redistribution Fee for NYSE OpenBook
Comments due: April 29, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-24
34-69298 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Certain Fees for the NYSE Trades and NYSE Realtime Reference Prices Market Data Products
Comments due: May 1, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-23
34-69272 Apr. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Trades Digital Media Data Feed and a Schedule of the NYSE Proprietary Market Data Fees
Comments due: April 29, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-22
34-69225 Mar. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Commentary .01 to NYSE Rule 2B, Which Provides an Exception Related to the Exchange's Equity Ownership Interest in BIDS Holdings L.P.
Comments due: April 19, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-21
34-71175 Dec. 23, 2013 Order Approving Proposed Rule Changes Amending NYSE Rule 104 and NYSE MKT Rule 104 - Equities, Each as Modified by an Amendment No. 1, to Codify Certain Traditional Trading Floor Functions that May Be Performed by Designated Market Makers, to Make Exchange Systems Available to DMMs that Would Provide DMMs with Certain Market Information, to Amend the Exchanges' Rules Governing the Ability of DMMs to Provide Market Information to Floor Brokers, and to Make Conforming Amendments to Other Rules
Additional File No.: SR-NYSEMKT-2013-25
34-70713 Oct. 18, 2013 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes, as Modified by Amendment Nos. 1, Amending NYSE Rule 104 and NYSE MKT Rule 104 - Equities to Codify Certain Traditional Trading Floor Functions that May Be Performed by Designated Market Makers, to make Exchange Systems Available to DMMs That Would Provide DMMs with Certain Market Information, to Amend the Exchanges' Rules Governing the Ability of DMMs to Provide Market Information to Floor Brokers, and to Make Conforming Amendments to Other Rules
Additional File No.: SR-NYSEMKT-2013-25
34-70047 Jul. 26, 2013 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Amending NYSE Rule 104 and NYSE MKT Rule 104- Equities, as Modified by Amendment Nos. 1, to Codify Certain Traditional Trading Floor Functions that may be Performed by Designated Market Makers, to make Exchange Systems Available to DMMs that would Provide DMMs with Certain Market Information, to Amend the Exchanges' Rules Governing the Ability of DMMs to Provide Market Information to Floor brokers, and to Make Conforming Amendments to Other Rules
Comments due: August 22, 2013
Rebuttal comments due: September 5, 2013
Additional File No.: SR-NYSEMKT-2013-25
Comments received are available for this proposal.
34-69736 Jun. 11, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending NYSE Rule 104 to Codify Certain Traditional Trading Floor Functions that may be Performed by Designated Market Makers, to make Exchange Systems Available to DMMs that would Provide DMMs with Certain Market Information, to Amend the Exchange's Rules Governing the Ability of DMMs to Provide Market Information to Floor brokers, and to Make Conforming Amendments to Other Rules
Comments received are available for this proposal.
34-69427 Apr. 23, 2013 Notice of Filing of Proposed Rule Change Amending NYSE Rule 104 to Codify Certain Traditional Trading Floor Functions that may be Performed by Designated Market Makers, to make Exchange Systems Available to DMMs that would Provide DMMs with Certain Market Information, to Amend the Exchange's Rules Governing the Ability of DMMs to Provide Market Information to Floor brokers, and to Make Conforming Amendments to Other Rules
Comments due: May 20, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-20
34-69103 Mar. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C to Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as well as in an Agency Capacity
Comments due: April 5, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-19
34-69101 Mar. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List to Increase the Gross FOCUS Fee
Comments due: April 5, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-17
34-69102 Mar. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Adding Two Self-Trade Prevention ("STP") Modifiers That May Be Used By Certain Market Participants
Comments due: April 5, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-14
34-68958 Feb. 20, 2013 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, March 29, 2013
Comments due: March 19, 2013
SR-NYSE-2013-13
34-68996 Feb. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New York Mercantile Exchange to the Exchange’s Facilities at 20 Broad Street and Amending NYSE Rule 6A, Which Defines the Terms “Trading Floor” and “NYSE Amex Options Trading Floor”
Comments due: March 26, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-12
34-68861 Feb. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Cease Operating New York Block Exchange and Contemporaneously Delete the Text of Rule 1600, Which Governs NYBX Functionality
Comments due: March 6, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-11
34-68804 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, which Governs Clearly Erroneous Executions, Extending the Effective Date of the Pilot Until September 30, 2013 and Adopting New Paragraph (i) to NYSE Rule 128 in Connection with the Upcoming Operation of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act
Comments due: February 27, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-10
34-68784 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of A Rule Change to NYSE Rule 80B, Which Provides for Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility, From the Date of February 4, 2013, Until April 8, 2013
Comments due: February 27, 2013
SR-NYSE-2013-09
34-68876 Feb. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C to Establish Rules to Comply with the Requirements of the Plan to Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS
Comments due: March 7, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-08
34-69513 May 3, 2013 Order Granting Approval to Proposed Rule Changes Amending the Attestation Requirement of Rule 107C (NYSE) and 107C - Equities (NYSE MKT) To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
34-69187 Mar. 20, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Amending the Attestation Requirement of Rules 107C and 107C-Equities, Respectively, To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
34-68747 Jan. 28, 2013 Notice of Filing of Proposed Rule Change Amending the Attestation Requirement of Rule 107C To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
Comments due: February 25, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-07
34-70720 Oct. 18, 2013 Order Granting Approval to Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name, and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform
34-70217 Aug. 15, 2013 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform
Comments received are available for this proposal.
34-69622 May 23, 2013 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name, and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform
Comments due:  July 5, 2013
34-69286 Apr. 3, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name, and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform
Comments received are available for this proposal.
34-68936 Feb. 15, 2013 Notice of Filing of Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform
Comments due: March 15, 2013
Additional Materials:  Exhibit 2, Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2013-06
34-68704 Jan. 22, 2013 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, February 15, 2013
Comments due: February 19, 2013
SR-NYSE-2013-05
34-68745 Jan. 28, 2013 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, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014
Comments due: February 25, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-04
34-68709 Jan. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 107C To Allow Retail Liquidity Providers to Enter Retail Price Improvement Orders in a Non-RLP Capacity for Securities to Which the RLP is Not Assigned
Comments due: February 19, 2013
Additional Materials:  Exhibit 5
SR-NYSE-2013-03
34-68724 Jan. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 440B to Provide How the Trigger Price Will Be Calculated if Trading Is Interrupted Because of a Systems or Technical Issue and Is Not Restored During the Trading Day
Comments due: February 20, 2013
SR-NYSE-2013-02
34-69045 Mar. 5, 2013 Order Approving Proposed Rule Change Adopting Investigation, Disciplinary, Sanction, and Other Procedural Rules that are Modeled on the Rules of the Financial Industry Regulatory Authority and To Make Certain Conforming and Technical Changes
34-68678 Jan. 16, 2013 Notice of Filing of Proposed Rule Change Adopting Investigation, Disciplinary, Sanction, and Other Procedural Rules that are Modeled on the Rules of the Financial Industry Regulatory Authority and To Make Certain Conforming and Technical Changes
Comments due: February 14, 2013
Additional Materials:  Exhibit 3, Exhibit 5
SR-NYSE-2013-01
34-68658 Jan. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program that Provides an Exception to NYSE Rule 2B by Permitting the Exchange's Equity Ownership Interest in BIDS Holdings L.P.
Comments due: February 12, 2013

 

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